Commission staff working document accompanying the Report from the Commission - Annual Report on research and technological development activities of the European Union in 2008 {COM(2009) 558 final}
Date: 2009-10-22
Institutions: European Commission
Subjects: EU Member State, EU programme, activity report, applied research, innovation, research and development, research policy, technological change

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 22.10.2009 
SEC(2009) 1380 final 

COMMISSION STAFF WORKING DOCUMENT 

Accompanying the 

REPORT FROM THE COMMISSION 

Annual Report on research and technological development activities of the 
European Union in 2008 

{COM(2009) 558 final} 

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TABLE OF CONTENTS 

1. 

1.1. 

1.2. 

European Support to Research : Activities and Results in 2008.................................. 5 

Major policy developments in ERA............................................................................. 5 

FP7 : Indirect support actions..................................................................................... 13 

1.2.1.  Cooperation ................................................................................................................ 13 

1.2.2. 

Ideas ........................................................................................................................... 28 

1.2.3.  People ......................................................................................................................... 29 

1.2.4.  Capacities ................................................................................................................... 29 

1.3. 

1.4. 

1.5. 

1.6. 

2. 

2.1. 

FP7: Direct actions by the Joint Research Centre ...................................................... 40 

Research and training actions under the EURATOM Treaty .................................... 40 

Completion of previous Framework Programmes and other activities...................... 45 

Research programme of the Research Fund for Coal and Steel................................. 47 

Developments in Member States and application of the Open Method of 
Coordination............................................................................................................... 48 

The Open Method of Coordination in support of reaching the Barcelona 
objective ..................................................................................................................... 48 

2.2. 

Trends in public and private research investment ...................................................... 50 

2.2.1.  Progress towards the 3 % objective............................................................................ 50 

2.2.2.  Trends in public funding ............................................................................................ 52 

2.2.3.  Trends in private expenditure..................................................................................... 53 

2.2.4.  To sum up................................................................................................................... 55 

2.3. 

Trends in research policies ......................................................................................... 55 

2.3.1. 

Improving the policy mix for R&D............................................................................ 55 

2.3.2.  Responding to the crisis ............................................................................................. 56 

2.3.3.  Fostering structural change through the development of high-tech sectors............... 57 

2.3.4. 

Increasing the quality of the public research base...................................................... 58 

2.3.5.  The ERA dimension in national policies.................................................................... 58 

3. 

4. 

International cooperation agreements ........................................................................ 60 

Consultation and monitoring procedures ................................................................... 60 

4.1. 

Programme committees.............................................................................................. 61 

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4.2. 

4.3. 

4.4. 

5. 

5.1. 

5.2. 

Advisory groups ......................................................................................................... 61 

European Research Area Board (ERAB) ................................................................... 62 

Monitoring and evaluation ......................................................................................... 63 

Statistical tables on the implementation of the 7th Framework Programme .............. 63 

Explanatory notes....................................................................................................... 63 

List of tables in the statistical annex .......................................................................... 65 

Annex I: Progress achieved by the Innovative Medicines Initative (IMI) JTI......................... 66 

I.1. 

imi ju first call overview ............................................................................................ 66 

I.1.1.  Timetable.................................................................................................................... 66 

I.1.2.  Topics ......................................................................................................................... 67 

I.1.3.  Budget ........................................................................................................................ 67 

I.2. 

First stage of the call: Expression of Interest (EoI).................................................... 70 

I.2.1.  Typology of applicants............................................................................................... 70 

I.2.2.  Country participation.................................................................................................. 71 

I.2.3.  Evaluation results ....................................................................................................... 75 

Annex II : Progress achieved by the ENIAC JTI ..................................................................... 77 

II.1. 

ENIAC ju first call overview ..................................................................................... 77 

II.1.1.  Timetable.................................................................................................................... 77 

II.1.2.  Topics ......................................................................................................................... 77 

II.1.3.  Budget ........................................................................................................................ 79 

II.2. 

Analysis of ENIAC Call 1.......................................................................................... 80 

II.2.1.  Typology of applicants............................................................................................... 80 

II.2.2.  Country participation.................................................................................................. 81 

II.2.3.  Evaluation results ....................................................................................................... 83 

Annex III : Progress achieved by the ARTEMIS JTI............................................................... 87 

III.1. 

Introduction ................................................................................................................ 87 

III.2.  Response to the call.................................................................................................... 87 

III.3.  Overview .................................................................................................................... 88 

III.4. 

Statistics for all proposals .......................................................................................... 88 

III.5. Selection .......................................................................................................................... 90 

III.6. Statistics for selected proposals....................................................................................... 91 

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Annex IV : Progress achieved by the Clean Sky JTI ............................................................... 93 

IV.1.  Clean Sky ju first grant agreements for members ...................................................... 93 

IV.1.1.  Timetable.................................................................................................................... 93 

IV.1.2.  Clean Sky Milestones for 2008 .................................................................................. 93 

IV.1.3.  Integrated Technology Demonstrators (ITDs) ........................................................... 93 

IV.2.  Budget ........................................................................................................................ 95 

IV.2.1.  Overall Budget ........................................................................................................... 95 

IV.3. 

Participation ............................................................................................................. 102 

IV.3.1.  Members by country................................................................................................. 102 

IV.3.2.  Split between industry, Universities and SME's ...................................................... 102 

IV.4.  Calls for proposals.................................................................................................... 102 

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1. 

EUROPEAN SUPPORT TO RESEARCH : ACTIVITIES AND RESULTS IN 2008 

1.1.  Major policy developments in ERA 

ERA and the Lisbon strategy 

Research  lies  at  the  heart  of  the  Lisbon  strategy  for  Growth  and  Jobs,  which  aims  at 
transforming  the  European  Union  (EU)  into  the  most  competitive  and  dynamic 
knowledge-based economy in the world. Community research policy underpins European 
industrial competitiveness by strengthening the scientific and technological bases of the 
EU  and  its  industry.  It  also  supports  the  development  of  other  Community  policies, 
including  education  and  innovation  which  together  with  research  form  the  knowledge 
triangle.  Research  is  particularly  crucial  for  finding  adequate  responses  to  the  global 
challenges  the  EU  is  facing,  such  as  climate  change,  energy  security  and  supply, 
demographic  ageing,  and  sustainable  development.  Community  research  policy  and 
funding  play  a  key  role  in  leveraging  resources  and  in  mobilising  research  efforts  of 
appropriate scale and coherence to tackle these challenges and respond fully to citizens' 
needs and concerns. 

The  objectives  of  Community  research  policy  are  encapsulated  in  the  concept  of  the 
European Research Area (ERA), of which the main strategic orientations are to achieve 
excellence,  to  raise  research  efficiency  and  effectiveness,  to  increase  the  openness  and 
attractiveness  of  Europe  and  the  free  circulation  of  knowledge,  and  to  benefit  from 
international science and technology cooperation. Failing to invest more in research and 
jointly  develop  a  world-class  research  system  in  Europe  will  cost  future  generations 
dearly  and  put  our  well-being  at  risk.  Statistics  on  R&D  investments1,  for  example, 
reveal a persistent gap between the EU and the USA, as R&D investments in the EU are 
stagnating at 1.84% of Gross Domestic Product (GDP), well behind the 2.61% level in 
the USA. Despite the stagnation in R&D intensity, all Member States have managed to 
increase their absolute levels of R&D investment in real terms since 2000. Furthermore, 
17 – including many new Member States – have increased their R&D intensities and the 
lead that the USA has over the EU in terms of innovation has gradually decreased over 
the  last  five  years.  This  means  that  the  structural  transformation  of  the  European 
economy  towards  more  knowledge-intensive  activities  is  steadily  progressing  and 
bearing fruits.  

Responding to the crisis 

Investing  in  R&D  is  particularly  relevant  in  the  context  of  the  financial  and  economic 
crisis, as the current economic downturn may lead to delays or cuts in public or private 
R&D  investments.  The  recession  does,  however,  not  call  into  question  the  main 
objectives and rationale for building the ERA. On the contrary, micro-economic reforms 
and  countercyclical  investments  in  knowledge,  R&D  and  innovation  are  crucial  to 
mitigate  the  effects  of  the  crisis,  to  consolidate  recovery,  and  to  ensure  that  European 
companies maintain investments in R&D in order to be better equipped to take advantage 
of the next economic upswing. At the same time, policy makers should, however, ensure 
that private R&D investment is not crowded out and that the distortions of competition 

1 

See http://ec.europa.eu/research/era/pdf/key-figures-report2008-2009_en.pdf  

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through public R&D expenditure are kept to the minimum. The need for further reforms 
oriented  towards  R&D  and  innovation  was  an  essential  part  of  the  economic  recovery 
package, adopted by the Commission in November 2008 and subsequently endorsed by 
the European Council in December 2008. In particular, to support and sustain industrial 
innovation, the Commission proposed the launch of three major partnerships between the 
public and private sectors in the automobile sector (the "European green cars initiative"), 
the  construction  sector  (the  "European  energy-efficient  buildings  initiative"),  and  to 
increase the use of technology in manufacturing (the "Factories of the future initiative").2  

Improved ERA governance 

The realisation of an open, genuine and competitive ERArea depends upon the Ljubljana 
Process  for  improved  governance  of  research  policy  across  the  EU,  launched  by  the 
Competitiveness Council on 30 May 2008.3  

The  first  output  of  the  Ljubljana  Process  is  the  ERA  2020  vision  adopted  by  the 
Competitiveness Council on 2 December 2008.4 This vision, which is a key reference for 
identifying  future  actions,  projects  a  fully-fledged  ERA  by  2020  in  which  attractive 
conditions  for  doing  research  and  investing  in  R&D  intensive  sectors  in  Europe  are 
ensured through optimised competition, cooperation, and coordination.  

At the centre of the ERA vision is the objective to attain a "fifth freedom", as endorsed 
by  the  European  Council  in  March  2008.5  The  fifth  freedom  envisages  the  free 
circulation  of  researchers,  scientific  knowledge  and  technology  and  aims  at  both  the 
removal of obstacles and the creation of new incentives to stimulate such free circulation 
in Europe. It will thus help to liberate the full potential of the European research system 
by  strengthening  and  complementing  the  knowledge  dimension  of  the  four  Treaty 
freedoms of free movement of people, goods, services and capital. The implication is that 
those aspects of the different Community policies affecting research and knowledge have 
to be better exploited and brought in line with the overall objectives of R&D policy in 
Europe. 

The five Community ERA initiatives 

At a practical level, the Ljubljana Process provides a framework for matching high-level 
political  commitment  and  overall  steering  of  ERA  with  significant  new  policy 
developments  via  concrete  joint  actions  and  sustainable  partnerships  between  the 
Member States, the Commission and relevant research actors. In particular, it frames the 
five  specific  ERA  initiatives  that  were  launched  in  2008  following  the  debate  and 
stakeholder consultation on the 2007 ERA Green paper6, i.e.: 

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COM(2008) 800 "A European Economic Recovery Plan". 
See  doc.  10231/08  "Council  conclusions  on  the  launch  of  the  Ljubljana  process  –  towards  full 
realisation of ERA of 2871th Competitiveness Council on 29-30 May 2008. 
See doc. 16767/08 "Conclusions sur la définition d'une "Vision 2020 pour l'Espace européen de la 
recherche" of 2910th session of the Competitiveness Council on 2 December 2008. 
See  doc.  7652/1/08  Presidency  conclusions  of  the  Brussels  European  Council  of  13-14  March 
2008. 
COM(2007) 161 "The European Research Area: New Perspectives". 

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•  A  European  partnership  for  improved  career  aspects  and  mobility  for  researchers  in 
Europe  (including  better  recruitment,  training,  employment,  working  conditions  and 
social security) 7; 

•  The management of intellectual property in knowledge-transfer activities and a code 

of practice for universities and other public research organisations8; 

•  Joint programming between EU Member States of their public research programmes 

through the definition and development of common strategic research agendas9; 

•  A  new  legal  framework  to  assist  Member  States  in  establishing  and  funding  pan-

European research infrastructures10; 

•  A strategic European framework for both the Community and Member States to foster 
and facilitate coherent international science and technology cooperation activities11. 

Only  by  joint  effort  and  shared  responsibility  across  regional,  national  and  European 
levels  will  the  five  specific  partnership  initiatives  be  able  to  play  their  full  role  in 
increasing  the  extent  to  which  research  underpins  European  competitiveness  and 
innovation. They will be implemented through dedicated configurations of the Scientific 
and  Technical  Research  Committee  of  the  EU  (CREST)12  and  other  specific  groups  of 
Member State representatives.  

The European partnership for researchers aims at driving forward a number of targeted 
actions  in  key  areas  such  as  training  and  skills;  open  recruitment;  employment  and 
working  conditions;  and  social  security  aspects.  The  Competitiveness  Council  of  26 
September  2008  supported  the  proposed  approach  for  strengthening  coordination  and 
cooperation  at  European  level  and  endorsed  the  priority  lines  of  actions.  Portuguese 
Minister Gago and the Luxemburg Minister Biltgen were subsequently invited to come 
up  with  further  ideas  on  how  to  implement  the  European  Partnership  for  Researchers. 
The  two  ministers  reported  back  on  their  work  at  the  Competitiveness  Council  of  2 
December. They will provide an update on progress made in the course of 2009. The first 
steps  towards  the  implementation  of  the  Partnership  have  since  been  launched,  in 
particular  through  the  preparation  of  a  renewal  of  the  mandate  and  composition  of  the 
Steering  Group  Human  Resources  and  Mobility.  Finally,  the  Commission  presented  a 
"Human resources Strategy for Researchers" at the end of 2008. This mechanism aims at 
supporting  the  implementation  of  the  "European  Charter  for  Researchers  and  the  Code 
for  their  Recruitment"  by  individual  research  institutions,  encouraging  improvement  of 
and better visibility for the most favourable working environment. 

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COM(2008) 317 "Better careers and more mobility: a European partnership for researchers". 
Commission  Recommendation  C(2008)  1329  on  the  management  of  intellectual  property  in 
knowledge  transfer  activities  and  Code  of  Practice  for  universities  and  other  public  research 
organisations. 
COM(2008) 468 "Towards Joint Programming in research: Working together to tackle common 
challenges more effectively". 
Commission Proposal for a Council regulation on the Community legal framework for a European 
Research Infrastructure (COM (2008) 467). 
COM  (2008)  588  "A  strategic  European  Framework  for  International  Science  and  Technology 
Cooperation". 
For more details on the activities of CREST, see http://www.consilium.europa.eu/crest  

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The  ERA  initiative  on  knowledge-transfer  concerns  a  Commission  recommendation  on 
the  management  of  intellectual  property  in  knowledge  transfer  activities  and  a  Code  of 
Practice  for  universities  and  other  public  research  organisations.  A  CREST  working 
group was established to support and monitor the implementation of the recommendation 
by  the  Member  States  and  Associated  Countries.  In  parallel,  a  Knowledge  Transfer 
Forum was set up to promote the implementation of the Code of Practice and to foster the 
exchange  of  best  practices  among  relevant  stakeholders,  such  as  universities,  public 
research  organisations,  SMEs,  technology  transfer  offices  and  research  managers 
associations. 

Scientific  progress  increasingly  depends  on  appropriate  research  infrastructures.  The 
Commission's  proposal  for  a  regulation  on  the  legal  framework  for  European  research 
infrastructures  aims  to  provide  a  tailor-made  legal  framework  to  facilitate  Member 
States’ joint establishment and operation of large-scale European research infrastructures 
such  as  deep  sea  floor  observatories  or  bio-medical  data  bases.  In  December  2008,  the 
European  Strategic  Forum  for  Research  Infrastructures  (ESFRI)13  presented  an  updated 
roadmap which now comprises 44 research infrastructures of Pan-European interest. 

The  new  "Strategic  European  Framework  for  international  S&T  Cooperation"  stresses 
the importance of developing the partnership between Member States and the Commision 
to strengthen coordination and create synergies in S&T cooperation with the rest of the 
world. Involving Europe's neighbours into the ERA, fostering strategic cooperation with 
key third countries and improving the framework conditions for cooperation will enhance 
the international dimension of the ERA. In this context, the existing 16 S&T cooperation 
agreements with third partner countries provide a continuing platform for improving and 
coordinating research cooperation. The Strategic European Framework was welcomed by 
the Competitiveness Council of 2 December4 who invited Member States to establish the 
"Strategic  Forum  for  International  Co-operation"  so  as  to  provide  an  appropriate 
institutional setting to develop the partnership approach. 

The  Communication  on  Joint  Programming  was  adopted  on  16  July.  Following  the 
momentum  created  at  the  Versailles  Informal  Competitiveness  Council,  an  informal 
group of Member States gathered to develop a common initiative in the field of neuro-
degenerative  diseases,  in  particular  Alzheimer  ("Alzheimer  initiative").  Conclusions  on 
this  initiative  were  adopted  at  the  Competitiveness  Council  of  25-26  September14.  In 
December,  the  Competitiveness  Council15  endorsed  the  concept  and  the  approach 
proposed  by  the  Commission,  and  listed  criteria  for  the  selection  of  themes  for  Joint 
Programming, as well as framework conditions that would facilitate the implementation 
of Joint Programming. The Conclusions also called for the establishment of a High Level 
Group  on  Joint  Programming  (GPC),  to  select  the  themes.  Further  elaboration  of  the 
"Alzheimer initiative" was ensured under French leadership, leading to the endorsement 
by nine countries. 

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See http://cordis.europa.eu/esfri/home.html  
See  doc.  13668/08  "Council  conclusions  concerning  a  common  commitment  by  the  Member 
States  to  combat  neurodegenerative  diseases,  particularly  Alzheimer's"  of  2891th  session  of  the 
Competitiveness Council on 25 and 26 September 2008 
See  doc.  16775/08  "Council  conclusions  regarding  joint  programming  of  research  in  Europe  in 
response to grand societal challenges" of 2910th session of the Competitiveness Council on 1 and 
2 December 2008 

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Implementing FP7 

In  2008, 
theSeventh  Framework  Programme  for  Research  and  Technological 
Development (FP7), the main instrument for European research policy, entered its second 
year.  In  addition  to  implementing  FP7's  Specific  Programmes,  important  contributions 
were also made to other policy areas, notably the European Strategic Energy Technology 
Plan (SET-Plan)16.  

Some  14000  proposals  were  received  in  response  to  55  calls  for  proposals,  with  more 
than 72000 applicants. Approximately 2500 proposals were retained for funding, with a 
total requested Community contribution of some EUR 4.2 billion.  

Two  executive  agencies  were  established  under  FP7.  The  European  Research  Council 
Executive Agency (ERCEA)17,18 was created to implement the FP7 Specific Programme 
"Ideas".  The  Research  Executive  Agency  (REA)19  was  created  by  Commission 
Decision20 at the end of 2007. 2008 saw concerted efforts to establish the detailed legal 
base,  the  physical  infrastructure,  and  the  required  human  resources,  with  a  view  to  the 
agency  acting  autonomously  by  mid-2009.  The  REA  will  implement  parts  of  the  FP7 
Specific  Programmes  "Cooperation"  (themes  on  Space  and  Security),  "Capacities" 
(Research  for  the  benefit  of  Small  and  Medium  Sized  Enterprises)  and  "People"  and 
provide general FP7 support services21 on proposal reception/evaluation, management of 
appointment  letters  with  expert  evaluators  and  legal  and  financial  validation  of 
Framework Programme participants. 

In the course of 2008, the guidelines on the redress procedure were revised to take into 
account  the  experience  since  their  adoption  in  2007.  The  Rules  for  submission  of 
proposals, and the related evaluation, selection and award procedures22 were also revised 
in  relation  to  the  ethical  review  procedures,  the  handling  of  security-sensitive  RTD 
actions  and  the  evaluation  scoring.  Moreover,  the  work  programmes23  for  the  FP7 
Specific  Programmes  "Cooperation",  "Ideas",  "People",  "Capacities"  and  "Euratom" 
were  updated  in  2008.  The  coordination  of  the  inter-institutional  relations  with  the 
Council,  the  European  Parliament,  the  European  Economic  and  Social  Committee  and 
the Committee of Regions, as well as CREST, was ensured. 

Throughout  2008  several  improvements  in  the  support  infrastructure  of  FP7  were 
introduced which have simplified internal procedures. This includes the first full year of 
operation of a central evaluation facility (Covent Garden) which hosted more than 8000 
experts  in  2008.  Centralised  secretarial  support  services  improved  the  'time  to  pay'  for 
external evaluators. 

In  addition,  the  Unique  Registration  Facility  was  launched  in  May  2008.  This  enabled 
legal  entities  to  register  their  legal  status  independently  of  any  negotiation  process  and 

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COM(2007)  723  "A  European  strategic  energy  technology  plan  (SET  plan)  –  Towards  a  low 
carbon future" 
Commission Decision 2008/37/EC of 14 December 2007 
See http://erc.europa.eu  
See http://ec.europa.eu/research/rea  
Commission Decision 2008/46/EC of 14 December 2007 
With the exception of the Ideas Specific Programme and Euratom 
See ftp://ftp.cordis.europa.eu/pub/fp7/docs/fp7-evrules_en.pdf  
For FP7 work programmes, see http://cordis.europa.eu/fp7/find-doc_en.html#workprogrammes  

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provide a single, validated registry of data used by all of the research family of DGs. At 
the end of 2008 more than 9000 legal entities had been validated and these entities were 
able  to  use  a  participant  identification  code  (PIC)  when  subsequently  preparing  a 
proposal or grant agreement. This will help speed up the negotiation process in 2009 and 
reduce the 'time to contract'. 

The  high  level  of  usage  of  the  Community  Research  and  Development  Information 
Service CORDIS (16,4 million visits)24 as well as its high level of availability (97,8%) 
were  confirmed  throughout  2008.  All  FP7  calls  for  proposals  were  published  on  time. 
The 2008 user satisfaction survey showed a high level of satisfaction, in particular with 
CORDIS  News,  FP7  pages  and  the  email  notification  services.  The  number  of 
subscriptions to the research*eu supplements25 has doubled during 2008, demonstrating 
the interest of users in this publication. 

The  central  'research  enquiry  service'26  also  continued  to  operate  in  support  of  FP7 
fielding nearly 9000 questions and replying to 93% of them within 15 days of receipt.  

The  7th  Framework  Programme introduced,  in  addition  to  the  audit  certificates  on  the 
financial  statements  which  have  to  be  submitted  after  the  costs  are  being  incurred  and 
claimed, two new types of ex-ante certificates: 

The certificate  on  average  personnel 
any 
beneficiary intending  to  charge  personnel  costs  based  on  average  personnel  cost 
calculations.  

(CoMAv), mandatory 

costs 

for 

The certificate on the methodology for personnel and indirect costs (CoM), optional for 
any    beneficiary  of  multiple  grants  fulfilling  the  eligibility  criteria  set  by  the 
Commission. 

In 2007, the Commission established eligibility criteria in order to limit the application of 
the  CoM  to  those  recurrent  beneficiaries  for  whom  the  cost-benefit  relation  of  this 
certificate  would  be  favourable,  judged  on  the  number  of  'historic'  FP6  contract 
participations.  Those  criteria  were  complemented  at  the  end  of  November  2008  with 
thresholds related to FP7 grant agreement participations, in order to allow those recurrent 
FP7 beneficiaries, who were not eligible under the FP6-based eligibility criteria, such as 
certain beneficiaries from the new Member States, to become eligible.  

One  major  simplification  intended  by  the  FP7  rules  for  participation  was  the  explicit 
acceptance  of  the  use  of  average  personnel  costs  as  a  commonly  used  accounting 
practice.  The  FP7  grant  agreement  further  details  that  beneficiaries  may  opt  to  declare 
average  personnel  costs  if  based  on  a  certified  methodology  approved  by  the 
Commission  and  consistent  with  the  management  principles  and  usual  accounting 
practices  of  the  beneficiary.  Neither  the  meaning  of  "significant  deviation"  nor  the 
indicators and criteria to be used to assess the average personnel costs methodologies are 
specified  in  the  FP7  legal  texts.  It  is  therefore  up  to  the  Commission  to  establish  the 
criteria under which average personnel cost methodologies can be approved. Striving to 
balance  the  demands  of  simplification  and  ensuring  the  legality  and  regularity  of 
expenditure,  the  Commission  services  are  occupied  with  assessing  several  possibilities 

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26 

http://cordis.europa.eu  
http://ec.europa.eu/research/research-eu/index_en.html  
http://ec.europa.eu/research/index.cfm?pg=enquiries  

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for  the  acceptability  criteria  of  the  average  personnel  rates  methodologies  in  full 
knowledge  of  the  fact  that  the  decision  on  the  implementation  rules  of  these  costs  will 
directly impact the Commission's time-to-pay track record under FP7. 

According  to  the  FP7  Rules  for  Participation,  the  Commission  is  responsible  for  the 
review of the current 60 % transitional flat rate and must establish a new rate applicable 
for grants awarded under calls closing after 31 December 2009. The same article states 
that the new flat rate should be an approximation of the real indirect costs concerned but 
not  lower  than  40  %.  The  revision  of  the  transitional  flat  rate  is  aimed  to  promote  the 
shift of transitional flat rate beneficiaries (typically those who were using the additional 
cost model in previous FPs) towards actual cost methodologies, with a view to encourage 
the  modernisation  and  foster  sustainability  of  the  financial  management  of  European 
public research entities. Information was collected on this issue through the network of 
Legal  and  Financial  National  Contact  Points (NCPs).  Despite  the  fact  that  many  of  the 
concerned beneficiaries, in certain cases supported by national initiatives, have launched 
initiatives  for  the  modernisation  of  their  accounting  systems,  few  have  at  this  stage 
effectively  shifted  to  actual  costs  methodologies  and  only  a  limited  number  consider 
themselves in a position to do so by 2010. This conclusion is supported by the report of 
the expert group on 'Diversified funding streams for university-based research: impact of 
external  project-based  research  funding  on  financial  management  in  Universities'  and 
also by earlier conclusions of the European University Association27. The decision on the 
revised flat rate should be available in time for the 2010 FP7 work programmes. 

Joint Technology Initiatives and Article 169 

Existing instruments for cooperation within FP7 such as Article 169 initiatives and Joint 
Technology  Initiatives  (JTIs)28  were  further  developed  in  2008.  In  this  context,  the 
Commission adopted a proposal for an Article 169 European Metrology Joint Research 
Programme  (EMRP)29,  and  two  of  the  Article  169  Initiatives  proposed  in  2007  – 
"Ambient Assisted Living" (AAL)30 and for research performing SMEs and their partners 
(EUROSTARS)31 – were co-decided by Council and European Parliament in July 2008 
after  which  their  implementation  phase  started.  Following  the  adoption  of  the 
Regulations  setting  up  the  first  four  JTIs32  in  2007,  the  Council  adopted  a  fifth  JTI 
Regulation on Fuel Cells and Hydrogen in 200833. All five JTIs started their operations in 

27 

28 

29 

30 
31 
32 

33 

"EUA Statement on FP7 Rules of Participation proposals for support rates and costs models", 30 
March 2006 
JTIs are public-private partnerships in industrial research at European level set up under Article 
171 of the Treaty. 
COM(2008) 814 "Proposal for a decision of the European Parliament and of the Council on the 
participation by the Community in a European metrology research and development programme 
undertaken by several Member States" 
OJ L 201, 30.7.2008, p. 49. 
OJ L 201, 30.7.2008, p. 58. 
The  first  four  JTIs  are:  Innovative  Medicines  (supporting  the  development  of  new  knowledge, 
tools  and  methods  for  new  medicines,  Council  Regulation  2008/73/EC,  http://imi.europa.eu), 
Clean  Sky  (seeking  to  increase  the  competitiveness  of  the  European  aeronautics  industry  while 
reducing  emissions  and  noise,  Council  Regulation  2008/71/EC,  http://www.cleansky.eu), 
ARTEMIS  (addressing  embedded  computing  systems,  Council  Regulation  2008/74/EC, 
http://www.artemis-ju.eu)  and  ENIAC  (targeting  the  very  high  level  of  miniaturisation  required 
for  the  next  generation  of  nanoelectronics  components,  Council  Regulation  2008/72/EC, 
www.eniac.eu). 
Council Regulation 2008/521/EC of 30 May 2008, http://ec.europa.eu/research/fch  

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11 

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2008 (implementation of their research agenda, setting up their organisation and moving 
towards autonomy).  

Statistical  information  on  the  2008  activities  of  the  JTIs  set  up  in  2007  is  included  as 
Annexes  to  this  Commission  Staff  Working  Document.  This  constitutes  the  first 
reporting on progress achieved by these JTIs, as required by Art 11 (1) of the respective 
Council Regulations. 

Coordination of national programmes and intergovernmental initiatives 

The ERA-NET scheme was reinforced by the launch of the ERA-NET Learning Platform 
and  the  NETWATCH  Information  System34.  These  initiatives  provide  for  coherent 
implementation  mechanisms  and  increased  mutual  learning,  as  well  as  information 
exchange within the wider ERA-NET community. Their goal is to boost the knowledge 
networking  among  the  ERA-NET  community  by  bringing  players  closer  together.  In 
addition,  11  ERA-NET  and  4  ERA-NET  Plus  actions  were  selected  from  the  2008 
coordinated  call,  meaning  that  a  total  number  of  31  ERA-NET  and  8  ERA-NET  Plus 
actions have been launched since the start of FP7. 

The  renewed  EUREKA  strategy  was  discussed  at  three  NPC/HLG  meetings  during 
Spring 2008 culminating in its adoption at the Ministerial Conference. At this meeting, 
Ministers  also  agreed  on  the  accession  of  FYROM  (Former  Yugoslavian  Republic  of 
Macedonia)  to  EUREKA.  Portugal  took  over  as  Chair  in  July,  focusing  on  generating 
EUREKA projects and on developing a EUREKA international Strategy. 

Following the final review of COST in FP6 (Monfret report), a special report on the legal 
status  and  governance  of  COST  was  made  during  2008  identifying  several  possible 
models for the future governance of COST. Also a High Level Group has been set up to 
examine  the  relationship  of  COST  with  the  European  Science  Foundation,  which 
provides  scientific  and  adminstrative  support  to  COST  under  FP7.  In  line  with  the 
Monfret  report  a  system  of  impact  indicators  should  be  defined  and  an  impact  study 
should be launched to identify the effects of COST. This work was started in 2008 and it 
will give important information for the FP7 interim evaluation of COST in 2010. 

European Technology Platforms 

In 2008, European Technology Platforms (ETPs)35 spearheaded the Commission's aim to 
implement different forms of large-scale public-private partnerships: they have spun off 
Joint Technology Initiatives, contributed to industrial initiatives in the context of the SET 
Plan and helped  to shape the  public-private partnerships under  the  European Economic 
Recovery Plan2. A number of ETPs moved beyond their research agendas by contributing 
to  the  Lead  Markets  Initiative36,  the  production  of  standards  and  reviews  of  regulatory 
frameworks.  An  external  evaluation37  of  the  ETPs  showed  that  although  participants  in 

34 
35 

36 

37 

EN 

See http://netwatch.jrc.ec.europa.eu/nw/  
For more information on European Technology Platforms, see http://cordis.europa.eu/technology-
platforms/  
For 
http://ec.europa.eu/enterprise/leadmarket/leadmarket.htm 
For  more 
platforms/docs/evaluation-etps.pdf  

ftp://ftp.cordis.europa.eu/pub/technology-

the  evaluation,  see 

information  on 

information 

Initiative, 

Markets 

more 

Lead 

the 

on 

see 

12 

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the ETP process are satisfied, the success in jointly defining research priorities still needs 
to  be  matched  with  implementation  and  an  improved  interaction  with  national  policy 
makers. 

Cooperation with other policies 

Structural  Funds  play  an  important  role  in  supporting  the  regions  in  implementing  the 
Lisbon  strategy.  The  Community  Strategic  Guidelines  for  Cohesion  Policy  focus 
increasingly on the Lisbon priorities which include research. An analysis of all approved 
operational  programmes38  shows  that  almost  25%  (EUR  86  billion)  of  the  total  EU 
Structural Funds 2007-2013 are foreseen for R&D and innovation39.  

1.2. 

FP7 : Indirect support actions 

1.2.1.  Cooperation 

1.2.1.1.  Health 

The 7th Framework Programme (FP7) has a budget of EUR 6 billion for Theme 'Health' 
for  the  period  2007-2013  and  aims  to  optimise  the  delivery  of  healthcare  to  European 
citizens. Research is focused on disease detection, and developing diagnosis, monitoring 
tools,  and  improved  treatment  techniques  and  methodologies.  Policy  driven  research 
targets  domains  such  as  patient  safety,  health  systems  research,  child  health,  long-term 
are and the human resources crisis in the health sector, while at international level areas 
include evidence into policy, reproductive health, child and maternal health and access to 
medicines.  Research  project  funding  constitutes  the  lion's  share  of  this  budget.  Of  902 
research proposals received following the second FP7 call, 172 were retained for funding 
in 2008. Among these, OPTISTEM is undertaking clinical trials on the use of stem cell 
therapies in patients with diseases such as muscular dystrophy or  corneal degeneration. 
These  first  clinical  trials  in  man  have  the  potential  to  establish  stem  cell  therapy  as  a 
clinical approach. The project PNEUMOPATH will investigate the antibiotic resistance 
determinants of pneumococci, an organism that causes pneumococcal infection, and will 
thus contribute to developing effective vaccines, diagnostic and treatment. The potential 
for  successful  commercialization  of  results  is  enhanced  by  the  involvement  of  multiple 
industrial project partners.  

Bilateral and regional dialogue with third countries for stimulating cooperation has been 
actively  pursued  and  deepened.  A  coordinated  call  for  proposals  was  launched  by  the 
Commission  and  Russia  in  the  areas  of  human  genomics  and  cardiology.  Additional 
coordinated calls for proposals were also discussed between the Commission and South 
Africa,  Egypt  and  China.  An  agreement  was  reached  with  the  United  States  National 
Institutes  of  Health  (NIH)  to  further  open  up  the  respective  funding  schemes  for 
collaborative  grants.  The  International  Human  Microbiome  Consortium  (IHMBC)  was 
launched  to  foster  cooperation  between  the  major  EC-funded  MetaHIT  project  (on 
correlation  between  human  intestinal  microbiome  and  inflammatory  bowel  disease  and 
obesity)  and  the  NIH-funded  the  Human  Microbiome  Project.  It  is  expected  that  the 

38 

39 

An  Operational  Programme  (OP)  presents  the  priorities  of  the  Member  State  (and/or  regions) 
benefiting from the funds 
For further information, see http://ec.europa.eu/regional_policy/atlas2007/index_en.htm  

EN 

13 

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IHMBC will expand into a global initiative, including projects from up to 10 countries, 
with a budget of circa EUR 200 million within the next 5 years. 

The  European  and  Developing  Countries  Clinical  Trials  Partnership  (EDCTP)40  was 
established  in  2003  under  Article  169  of  the  Treaty  to  accelerate  the  fight  against 
HIV/AIDS,  malaria  and  tuberculosis  in  developing  countries.  In  this  context,  the 
Commission  participates  in  programmes  undertaken  by  several  Member  States  (MS), 
coordinating and jointly implementing their research activities. In 2008, the Commission 
its 
approved 
achievements  of  the  last  few  years  and  presents  an  outlook  for  its  future.  Co-funding 
from MS has increased dramatically in the last years and was supplemented by additional 
funds from third parties (foundations, public-private partnerships and industries). 

the  EDCTP  (2003-2008) 

the  Progress  Report  of 

that  highlights 

The Innovative Medicines Joint Undertaking (IMI JU) is a partnership between the EU 
and the European Federation of Pharmaceutical Industries and Associations (EFPIA). It 
aims  at  a  significant  improvement  of  the  efficiency  and  effectiveness  of  the  drug 
development process, ultimately leading to more effective and safer innovative medicines 
for the benefit of the patients. The IMI JU supports research projects pooling resources 
from various stakeholders (industry, academia, SMEs, regulatory authorities, healthcare 
providers,  patients'  organisations)  around  key  research  priorities.  In  2008,  all  bodies  of 
the IMI JU were established and the recruitment of the Executive Director and staff was 
initiated. Operations started in 2008 with the launch of the first call for proposals. 

1.2.1.2.  Food, agriculture and fisheries, and biotechnology 

in  Theme 

Research  focus  and  funding 
'Food,  agriculture  and  fisheries,  and 
biotechnology' in 2008 continued to address the complex policy challenges related to the 
further development and consolidation of the European Knowledge Based Bio-Economy 
(KBBE), in the context of demographic growth, environmental change, globalisation of 
the  economy,  food  price  inflation  and  security,  dwindling  fossil  fuels,  food  and  health, 
reform  of  the  Common  Agricultural  Policy,  maritime  policy  and  increasing  of  the 
competitiveness of European bio-industry.  

Intrinsic to this approach has been the parallel development of a European Research Area 
(ERA)  in  the  bio-economy  sector.  This  was  further  enhanced  through  dialogue, 
networking, and reinforced cooperation between Member States under the KBBE-NET, 
and  the  Standing  Committee  on  Agricultural  Research  (SCAR)  and  through  the 
launching  of  two  new  ERA-NETs  (animal  health;  agriculture  research  in  the 
Mediterranean)  as  well  as  interactions  with  the  private  sector  through  nine  European 
Technology Platforms in the KBBE area. The Commission Communication "Towards a 
coherent  strategy  for  a  European  Agricultural  Research  Agenda"41  was  adopted  in 
December 2008.  

Strategic  international  dialogues  and  networking  continued  in  2008  to  increase  the 
competitiveness  of  the  European  Bio-economy  as  well  as  to  address  specific  problems 
that developing countries face in areas such as nutrition, soil fertility and trade.  

40 
41 

See http://www.edctp.org  
COM(2008)862 "Towards a coherent strategy for a European Agricultural Research Agenda" 

EN 

14 

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In  2008,  out  of  449  proposals  received  for  2  calls,  60  proposals  will  be  funded  with  a 
total  Community  contribution  of  EUR  214.7  million.  All  projects,  of  which  some 
examples are highlighted below, contribute to the strategic goals of this Theme. The call 
KBBE-3 with a total budget of EUR 188.8 million was launched in September 2008, and 
included  a  coordinated  call  with  India  and  a  call  for  coordinated  topics  on  Marine  and 
Maritime Sciences across the Framework Programme. A joint call on Biorefineries with 
the Themes Energy, Environment and Nanosciences and Nanotechnologies was launched 
in November 2008.  

Some examples of the 60 selected projects include the QUANTOMICS initiative which 
will  fully  exploit  animal  genome  sequence  information  by  developing  a  series  of 
innovative  bioinformatic,  molecular  genetics,  and  visualisation  tools.  The  project  will 
contribute  to  the  competitiveness  and  sustainability  of  European  livestock  production 
including support for animal health and production policy. It will have wide applications 
for all farmed species and leave a legacy of resources for future research.  

In  the  field  of  nutrition  and  health,  the  OBELIX  project  will  have  a  major  impact  on 
human  health  and  consumer  protection  by  generating  new  knowledge  on  early  life 
exposure to hormonal food contaminants and their potential role in obesity. The Network 
of Excellence  in high-tech  food processing HighTechEurope will stimulate cross-sector 
collaboration by bringing together European scientists and industries from the–high-tech 
(nano, bio and ICT) and traditional food processing sectors.  

In the field of biotechnology research, the SMARTCELL project seeks to engineer plants 
and  plant  cells  to  lower  the  cost  of  production  of  bioactive  compounds,  useful  as 
ingredients  for  novel  anti-cancer  and  anti-inflammatory  medicines  or  insecticides. 
Moreover,  the  project  will  develop  tools,  which  can  be  broadly  applied  to  other  plant 
research and for production of flavourings or fragrances. In the IRENE project, which is 
co-financed by the Russian Ministry of Sciences, a novel strategy to expand the use of 
biocatalysts will be pursued. Researchers will set up computer-based methods for turning 
enzymes which are  known  for their  robust stability and activity in some reactions, into 
versatile biocatalysts. 

1.2.1.3.  Information and communication technologies 

FP7 ICT call 3 closed in March 2008 and resulted in 71 new research contracts with a 
total  recommended  funding  of  EUR  265  million  being  proposed  for  selection.  Call  3 
included  two  of  the  seven  challenges  identified  for  the  ICT  Theme,  namely  cognitive 
systems, interaction, robotics and digital libraries & content. It also included three new 
FET proactive initiatives and actions in international cooperation.  

With the completion of call 3, all FP7 challenges have now been covered as foreseen in 
the  2007-2008  work  programme.  In  most  cases,  the  integration  between  the  different 
objectives  worked  well  and  a  coherent  project  portfolio  emerged.  The  portfolio  of 
projects provides a broad coverage of the objectives addressed, with a mix of industry, 
research centres and higher education. 

The  ICT  work  programme  2009-2010  was  adopted  by  the  Commission  in  November 
2008.  ICT  call  4  was  launched  immediately  following  adoption.  The  new  work 
programme continues to address the ICT research priorities identified for the first phase 
of  FP7  with  a  stronger  emphasis  on  high-risk  ICT  collaborative  research.  A  particular 
focus is given to three major technology and socio-economic transformations; the 'Future 

EN 

15 

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Internet',  'Alternative  paths  to  ICT  components  and  systems'  and  'ICT  for  sustainable 
development'. 

towards  defining  and 

Specific  efforts  were  directed 
implementing  further  a 
comprehensive  international  co-operation  strategy.  Particular  examples  are  the  areas  of 
in  Future  and  Emerging 
Future  Internet,  supercomputing,  and  some  activities 
Technologies that are implementing tight research links with other regions of the world, 
notably the US and Japan. Under the 3rd ICT call, seven new international cooperation 
projects with ACP and Asian regions were launched. 

EU  research  projects  have  continued  to  demonstrate  their  key  role  in  feeding 
standardisation  bodies.  As  an  example,  in  the  field  of  Software  Radio,  a  dedicated 
standardisation  Committee  was  opened  under  ETSI  as  a  spin  off  of  FP5-FP6  projects. 
Many  other  infrastructure  fields  (e.g.  mobile  and  "next  generation  networks")  have 
benefited from research conducted under the Framework Programme. 

Throughout 2008, research activities contributed to the Commission's policy priorities in 
the information society domain. The ICT Advisory Group and the National ICT Directors 
Forum provided important input to policy definition. To support the development of the 
European  Research  Area  (ERA),  the  establishment  of  a  network  of  Living  Labs  was 
further  developed  and  several  events  took  place  under  the  Slovenian  and  French 
Presidencies.  Meetings  were  also  organised  with  representatives  from  national  funding 
agencies  and  leading  scientists  to  stimulate  the  setting-up  of  ERA-NET  actions,  for 
example  in  the  field  of  Quantum  Information  Processing  and  Communications  (QIPC) 
under the FET Proactive scheme.  

support 

In the area of Future Internet, Commission services supported the preparation of the so-
called Bled Declaration and the establishment of the "Future Internet Assembly". Three 
Communications42  addressing  the  ICT  field  provide  a  comprehensive  strategy  for  ICT 
research and innovation in the EU. The strategy builds on successes and lessons learned 
from ICT activities in the Framework programme, from the JTIs in ICT, from AAL, and 
technologies.  
from 
The Communications propose actions that combine both the supply and demand drive for 
innovation,  public  procurement  of  R&D  as  well  as  public-private  partnerships  to  lead 
notably  the  development  of  the  Future  Internet.  They  also  propose  concrete  actions  to 
stop the fragmentation of the ICT research and innovation efforts across the EU, to better 
coordinate  these  efforts,  pool  resources  when  needed  including  for  the  investments  in 
ICT related and ICT based research infrastructures. 

infrastructures 

emerging 

future 

and 

and 

to 

Regarding the promotion of pre-commercial procurement, work has mainly consisted of 
follow-ups  to  the  opinions  of  the  other  institutions,  as  well  as  of  a  continuation  of 
awareness-raising and experience-sharing. 

1.2.1.4.  Nanosciences, nanotechnologies, materials and new production technologies 

The  promotion  of  industrially  relevant  and  technologically  challenging  research  at  EU 
level will generate new knowledge with regard to new industrial concepts, new materials, 

42 

COM  (2009)  116  "A  strategy  for  ICT  research  and  innovation  in  the  EU  :  raising  the  game"; 
COM  (2009)  184  "Moving  the  ICT  frontiers  –  a  strategy  for  research  on  future  and  emerging 
technologies in Europe"; COM (2009) 108 "ICT infrastructures for e-Science" 

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16 

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new  products  and  processes,  and  new  integrated  solutions  for  industry,  which  will 
improve  Europe's  competitiveness  and,  at  the  same  time,  respect  environmental 
sustainability and social responsibility.  

to 

its  Nanotechnology  Action  Plan43, 

According 
the  Commission  continued 
implementing  an  integrated  set  of  activities  in  different  research  programmes: 
infrastructures;  people;  industrial  innovation;  societal  issues;  safety  and  regulation; 
international  cooperation,  as  well  as  coordination  within  the  Commission  and  the 
European Union.  

The  focus  of  the  2008  call  for  proposals  under  FP7  was  the  development  of  unique 
strategic  resources  and  assets  that  would  provide  sustainable  capabilities,  coupled  with 
long-term competitive advantage. Out of 1429 submitted proposals, 126 were retained for 
funding. A total of 104 new grant agreements were signed in 2008 following negotiation 
from  the  2007  call.  These  proposals  represent  a  body  of  research  effort  towards  a  new 
European  manufacturing  model,  with  the  potential  to  compete  globally  with  the  best 
available technologies and business strategies. In addition, joint calls for proposals were 
launched with the Themes 'Energy' and 'Environment'. 

Among  the  proposals  selected,  Safe@Sea  scored  highest  in  the  call  for  SME  dedicated 
R&D  and  innovation.  The  project  focuses  on  reducing  the  risk  of  injury  and  fatal 
accidents to fisherman across Europe through research on and development of advanced 
personal  protective  clothing  and  equipment.  Fishing  is  one  of  the  most  dangerous 
professions with 24000 fatal accidents globally per year and 10% of fishermen suffering 
serious  injuries  per  year.  Safe@Sea  endeavours  to  integrate  expertise  on  protective 
materials  and  clothing,  ICT  solutions  and  ergonomic  design.  This  should  result  in 
European leadership in the area of protective clothing and equipment manufacturing as 
well  as  the  wide  acceptance  of  fisherman  to  actually  wear  the  protective  clothing  and 
recognition  by  the  fishing  community  of  the  cost  benefit  of  applying  state  of  the  art 
protective measures. 

In the field of nanotechnologies, the Nano II large project focuses on the development of 
novel  approaches  for  the  use  of  micro  and  nano-fabricated  cell  chips  to  specify  and 
expend  regulatory  immune  cells  for  treating  diverse  inflammatory  and  autoimmune 
disorders in an organ and antigen-specific manner. The proposed cell chips will be used 
in  the  area  of  clinical  diagnosis  and  therapy  and  are  promising  for  the  treatment  of 
inflammatory  and  autoimmune  disease,  as  well  as  for  tolerance  induction  in  organ 
transplantation.  

Technical workshops in the fields of materials sciences and nanomaterials took place in 
India and in Egypt and identified topics of mutual interest to both countries and the EU. 
This  resulted  in  a  coordinated  call  for  proposals  with  India.  The  selected  project 
ATHENA  addresses  potential  building  blocks  of  future  microelectronics  and  aims  to 
understand  the  wide  class  of  transition  metal  oxides.  The  envisioned  applications  from 
this are countless, such as in magnetic memories, spintronic devices, and optic sensors. 

The  European  Union  has  agreed  to  continue  its  involvement  in  the  Intelligent 
Manufacturing  Systems  (IMS)  –entry  into  force  of  renewal  agreement  on  4  January 
2008-  which  brings  together  the  USA,  Japan,  Korea,  Norway,  Switzerland  in  order  to 

43 

COM(2005)243 "Nanosciences and nanotechnologies: An action plan for Europe 2005-2009" 

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boost  industrial  competitiveness,  solve  problems  facing  manufacturing  worldwide  and 
develop advanced manufacturing technologies and systems. In the context of the future 
EU  chairmanship  of  the  scheme  in  May  2010,  an  informal  IMS  Industrial  Advisory 
Board  (IAB)  has  been  set  up  to  assist  the  EU  in  bringing  more  focus  on  IMS  and  in 
identifying strategic initiatives of relevance to European industry. 

At  a  more  political  level,  the  good  and  efficient  networking  established  with  industry 
(especially  through  the  European  Technology  Platforms)  and  with  the  scientific 
community  has  allowed  to  provide  quick  input  for  the  public-private  partnerships 
(Factories  of  the  Future  and  Energy  Efficient  Buildings)  included  in  the  European 
Economic Recovery Plan put forward by the Commission in November 2008. 

1.2.1.5.  Energy 

Energy systems are confronted  with major  challenges at European and at global levels. 
Energy  technologies  are  and  will  be  crucial  in  the  fight  against  the  effects  of  climate 
change by reducing greenhouse gas emissions and in helping to secure the world's energy 
supply. These major challenges with which Europe is confronted have put energy at the 
top  of  the  political  agenda  over  the  past  years.  Europe’s  potential  to  develop  a  new 
generation of decarbonised energy technologies is enormous. Research and innovation in 
energy  technology  are  vital  to  achieving  this  potential  and  make  sustainable  energy 
widely available to European citizens. 

In order to respond to these issues, the European Council and the European Parliament 
endorsed  in  2008  the  Commission  Communication  "A  European  Strategic  Energy 
Technology Plan (SET-Plan) - Towards a low carbon future"16, a comprehensive plan to 
establish a new energy research agenda for Europe. The implementation of the SET-Plan 
will focus on innovation in cutting edge European low carbon technologies to achieve the 
2020  targets44  and  the  2050  vision  of  the  Energy  Policy  for  Europe.  To  steer  the 
implementation of the SET-Plan, the Commission established the European Community 
Steering  Group  for  Strategic  Energy  Technologies  in  2008  to  pave  the  way  for  Joint 
Programming.  

During  the  SET-Plan  conference  in  Paris  in  October  2008,  the  European  Energy 
Research  Alliance  (EERA)  was  created.  The  SET-Plan  European  Industrial  Initiatives 
will  define  roadmaps  for  their  respective  technologies  (wind,  solar,  nuclear,  bioenergy, 
carbon capture and storage and grid) during 2009 which should form the basis for both 
private and public investment in low-carbon technologies. The EERA will ensure that the 
research agenda gives continuity and a strong innovative base for the initiatives.  

Europe  needs  to  reconsider  the  ways  it  satisfies  its  energy  needs.  In  this  context, 
hydrogen,  as  an  energy  carrier,  and  fuel  cells  as  efficient  energy  converters,  play  an 
increasingly  important  role.  However,  a  number  of  technical  and  non-technical  barriers 
remain  to  be  overcome  before  the  widespread  commercial  deployment  of  these 
technologies  is  achieved.  The  Fuel  Cells  and  Hydrogen  (FCH)  Joint  Undertaking,  a 
public-private partnership at European level was adopted as a Council Regulation on 30 
May 2008 with the overall aim of accelerating deployment of these technologies. It will 
technological 
implement  a 

integrated  programme  of 

target-oriented, 

research, 

44 

Reduction  of  greenhouse  gas  emissions  by  20%,  ensuring  a  20%  share  of  renewable  energy 
sources in the EU energy mix and diminishing of the EU global primary energy use by 20% 

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development  and  demonstration  activities,  focusing  on  the  most  promising  applications 
in  stationary  and  portable  power  generation  and  transport.  In  addition,  technology 
validation and assessment will identify potential impacts of FCH technology on energy 
security  and  Green  House  Gas  (GHG)  emissions.  The  partnership  will  also  undertake 
research  to  support  development  of  new  regulations  and  standards  for  products  and 
hydrogen  storage  and  supply,  which  are  essential  for  every  new  technology  to  assure 
safety,  reliability  and  interoperability  will  be  developed.  Commercial  take-off  should 
start  between  2010  and  2020.  The  first  FCH  JTI  call  for  proposals  was  published  in 
October 2008 with a total indicative financial contribution of EUR 28.1 million. In 2008 
the  Commission  facilitated  the  establishment  of  HyRAMP  -  a  partnership  of  European 
regions  committed  to  advancing  hydrogen  and  fuel  cell  technologies  with  a  view  to 
aligning EU, national and regional RTD actions. 

The  development  and  demonstration  of  clean,  efficient  road  vehicle  technologies  and 
alternative, renewable fuels continued in 2008. This included demonstration of hydrogen 
fuelled  buses,  cars  and  special  purpose  vehicles.  In  total  around  100  vehicles  will  be 
demonstrated  in  three  FP6  projects  with  a  total  investment  of  some  EUR  105  million 
(Community  contribution  EUR  48  million).  Notable  achievements  in  2008  include  a 
cumulative total of more than 2.4 million km travelled by 44 hydrogen buses in public 
service,  carrying  some  8  million  passengers.  These  projects  are  delivering  important 
findings  regarding  safety,  vehicle  performance  and  durability,  and  hydrogen  supply  by 
on-site  reforming  and  by  pipeline  and  also  regarding  cartridge  refueling  for  special 
purpose vehicles. 

Demonstration  of  bio-fuels  use  in  vehicles  also  continued  through  2008,  including  an 
extensive programme comprising more than 10 000 vehicles and 140 fuelling stations in 
10 towns - with the aim of proving extensive substitution of conventional fuels with bio-
ethanol.  Another  project,  started  in  2008,  is  preparing  the  way  for  extensive  use  of 
second generation bio-fuels in advanced  engines  and hybrid drive-trains.  The costs and 
impacts of introducing biogas on a large scale are also being assessed in a demonstration 
to  prove  reliability  as  well  as  aspects  relating  to  biogas  production,  storage  and  use  in 
vehicle fleets. 

In 2008, four new calls for proposals were funded from the Energy budget with a total 
Community  contribution  of  EUR  64.830  million.  For  the  Energy  call,  the  EU-Russia 
coordinated  call,  and  the  call  for  Future  and  Emerging  Technologies  (FET),  153 
proposals  were  received,  137  of  which  were  evaluated  and  19  were  selected  for 
negotiation. For the Energy part of the 'Nanosciences, Nanotechnologies, Materials and 
New Production Technologies' joint call, 6 proposals were selected for funding.  

THATEA, a project in the field of Future and Emerging Technologies, aims to advance 
the  science  and  technology  behind  the  thermoacoustic  energy  conversion  processes. 
Thermoacoustics is a relatively new research field  in physics comprising knowledge of 
acoustics,  fluid  dynamics,  heat  transfer,  mechanical  design  and  dynamic  system 
behaviour.  Thermoacoustic  research  can  be  considered  as  high-risk  research.  The 
rewards,  however,  could  be  high.  Engines,  refrigerators  and  air  conditioners  have  been 
considered the greatest engineering achievements of the 20th century, but these machines 
also  damage  the  environment  by  causing  smog,  emitting  greenhouse  gases  or  leaking 
compounds that damage the ozone layer. Thermoacoustic technology can help to reduce 
these effects, and sometimes eliminate them. 

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SOLAR-H2  brings  together  12  world-leading  European  laboratories  to  carry  out 
integrated, basic research aimed at achieving renewable hydrogen (H2) production from 
environmentally safe resources. The project aims to produce hydrogen using solar light 
through  natural  processes  with  microalgae  and  artificial  photosynthesis  mimics.  The 
vision is to develop novel routes for the production of a solar fuel, in this case H2, from 
very  abundant,  effectively  inexhaustible  resources,  solar  energy  and  water.  The  project 
integrates  two  frontline  research  topics:  photobiological  H2  production  in  living 
organisms  such  as  mircoalgae,  and  artificial  photosynthesis  mimics  in  human-made 
systems.  SOLAR-H2  was  awarded  following  the  ENERGY  2007  Call.  It  builds  on  the 
SOLAR-H  Project  which  was  funded  in  the  context  of  the  NEST  (New  and  Emerging 
Technologies) Programme. Both can be considered as precursors of the tremendous gain 
of interest for these research areas. 

1.2.1.6.  Environment (including climate change) 

In 2008 the European Union strengthened its international leadership in fighting climate 
change. In January, the Commission made a proposal for Climate Action and Renewable 
Energy which legally set the binding targets to be achieved by 2020. The results of EU 
research proved to be essential in assessing the feasibility of the proposal and its possible 
impacts.  

Research  projects  selected  in  2008  addressed  in  particular  the  adaptation  to  climate 
change. For example, the HighNoon project is investigating effective strategies to cope 
with changing water resources due to altering monsoon rainfall patterns and the retreat of 
Himalayan glaciers in northern India, which will have a strong impact on the availability 
of  water  resources.  The  ArcRisk  project  is  studying  the  potential  impact  of  climate 
change  on  pollution  and  the  resulting  health  risks  on  the  Arctic  population.  The 
COMBINE  project  is  integrating  assessment  models  and  run  scenarios  to  contribute  to 
the EU post-2012 climate policy. The IMPLICC project is analysing the implications and 
risks associated with novel mitigation options. 

In  Europe,  forests  are  a  crucial  element  not  only  of  landscapes  but  of  human  living 
conditions.  They  provide  habitats  for  a  multitude  of  animal  and  plant  species  and  are 
essential for biodiversity. They are also an important resource for the regional economy 
(wood  production,  recreation  and  tourism)  as  well  as  part  of  the  cultural  and  social 
heritage. The project MOTIVE evaluates the consequences of intensified competition for 
forest resources. It seeks to develop and evaluate strategies to adapt forest management 
to balance multiple objectives under changing climate and land use patterns. 

Europe is also seeking to improve energy and resource efficiency and decrease negative 
environmental  impacts.  The  project  OPEN:EU  identifies  ways  to  transform  the  EU 
economy  into  one  which  respects  environmental  limits  while  being  socially  and 
financially sustainable. 

Eco-innovation  is  an  essential  part  of  the  solutions  to  attain  a  low  carbon  economy,  as 
strongly  highlighted  in  the  European  economic  recovery  plan.  In  2008,  emphasis  was 
placed on industrial ecology and waste prevention approaches. By concentrating on new 
technological developments, waste prevention strategies and adapting existing tools, the 
ZeroWin project is identifying zero waste business strategies in automotive, construction, 
electronics and photovoltaic industries. The Commission also promotes market uptake of 
greener  products.  This  requires  verification  schemes  to  validate  the  environmental 

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performance  of  the  technologies  used  to  produce  them.  The  Coordination  Action 
AdvanceETV is looking at how to propose an efficient verification scheme by learning 
from  successful  Environmental  Technologies  Verification  systems  in  the  rest  of  the 
world.  

In  2008  a  major  exercise  of  reviewing  the  impacts  of  past  EU-funded  environmental 
research was undertaken. The study, carried out by independent experts, pointed out the 
importance  of  EU  contribution  to  knowledge  generation  and  the  relevance  of  scientific 
outcomes, notably the contributions of results to the Intergovernmental Panel on Climate 
Change  assessments; 
improvements,  such  as 
development of methods for environmental risk assessment of pharmaceuticals, now used 
internationally;  and  the  analysis  and  support  to  the  implementation  of  EU  policies  and 
regulations,  as  in  the  case  of  the  Water  Framework  Directive.  The  study  also  indicated 
the  need  for  further  dissemination  of  research  results.  These  conclusions  are  already 
contributing to the formulation of EU-funded research activities. 

the  promotion  of  methodological 

More than 400 proposals were submitted in response to the second Environment calls for 
proposals  under  FP7  and  64  were  recommended  for  funding,  with  a  total  budget  of 
around EUR 212 million. 

1.2.1.7.  Transport (including aeronautics) 

The  transportation  of  people  and  goods  in  a  local,  regional,  national,  European  and 
international context are essential to Europe’s prosperity and closely linked to economic 
growth.  However,  ways  must  be  found  to  mitigate  the  negative  impacts  and 
consequences of increased mobility in relation to the environment, energy usage, safety 
and  security  and  public  health.  The  White  Paper  on  Transport  “European  Transport 
Policy  for  2010:  Time  to  decide”45  and  its  Mid-term  review46  clearly  set  out  the 
objectives to be addressed at a pan-European level. 

The  greening  of  transport,  modal  shift  and  transport  corridors  decongestion,  urban 
mobility, time efficiency, customer satisfaction, safety and security, cost efficiency and 
competitiveness are some of the areas addressed by the 127 proposals selected in 2008 
for which FP7 will allocate about EUR 444 million. With a participation of 21%, much 
higher than the 15% target, SMEs show a strong interest in EU transport research. As an 
example,  the  recently  selected  OPENAIR  project  aims  to  deliver  a  step  change  in 
technology  to  reduce  noise  from  aircraft  operations  perceived  by  airport  neighbouring 
communities – a major challenge facing the aircraft manufacturing industry, society and 
the  air  transport  industry.  The  BEEST  project  plans  to  achieve  a  breakthrough  in 
competitiveness,  environmental  friendliness  and  safety  of  EU-built  ships.  Focusing  on 
passenger ships, ferries and mega-yachts, the results will to a large extent be applicable 
also to other kinds of ships. 

SESAR  is  a  3  phase  programme  (definition,  development  and  deployment)  aiming  at 
modernising  and  harmonising  air  traffic  management  (ATM)  in  Europe.  It  represents  a 
technological  pillar  to  the  Single  European  Sky47  legislation  and  will  help  increase 

45 
46 

47 

COM (2001)370 "European transport policy for 2010: Time to decide" 
COM  (2006)314  "Keep  Europe  moving  –  Sustainable  mobility  for  our  continent  –  Mid-term 
review of the European Commission's Transport White Paper" 
See http://ec.europa.eu/transport/air/single_european_sky/single_european_sky_en.htm  

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performance  of  Air  Traffic  Management  (ATM)  (safety,  capacity,  cost  efficiency, 
environmental benefits). The definition phase of the programme was closed in May 2008 
with  the  release  of  the  SESAR  Master  plan48  (a  commonly  agreed  roadmap  containing 
the necessary functionalities to be achieved and the necessary timeline). The programme 
is  currently  in  the  development  phase,  which  is  managed  by  the  SESAR  Joint 
Undertaking  (JU),  an  innovative  public-private  partnership  involving  the  major  ATM 
stakeholders,  created  under  Article  171  of  the  Treaty  and  established  by  the  Council 
regulation  219/200749  for  period  of  8  years  up  to  31  December  2016.  The  total  cost  of 
this phase is estimated to be EUR 2.1 billion, borne in equal parts by the Community, 
Eurocontrol and the ATM Industry. In December 2008 the SESAR JU was transformed50 
from a private company body into a Community body allowing obtaining substantial tax 
savings estimated at around EUR 300 million. The Work Programme of the SESAR Joint 
Undertaking  was  established  in  200851  and  the  final  step  of  the  pre-selection  and 
negotiation process to select members of the SESAR JU was launched in December 2008. 
In 2008, EUR 50 million were committed for the Joint Undertaking from the FP 7 budget 
in  addition  to  EUR  200  million  contribution  from  Trans  European  Transport  Networks 
(TEN-Т)  funds.  The  European  Commission  has  fixed  the  co-financing  of  the  running 
costs of the Joint Undertaking at a maximum of EUR 35 million. 

The  "Clean  Sky"  Joint  Technology  Initiative  (JTI)  was  officially  launched  in  February 
and started its activities in June once the Governing Board was in place. It will increase 
the competitiveness of the European aeronautics industry whilst reducing the impact of 
air transport emissions and noise on the environment. The “Clean Sky” JTI will deliver 
large-scale  flight  and  ground  demonstrators  —  an  essential  step  for  successful  market 
introduction. The Commission will provide EUR 800 million in funding from FP7 to the 
JTI,  and  this  amount  will  be  matched  in  kind  by  industry.  Clean  Sky's  current 
membership  includes  86  organisations  from  16  countries,  54  companies,  15  research 
centres and 17 universities. The main thrust of activities is to coordinate and align ATM-
related research activities with those of the SESAR Joint Undertaking (Single European 
Sky - Air Traffic Management Research). As far as FP7 is concerned, EUR 50 million 
was transferred to the Joint Undertaking in 2008. 

The  development  and  validation  phase  of  GALILEO  is  ongoing  until  2010.  A  second 
experimental  satellite  has  been  launched  in  April  2008.  In  2008,  the  Work  Programme 
and the Strategic Framework were also set out, as well as the framework for cooperation 
between the Commission and the European Space Agency (ESA). EUR 95 million were 
dedicated to the completion of the development phase. On 1 July 2008, ESA published 
the  call  for  tender  launching  the  procurement  of  the  Galileo  full  operational  capability 
(FOC) in the name and on behalf of the Commission.  

The R&D activities related to GALILEO applications, including the management of FP7 
calls,  have  in  2008  been  implemented  by  the  GNSS  Supervisory  Authority  (GSA)52.  A 

48 

49 
50 
51 

52 

The Master plan was endorsed by the Council on 30.03.2009 (Council Decision 2009/320/EC OJ 
L 95/41 of 9th of April 2009) 
Council Regulation (EC) 219/2007 OJ L 64/1 of 2nd March 2007 
Council Regulation (EC) 1361/2008 OJ L 352/12 of 31st of December 2008 
The  full  information  on  the  Work  Programme  can  be  found  under  the  following  link: 
http://www.sesariu.eu/public/standard page/library list.html  
Established  by  Council  Regulation  2004/EC/1321,  as  amended  by  Council  Regulation 
2006/EC/1942 

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first call was launched on 15th November 2007 with a budget of EUR 40 million. As a 
result,  23  projects  were  selected  for  funding.  A  second  call  was  launched  on  5th 
December 2008 with a budget of EUR 29 million for collaborative projects and EUR 11 
million  for  tenders.  Some  of  the  projects  financed  under  the  Sixth  Framework 
Programme (FP6) were finalised during 2008. In 2009 it is expected to conclude all the 
activities related to the FP6 projectsin the GALILEO application field. 

Urban  transport  accounts  for  some  40%  of  CO2  emissions  and  70%  of  other  road 
transport pollutants. Fulfillment of mainstream energy, environment, transport and social 
policies  therefore  requires  city  level  actions.  In  2008  the  Commission  launched  the 
CIVITAS  Plus  Programme53  with  5  collaborative  projects  and  2  support  actions  which 
will receive grants totalling EUR 80 million. The five projects will implement some 244 
mobility  measures  in  25  cities.  These  include  clean  vehicles,  promotion  of  public 
transport, intelligent transport systems, urban freight logistics, cycling and walking. The 
two  support  actions  will  evaluate  transferability  of  these  measures  to  other  cities  and 
disseminate  results  throughout  Europe.  The  CIVITAS  Forum  network  which  acts  as  a 
policy  sounding  board  now  comprises  some  140  city  members.  CIVITAS  is  funded 
jointly from the energy and transport specific programmes. 

As a follow-up to the Commission's Green Paper “Towards a future Maritime Policy for 
the  Union”54,  the  Commission  adopted  on  3  September  2008  a  Communication  on  a 
Maritime  Research  Strategy55.  This  new  strategy  is  based  on  two  main  lines  of  action: 
enhancing  the  integration  between  research,  infrastructure,  industry  and  policy  makers; 
and proposing forms of governance gathering all stakeholders. The strategy will benefit 
not  only  European  society  as  a  whole,  but  also  science  and  technology  providers, 
enhancing  synergies,  dissemination  of  available  knowledge  as  well  as  identifying 
scientific gaps. 

The  Green  Cars  Initiative,  part  of  the  European  Economic  Recovery  Plan,  is  a  public 
private partnership, involving research on a broad range of technologies and smart energy 
infrastructures  essential  to  achieve  a  breakthrough  in  the  use  of  renewable  and  non-
polluting  energy  source,  safety  and  traffic  fluidity.  The  estimated  financial  envelope  of 
the initiative is EUR 1 billion.  

International cooperation has also been reinforced by a significant increase of proposals 
from Russia and China. European Union and Russian officials met several times, in view 
to  preparing  a  coordinated  call  on  cooperative  aeronautics  research  for  2009/2010.  In 
parallel,  several  project  proposals  selected  in  2008  focus  specifically  on  international 
aspects, such as urban traffic information systems, road safety, and mobility management 
for  large  events, such  as  the  2010  FIFA  World  Cup,  which  will  be  hosted  by  South 
Africa. 

53 
54 

55 

See http://www.civitas-initiative.org/  
COM  (2006)275  "Towards  a  future  Maritime  Policy  for  the  Union  :  A  European  vision  for  the 
oceans and seas" 
COM (2008)534 "A European strategy for Marine and Maritime Research: A coherent European 
Research Area framework in support of a sustainable use of oceans and seas" 

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1.2.1.8.  Socio-economic sciences and the humanities 

Research in the Theme 'Socio-economic Sciences and Humanities' (SSH) is aiming at a 
better  understanding  of  the  major  socio-economic  challenges  such  as  employment, 
competitiveness, social cohesion, education, sustainability, migration and integration that 
Europe is facing today. 

Following  the  first  call  for  proposals,  29  projects  were  selected  in  2008  covering 
globalisation,  firms  and  the  financial  system,  post-carbon  society,  rural  regions  and 
regional innovation, multilateralism in international relations, democratic ownership and 
participation and foresight on science and technology. 

Among  the  projects  selected,  SOCIAL  POLIS  (Social  platform  on  cities  and  social 
cohesion)  involves  significant  stakeholders  from  the  scientific,  civil  society  and 
governance sectors to establish key scientific and policy issues for the research agenda on 
cities and social cohesion in Europe.  

The  project  PEGGED  (the  future  of  global  economic  governance)  tackles  the  current 
globalisation  and  financial  crisis.  In  a  more  complex  and  multi-polar  world  interwoven 
with bilateral agreements and rising financial activities, global economic governance is at 
a  crucial  crossroads.  As  it  is  unclear  how  cooperation  will  be  organised  in  the  future, 
Europe  must  play  a  major  role  in  the  reform  and  reinforcement  of  global  governance 
mechanisms.  PEGGED  covers  four  research  domains:  macro-economic  adjustment  and 
global  governance,  markets  for  finance  and  investment,  trade  in  goods  and  services, 
migration and mobility of labour. 

As to the project EUROPOLIS (A deliberative polity-making project), it will explore the 
forms  of  democratic  deficit  that  directly  affect  EU  citizens:  would  Europeans  feel  like 
they had more influence on the decision-making process in the EU if they were invited to 
voice  their  opinions  to  their  fellow  citizens?  A  deliberative  poll  connected  to  the 
European Parliament elections will try to test how a more deliberative democracy could 
work. 

During  2008  an  important  foresight  exercise  on  the  "World  in  2025"  was  conducted  in 
close  cooperation  with  the  Bureau  of  European  Policy  Advisors.  The  final  report  is 
expected  in  early  2009  and  should  inspire  future  European  policies  under  the 
globalisation  phenomena.  The  programme  also  launched  several  initiatives  in  order  to 
strengthen  its  policy  of  international  cooperation.  Two  workshops  were  organised  in 
Mexico with the Latin American countries and in India in order to find areas of mutual 
interest for cooperation in 2009 and 2010. 

In  the  area  of  humanities,  the  fourth  annual  HERA  (Humanities  in  the  European 
Research Area) conference “European Diversities - European Identities” co-organised by 
the  European  Science  Foundation  and  the  Commission  took  place  in  October  2008  in 
Strasbourg. This conference addressed the importance of humanities research in helping 
to  deliver  social  policy.  It  brought  together  over  150  scholars  and  policy  makers  to 
discuss  the  role  that  collaborative  research  can  play  in  facing  some  of  Europe’s 
challenges. It also reflected the questions of identity that the field of humanities is now 
facing. The HERA conference showed that the transnational, interdisciplinary approaches 
change  the  type  of  questions  that  humanities  researchers  can  ask.  Given  the  powerful 
technology  and  enormous  amounts  of  data  now  available  to  modern  researchers,  these 

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approaches  are  likely  to  become  the  model  for  the  humanities  as  it  moves  into  the  21st 
century.  

1.2.1.9.  Space 

The  objective  of  Space  research  is  to  support  the  European  Space  Policy  focusing  on 
applications  such  as  GMES  (Global  Monitoring  for  Environment  and  Security),  with 
benefits for citizens, but also other space foundation areas for the competitiveness of the 
European  space  industry.  This  will  contribute  to  fulfil  the  overall  objectives  of  the 
European  Space  Policy,  complementing  efforts  of  Member  States  and  of  other  key 
players, including the European Space Agency (ESA). 

In 2008, the second call for proposals was published, and the call received 138 proposals, 
of  which  88  proposals  passed  all  the  evaluation  thresholds.  Of  these,  24  projects  have 
been  short-listed  for  negotiations  during  2009.  The  selected  projects  are  covering  in  a 
balanced way all main topics of the call aiming to achieve the policy objectives: 

–  Space-based applications at the service of the European Society, with GMES (Global 

Monitoring for Environment and Security) being central to this activity; 

–  Providing R&D support to the foundations of space exploration and space technology 
through  synergies  with  initiatives  of  ESA  or  other  European,  national  or  regional 
entities. 

The actions proposed for funding cover all the topics of the call as follows:  

–  10 proposal in the area of GMES (downstream services, monitoring of climate change, 

integration SatCom/SatNav with GMES) 

–  3 proposals in the area of International Cooperation – GMES for Africa  

–  3 proposals in the “Strengthening of Space Foundations” area - Space Exploration 

–  5 proposals in the “Strengthening of Space Foundations” area - Space Technologies 

–  1 Coordination and Support Action in the topic “Support to New Member States and 

FP7 Associated Countries” 

–  2 Coordination and Support Actions in the European Space Policy topic. 

The high oversubscription rate demonstrates the high interest of the Theme 'Space' : the 
total cumulative requested Community contribution of EUR 252.4 million corresponds to 
about  five  times  the  available  budget.  Almost  all  Members  states  are  involved  in  the 
retained  projects56.  The  participation  of  SMEs  is  high  as  they  represent  25%  (of 
requested Community contribution) of the participants in retained projects. 

The  European  Space  Agency  is  managing  the  GMES  Space  Component  (GSC) 
development,  and  during  2008  a  Delegation  Agreement  for  the  FP7  contribution  to  the 
first  Segment  of  this  programme  has  been  signed  between  the  EC  and  ESA.  Further 
negotiations for an extension of this agreement by a Segment 2 have been conducted, in 
preparation of the amendment after the approval of the Programme at ESA Ministerial at 
the end of Nov 2008. This brings the overall contribution of the Commission from FP7 to 

56 

Except Bulgaria, Slovenia, Slovakia, Malta and Luxembourg. 

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the GSC Programme, which is designed to develop operational GMES Sentinel satellites, 
to EUR 624 million (corresponding to about 30% of the total cost). 

1.2.1.10. Security 

The Theme 'Security' is a new theme in FP7, and 2008 was the second year of operation 
of this programme.  

The  objective  of  the  Security  theme  is:  to  develop  the  technologies  and  knowledge  for 
building capabilities needed to ensure the security of citizens from threats such as acts of 
terrorism  and  (organised)  crime,  natural  disasters  and  industrial  accidents  while 
respecting fundamental human rights including privacy; to ensure optimal and concerted 
use  of  available  and  evolving  technologies  to  the  benefit  of  civil  European  security;  to 
stimulate the cooperation of providers and users for civil security solutions; to improve 
the  competitiveness  of  the  European  security  industry  and  to  deliver  mission-oriented 
results to reduce security gaps.  

The  Security  theme  addresses  four  security  missions  of  high  political  relevance  which 
relate to specific security threats:  

–  Security of citizens,  

–  Security of infrastructures and utilities,  

–  Intelligent surveillance and border security, and  

–  Restoring security and safety in case of crisis.  

It contributes to building up the  necessary capabilities  of the persons and organisations 
responsible for safeguarding security in these mission areas by funding the research that 
will deliver the required technologies and knowledge to build up these capabilities.  

However, the use of security related technologies must always be embedded in political 
action.  To  support  this  and  also  to  improve  the  effectiveness  and  efficiency  of  the 
technology related research, three domains of cross-cutting interest are included as well:  

–  Security systems integration, interconnectivity and interoperability,  

–  Security and society, and  

–  Security research coordination and structuring.  

The  Security  theme  aims  at  meeting  its  main  objectives  –  improved  security  for  the 
citizens, and enhanced competitiveness for industry - as substantiated in the topics of its 
‘demonstration projects‘ which will be the ’flagships‘ of the Security theme. Successful 
demonstration of the appropriateness and performance of novel solutions is a key factor 
for  the  take-up  of  the  output  of  the  research  work  and  its  implementation  by  security 
policies and measures.  

Following the first call (FP7-SEC-2007-1) and the coordinated call (FP7-ICT-SEC-2007-
1) with the Theme 'ICT' 39 projects are on-going and 18 are expected to start in 2009. 

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The  second  main  call  (FP7-SEC-2009-1)  was  published  in  September  2008  with  a 
deadline  on  4  December.  196  proposals  were  received  and  evaluations  were  done  over 
December  2008,  January  and  February  2009  with  the  help  of  more  than  135  external 
experts.  27  are  recommended  for  funding.  The  oversubscription,  about  6  times,  is  still 
high. 

All the projects selected following these three calls provide a good coverage of the four 
mission  areas  and  an  adequate  balance  between  large  integration  projects  and  research 
oriented capability projects. The geographical balance of the consortium is satisfactory. 
A quarter of all the participants are SMEs. 

1.2.1.11. Risk-sharing finance facility (EIB) 

More  investment  in  research,  development  and  innovation57  was  identified  as  a  key 
priority  action  in  the  Lisbon  Strategy  to  create  a  more  competitive  European  economy 
based  on  knowledge  and  innovation.  The  Commission  has,  in  cooperation  with  the 
European Investment Bank (EIB), developed the Risk-Sharing Finance Facility (RSFF), 
a new financial instrument to support European research and innovation in addition to the 
grants allocated in the FP7. 

Within  the  RSFF,  FP7  and  the  EIB  will  each  provide  up  to  EUR  1  billion  over  2007-
2013 allowing a maximum of EUR 10 billion in loans and guarantees for investments in 
research, development and innovation. These contributions partially cover the credit risks 
associated with research-intensive companies and thus improve access to debt financing. 
Joint  Technology  Initiatives  (JTI),  research 
large  European 
collaborative  projects58  as  well  as  projects  implemented  by  companies  of  any  size, 
universities  and  research  institutes  could  benefit  from  the  RSFF  as  it  is  tailored  to 
individual needs.  

infrastructures  or 

In 2008 decisions on  signing 16 RSFF lending  operations have been taken by the EIB. 
These  involve  projects  in  the  field  of  renewable  energy  technologies,  engineering  and 
automotive research and development, ICT and life sciences. Two of these operations are 
loans to intermediaries to provide risk-sharing financing to smaller borrowers.  

All  projects  benefiting  from  the  RSFF  are  located  in  the  Member  States  (Austria, 
Bulgaria,  Denmark,  France,  Germany,  Hungary,  Italy,  Luxembourg,  the  Netherlands, 
Spain,  Sweden  and  the  United  Kingdom),  except  two,  which  are  located  in  Associated 
Countries  (Israel  and  Turkey).  A  variety  of  financial  instruments  have  been  used: 
corporate  loans,  project  finance  and  risk-sharing  bank  facilities,  the  latter  primarily  for 
projects carried out by medium-sized and smaller companies.  

The  Spanish  company  Solucar  has  been  awarded  EUR  50  million  from  the  RSFF  to 
further develop a large scale application of Concentrating Solar Power (CSP) technology 
to  generate  electricity  without  emitting  a  single  puff  of  greenhouse  gas.  The  Solucar 
Solar Thermal Power project is closely aligned with EU energy policy to promote the use 
of indigenous renewable energy and thus contributes to both national and EU efforts to 
combat climate change.  

57 

58 

The 2002 Barcelona European Council set the goal of raising overall research investment in the 
EU to approach 3% of GDP by 2010. 
Such as FP7 and EUREKA projects. 

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Up until now, mainly large and mid-caps59 or dedicated companies established in order to 
implement a particular demonstration project have benefited from the RSFF. The SMEs60 
have not so far directly profited from the RSFF. However, the first project implemented 
by an SME in Slovenia has been approved by the European Investment Bank's Board of 
Directors and should be signed in early 2009. Special effort is being made, notably by the 
EIB partner banks, to reach potential SME clients. 

1.2.2. 

Ideas 

The  FP7  "Ideas"  Specific  Programme  aims  to:  'reinforce  excellence,  dynamism  and 
creativity  in  European  research  and  improve  the  attractiveness  of  Europe  for  the  best 
researchers  from  both  European  and  third  countries,  as  well  as  for  industrial  research 
investment, by providing a Europe-wide competitive funding structure, in addition to and 
not replacing national funding, for "frontier research" executed by individual teams.61 

The programme is implemented by the European Research Council (ERC), consisting of 
a  Scientific  Council  and  a  dedicated  implementation  structure  (DIS)62.  The  Scientific 
Council is an independent body representing Europe's scientific community made up of 
22  scientists,  engineers  and  scholars  of  the  highest  repute.  The  Scientific  Council 
establishes the ERC's overall scientific strategy and decides on the type of research to be 
funded and guarantees the quality of the ERC's activities from the scientific perspective. 

The  role  of  the  DIS  is  currently  performed  by  a  dedicated  service  of  the  Commission 
(Directorate S of DG RTD). In the future, this role will be filled by the ERC Executive 
Agency. Following its establishment in late 2007, substantial progress was made in 2008 
in  setting  up  its  institutional  framework  with  a  view  to  becoming  administratively 
autonomous in mid-2009. 

The  "Ideas"  Specific  Programme  is  implemented  as  two  competitive  funding  schemes: 
Starting  Grants  which  support  researchers  at  the  early  stage  of  their  careers  to  enable 
them  to  become  independent  research  leaders  and  Advanced  Grants  which  support 
outstanding and established research leaders. 

The first call for Starting Grants was published in 2007 and negotiating and contracting 
moved at a steady pace and were concluded in 2008. The first call for Advanced Grants 
was published in 2008, backed with an indicative budget of EUR 517 million. A total of 
2167 proposals were submitted (997 in the physical sciences, 766 in the life sciences and 
404  in  social  sciences  and  humanities).  With  this  budget  275  proposals  were  selected: 
114 in physical sciences, 84 in the life sciences, 48 in social sciences and humanities and 
29 were considered under the new inter-disciplinary category. The process is overseen by 
a total of 25 panels led by Panel Chairs who give it visibility and credibility. 

59 

60 

61 

62 

Middle  Capitalization  Company:  companies  exceeding  the  limits  that  define  SME  in  terms  of 
number of employees and/or capitalization. 
According to the Commission's definition, these are companies with up to 250 employees and a 
turnover up to EUR 50 million or a balance sheet total up to EUR 43 million. 
Annex  I  of  Council  Decision  2006/972/EC  of  19  December  2006  concerning  the  specific 
programme:  "Ideas"  implementing  the  Seventh  Framework  Programme  of  the  European 
Community for research, technological development and demonstration activities (2007 to 2013) 
(OJ L 400, 30.12.2006, p. 243). 
Article  1  Commission  Decision  2007/134/EC  of  2  February  2007  establishing  the  European 
Research Council (OJ L 57, 24.2.2007, p. 14). 

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The work programme 2009 included adjustments to take into account lessons learnt from 
these first calls as well as the increase in the ERC's funding resources. The large number 
of applications received for the 2007 Starting Grant put considerable strain on the ERC's 
resources  and  reduced  the  overall  success  rate  to  3%  for  no  other  reason  than  the  high 
number of applications submitted. For this reason, the "eligibility window" was narrowed 
and  benchmarks  to  assess  applicants'  scientific  track  record  and  a  restriction  on  re-
submission of proposals were introduced. 

The implementation of the programme was accompanied by a sustained communication 
effort  to  raise  the  profile  of  the  programme  as  well  as  disseminate  the  results  of  the 
research it supported. The awarding of grants and the enthusiasm of grantees generated 
substantial  media  interest.  The  ERC  participated  in  a  number  of  science  fairs, 
conventions and conferences with an international reach as well as smaller information 
meetings in the participating countries. Scientific Council meetings have been organised 
in a number of European cities, events which bring the ERC close to scientists working 
in countries participating in the programme. 

Further  adjustments  are  foreseen  to  ERC  processes  in  2009  not  only  to  enhance 
efficiency but also to address shortcomings noted in the general profile of applicants. A 
landmark  review  of  structures  and  mechanisms,  for  which  the  terms  of  reference  and 
methodology have been adopted63, is expected to be carried out in 2009. 

1.2.3.  People 

The  "People"  Specific  Programme  comprises  the  'Marie  Curie  Actions'  which  aim  to 
strengthen the human potential in research and technology and create an open, efficient 
and  attractive  European  labour  market  for  researchers.  In  2008,  10  calls  closed, 
corresponding to a total budget of EUR 617 million. 

The  second  Initial  Training  Networks  (ITN)  call  in  2008,  aiming  to  improve  young 
researchers'  career  perspectives  in  the  public  and  private  sectors,  selected  92  networks, 
funding approximately 50000 fellow/months, out of the 886 proposals evaluated. These 
include  challenging  training  programmes  in  areas  such  as  surgical  solutions  for  spinal 
disease and trauma, and opportunities for socially vulnerable youth in Europe.  

COFUND64  provides  financial  support  to  new  or  existing  regional,  national  or 
international  programmes  in  order  to  increase  the  possibilities  for  European-wide 
mobility  of  experienced  researchers.  Of  45  programmes  replying  to  the  first  call  for 
proposals,  24  have  been  funded  and  are  now  in  the  process  of  launching  calls  for 
proposals.  This  action  will  ultimately  lead  to  the  selection  of  around  1600  fellowships, 
with an average duration of 19 months. Cofunded projects include programmes such as 
an  EMBO 
in  molecular  biology  or 
multidisciplinary fellowship programmes including at regional level.  

fellowship  programme 

researchers 

for 

Other  actions  for  life  long  training  and  career  development  are  Intra-European 
Fellowships  (IEF),  which  offer  individual  fellowships  for  experienced  researchers  in 

63 

64 

COM (2008) 526 "Communication on the Methodology and Terms of Reference to be used for the 
Review  to  be  carried  out  by  independent  experts  concerning  the  European  Research  Council 
Structures and Mechanisms" 
Marie Curie Co-funding of Regional, National and International Programmes 

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29 

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Europe,  and  Reintegration  Grants,  supporting  the  (re)integration  of  researchers  after  a 
period of mobility. In total 1757 IEF proposals were received in 2008 and 463 retained 
for  funding.  Out  of  543  Reintegration  Grant  proposals,  320  were  funded,  185  being 
returns from outside Europe (mainly from the USA). 

The  second  Industry  Academia  Pathways  and  Partnerships  (IAPP)  call  focused  on 
building  long-term  cooperation  between  academia  and  industry,  including  SMEs.  141 
proposals  were  evaluated  and  49  projects  will  be  funded  in  a  wide  range  of  scientific 
fields such as the optimization of industrial devices; using marine algae biomass for bio 
fuels;  and  novel  genetic  and  phenotypic  markers  of  Parkinson's  disease.  The  IAPP  call 
attracted 235 industrial applicants, of which 75% were SMEs. 

International Mobility is promoted by the Marie Curie World fellowships, composed of 
International  Outgoing  Fellowships  (446  proposals  submitted  in  2008,  of  which  110 
fellowships  retained  for  funding),  International  Incoming  Fellowships  (670  proposals 
submitted,  of  which  140  retained  for  funding)  and  the  International  Staff  exchange 
scheme (IRSES), a new FP7 action created to support research partnerships through staff 
exchanges between European research organisations and organisations based in countries 
that have a scientific and technology agreement with the EU or who are part of the EU's 
Neighbourhood  Policy.  73  proposals  were  submitted,  of  which  59,  involving  151third 
country  and  189  EC/Associated  country  research  organisations,  were  retained  for 
funding.Those  include  projects  such  as  Healthy  Food  For  Life  aiming  at  developing  a 
unique  health  and  food  collaborative  platform  to  study  health  benefits  of  the 
Mediterranean diet with 27 involved research organisations in 5 EU member states and 3 
third countries.  

Promoting S&T careers (including for women) and bringing down legal, institutional and 
cultural  barriers  to  intersectorial,  interdisciplinary,  transnational  and  international 
mobility  of  researchers  are  crucial  to  advance  scientific  knowledge  and  technological 
progress, to enhance the quality of life and to reinforce European competitiveness. In this 
context,  several  policy  initiatives  have  been  undertaken  by  the  Commission,  including: 
the Communications "A mobility strategy for the ERA"65 (2001) and "Researchers in the 
ERA: one profession, multiple carriers"66 (2003) endorsed by the Council, the "European 
Charter  for  Researchers  and  Code  of  Conduct  for  the  Recruitment  of  Researchers"67 
(2005), the Green Paper "The ERA : New Perspectives"68 (2007).  

In addition, the new gateway "EURAXESS – Researchers in Motion"69 was launched in 
2008  to  improve  the  effectiveness  and  visibility  of  activities  supporting  researchers' 
mobility  and  career  prospects.  It  is  composed  of  four  main  sections:  EURAXESS-Jobs 
(replacing  the  old  recruitment  tool  European  Researcher's  Mobility  Portal);  the 
EURAXESS  Services  network 
former  ERA-MORE  Network); 
EURAXESS  Rights  (to  promote  the  implementation  of  the  European  Charter  for 
Researchers and Code of Conduct for the Recruitment of researchers), and EURAXESS 
Links  (formerly  the  network  for  European  researchers  abroad).  Progress  has  also  been 

(replacing 

the 

65 
66 

67 
68 
69 

COM (2001)331 "A mobility strategy for the European Research Area" 
COM  (2003)436  "Researchers  in  the  European  Research  Area  :  One  profession,  multiple 
carreers'" 
Commission Recommendation of 11 March 2005 
COM (2007)161 
http://ec.europa.eu/euraxess  

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30 

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made  in  the  implementation  of  the  "Researcher's  Directive"70  aimed  at  facilitating  the 
entry  and  stay  of  third  country  researchers  into  the  EU.  So  far,  23  countries  out  of  25 
Member States concerned have officially finalised the transposition of the directive and 
the process is going on in the two remaining Member States. The European Charter for 
Researchers  and  the  Code  of  Conduct  for  their  recruitment  –  a  voluntary  instrument 
which defines the entitlements and obligations of researchers – has been signed by nearly 
a thousand institutions from 28 countries.  

1.2.4.  Capacities 

1.2.4.1.  Research infrastructures 

Top-class scientific and technological development would not be possible without major 
instruments,  installations  and  facilities.  They  are  essential  for  both  top-class  research 
activities in basic and applied research, and for attracting young people to science. The 
existence  of  recognised  world-level  infrastructures  allows  Europe  to  remain  strongly 
present in the international ‘research market’. Construction and operating costs are high. 
No  Member  State  on  its  own  has  the  resources  required  to  create  the  new  large-scale 
infrastructures  that  are  required  to  compete  with  the  US  and  Japan  in  particular.  The 
Commission  provides  support  for  the  development  of  a  European  approach  and  for  the 
operation  and  enhancement  of  existing  infrastructures,  including  e-Infrastructures, 
through  the  research  infrastructures  activity  with  a  budget  of  approximately  EUR  1.7 
billion.  

While  in  2007  the  FP7  research  infrastructure  activity  provided  catalytic  support  and 
leverage for the so called "preparatory phase" of new research infrastructures identified 
by  the  ESFRI  (European  Strategic  Forum  for  Research  Infrastructures)  roadmap,  the 
support  in  2008  concentrated  on  existing  research  infrastructures  through  funding  of 
"Integrating Activities". Thirty-eight projects that plan to optimise the resources and the 
use of existing research infrastructures at European level were recommended for funding 
and are currently under negotiation or being currently implemented.  

Among  these,  the  EVA  (European  Virus  Archive)  project  aims  at  developing  a  virus 
reference  library  in  Europe  which  is  readily  accessible.  The  thousands  of  viruses  that 
have been isolated and partly characterised worldwide during the past 70 years or more 
indeed  provide  unique  and  extremely  valuable  medical  and  educational  resources  to 
understand the basis of virus diseases, and to develop modern state of the art strategies 
for  disease  control.  The  9  European  partners  of  EVA,  from  6  different  countries,  are 
recognised as centres of excellence in virology with important collections of viruses. The 
project  will  coordinate  these  collections  so  that  they  can  be  authenticated,  amplified 
under  quality-controlled  conditions,  stored  long-term,  and  disseminated  worldwide  to 
laboratories engaged in fundamental and/or applied research as well as to industry. The 
network INCREASE is another example consisting of 6 infrastructures (large-scale field 
sites)  which  allow  experimental  manipulation  of  climate  (such  as  night-time  warming 
and  extended  summer  drought)  through  the  creation  of  comprehensive  databases, 
dynamic  ecosystem  models  and  effective  scientific  collaboration  on  climate  issues.  In 
particular, INCREASE focuses on the improvement of technology and methodology for 
studies of climate change effects on European shrublands. 

70 

Council  Directive  2005/71/EC  of  12  October  2005  on  a  specific  procedure  for  admitting  third-
country nationals for the purposes of scientific research 

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The  2008  activities  on  e-Infrastructures  focused  on  the  further  development  and 
evolution  of  the  high-capacity  and  high-performance  communication  network  GÉANT 
and  on  the  deployment  of  scientific  data  infrastructure.  As  a  result  of  the  RI  call-4  the 
GÉANT3  project  and  six projects within the data infrastructure  were  recommended  for 
funding  and  are  now  in  the  contract  conclusion  phase.  GÉANT  is  the  advanced  pan-
European  backbone  network  connecting  National  Research  and  Education  Networks 
(NRENs) across Europe offering unrivalled geographical coverage, high bandwidth and 
innovative  hybrid  networking  technology.  GÉANT3  (the  3rd  phase  of  GÉANT)  will 
encompass  36  countries  including  the  NREN  organisations  from  all  member  states  and 
will  focus  on  advanced  service  provisioning.  The  selected  data  infrastructure  projects 
covering  a  broad  range  of  disciplines  from  Biosciences  via  Physics,  Information 
technologies to Environmental and Earth science address the challenge which poses the 
management of increasing amounts of scientific data on different scientific communities.  

The conference on 'Research Infrastructures and their structuring effect on the European 
Research Area' (ERA), held in Brdo, Slovenia, in March 2008, confirmed the important 
role of research infrastructures (including e-infrastructures) in contributing to sustainable 
regional development, economic growth and attracting a new generation of scientists and 
engineers. 

The  fifth  European  Conference  on  Research  Infrastructures,  which  took  place  in 
Versailles in December 2008, focused on the role of Research Infrastructures to address 
economic challenges linked to the Lisbon objectives and major societal problems, such as 
environmental  or  health  concerns.  On  this  occasion,  the  2008  update  of  the  ESFRI 
Roadmap was officially released. The conference also highlighted the main issues to be 
addressed to realise the ESFRI roadmap projects, confirmed as a priority for Europe. 

In 2008 in the context of e-Infrastructures a number of events were organized addressing 
specific e-Infrastructures topics. As a first example, the "Global Leader Event" that was 
organised by GÉANT2 in March in Bled, Slovenia, gathered almost 150 members of the 
global  research  networking  community  who  took  stock  of  the  current  status  and 
achievements  of  GÉANT2  and  further  discussed  on  next  challenges  like  on  regional 
networks and links that enable true global collaboration and on current and future uses of 
pan-European Networking.  

In May the TERENA Networking Conference 2008 that was organised by TERENA (the 
Trans-European  Research  and  Education  Networking  Association)  and  hosted  by 
BELNET (the Belgian national research and education network), focused on presenting, 
discussing and learning about the latest developments in networking technology for the 
research and education community and its use by the community. 

Two important events addressing e-Infrastructure policy aspects were organized by the e-
IRG  (e-Infrastructure Reflection  Group) policy committee. In March in Zürich an open 
workshop  discussed  on  opportunities  that  arise  in  enabling  an  easy  and  cost-effective 
shared use of distributed electronic resources across Europe based on the deployment of 
sustainable e-infrastructures. In a next e-IRG workshop in October in Paris, the needs of 
the ESFRI-roadmap projects with respect to e-Infrastructures were discussed and follow 
up actions were proposed.  

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1.2.4.2.  Research for the benefit of SMEs 

Small  and  medium-sized  enterprises  (SMEs)  play  a  crucial  role  in  European 
competitiveness  and  job  creation,  not  only  because  they  represent  the  overwhelming 
majority  of  enterprises  in  Europe,  but  also  because  they  are  a  source  of  dynamism  and 
change in new markets, particularly those at the leading edge of technology. Although a 
heterogeneous  community,  they  are  all  confronted  with  increased  competition  resulting 
from the European internal market and the need to constantly innovate and accommodate 
advances  of  technology.  The  scheme  for  SMEs  specific  measures  supports  SMEs  to 
outsource  research  and  demonstration  tasks  to  RTD  performers;  the  funding  rate  for 
SMEs was increased from 50% to 75% in FP7. 

Two  large  FP7  Calls  for  Proposals  were  closed  under  the  Research  for  the  Benefit  of 
SMEs Programme. Under the Research for SMEs call, 663 proposals were evaluated, of 
which 98 (14.8%) were retained for funding. The call for Research for SME Associations 
yielded  383  proposals;  evaluation  will  be  conducted  in  2009.  An  analysis  of  the 
proposals  submitted  under  the  Research  for  SMEs  call  confirms  that  the  programme  is 
appropriately tailored to the needs of SMEs. The high quality of projects submitted and 
the  large  number  of  participating  SMEs  (66.5%  of  all  participants  in  main-listed 
proposals) should make a profound economic impact.  

Many SME participants are represented by industrial organisations, clearly intending to 
apply  project  results  to  their  own  core  businesses.  A  good  example  of  how  SMEs  and 
research organisations can successfully collaborate is given by the BCA-GRAPE project 
that aims to develop a new bio-fungicide against a specific disease of grapevine. SMEs 
aim to increase crops while reducing the occurrence of diseases not effectively targeted 
by  available  products.  The  new  non-chemical  solution  has  the  potential  to  increase  the 
efficacy  of  controlling  the  disease  by  10%  respect  to  the  present  situation  and  thus  to 
contribute  to  saving  about  EUR  30  million  per  year  on  yield  losses.  The  resulting 
reduction in chemical inputs by about 5300 tons per year will represent indirect impacts 
on the quality of life, health and working conditions of growers (about 1.5 million people 
full time in EU25), food safety, health of consumers and the environment. 

The Council and the Parliament decided to support the Eurostars Joint Programme based 
on  Article  169  of  the  Treaty  by  up  to  EUR  100  million.  The  programme  is  jointly 
undertaken by EUREKA countries, supporting transnational projects initiated and led by 
R&D  performing  SMEs.  Eurostars  is  expected  to  contribute  to  building  the  European 
Research  Area  by  integrating  the  participating  national  programmes  into  a  joint 
programme at European level. 

Two major policy support initiatives were launched with the aim of developing research 
policy measures better suited for European SMEs. An evaluation process was launched to 
assess  the  impacts  on  and  the  benefits  for  SMEs  from  participation  in  transnational 
research  Cooperation  under  the  SME  specific  measures  (Co-operative  and  Collective 
Research)  of  the  Fifth  and  Sixth  Framework  Programmes.  The  resulting  study  will 
examine how SMEs make use of research results and how the take-up of new technology 
influences their competitiveness. The results of the evaluation are to be publicized in the 
third quarter of 2009. 

The Co-ordination and Support Action call was launched with the aim to obtain studies 
on  regional,  national  and  European  SME  research  and  technology-based  innovation 

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support programmes and actions, providing insight into effective methods and practices 
of assisting and coaching SMEs from the birth of the project idea to the exploitation of 
research results. 

1.2.4.3.  Regions of knowledge 

The  Regions  of  Knowledge  activity  aims  at  strengthening  the  capacities  of  EU  regions 
for research and development in order to support the Lisbon objective of turning Europe 
into the most competitive knowledge-based society.  

In  the  context  of  this  activity,  research-based  strategies  for  regional  economic 
development  are  defined  by  bringing  together  all  regional  stakeholders  (public 
authorities, research centres, universities, business) into regional research-driven clusters 
and promoting their cooperation throughout Europe. 

In  order  to  implement  those  newly  defined  research  strategies,  action  plans  mobilise 
regional,  national  and  European  funding  sources  and  address  the  potential  synergies 
between  European  policies,  especially  the  Research  Framework  Programme,  the 
Competitiveness and Innovation Programme and the Structural Funds. 

Two calls for proposals were published in 2008 targeting the transnational cooperation of 
existing  clusters  and  the  emergence  of  new  ones.  16  projects  are  currently  under 
negotiation for a total budget of EUR 10.6 million, covering 42 regions from 17 Member 
States. These  projects mostly address energy and biotechnology and,  to a lesser extent, 
the ICT sector and nano-materials. 

Among the proposals selected, INRES is based on the idea of bringing together regional 
research-driven  clusters  in  three  European  insular  regions:  the  Canary  Islands  (Spain), 
Crete (Greece) and Samsø (Denmark) to address energy concerns and define a common 
strategy  for  the  development  of  renewable  energy  technologies  mainly  derived  from 
wind, the sun or biomass. This will reduce the islands’ dependency on an external energy 
supply and, at the same time, reduce their energy costs. 

The  main  objective  of  SynBIOsis  is  to  develop  and  maximise  synergies  for  unique 
research  infrastructures  in  the  field  of  bioinformatics,  nano-biology,  computational 
biology and biomedicine in Central Europe. Two partner regions, South Moravia (Czech 
Republic) and Friuli-Venezia-Giulia (Italy) intend to join forces in the design of a newly 
planned  research  infrastructure  in  Moravia  primarily  financed  by  the  Structural  Funds. 
The  Italian  partner  region  will  use  the  experience  of  its  existing  research  infrastructure 
(AREA Science Park with the Free Electron Laser), which forms part of the ESFRI Road 
Map, to help increase the economic relevance of research infrastructures by introducing 
effective  collaboration  with  the  business  sector.  The  project  also  aims  at  exchanging 
experience  with  other  Central  European  regions  and  extending  the  network  to 
geographically proximate regions in order to seek complementarities. 

1.2.4.4.  Research potential 

The Research Potential initiative is a new  action  dedicated  to the  realisation of the full 
research  potential  of  the  enlarged  Union  by  unlocking  and  developing  existing  or 

EN 

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emerging  research  potential  in  the  European  Union's  convergence  regions71  and 
outermost regions72. 20 of the 27 Member States and 6 Associated Countries are eligible. 
The  convergence  regions'  research  actors  are  often  said  to  be  excluded  from  the 
European  Research  Area  and  'lose'  out  on  the  competitive  approach  of  FP7,  due  to  the 
brain  drain,  the  lack  of  infrastructures  and  an  appropriate  access  to  finance.  The  action 
aims to strengthen the research capacities by establishing  excellent  scientific entities  in 
these regions, thus allowing their researchers to successfully participate in European and 
international research activities and tackle the variety of challenges they encounter. 

In 2008, a total of 505 proposals were submitted in response to two calls for proposals, 
41  were  selected  for  funding  with  a  Community  contribution  of  EUR  31  million.  The 
selected  proposals  will  permit  the  emergence  of  top  class  research  centres  in  the  EU's 
Convergence  Regions  and  in  Associated  Countries  to  FP7  and  will  also  boost  the 
economic  development  of  the  Convergence  Regions  where,  up  until  now,  mature  low 
technology industries have had difficulty in adopting new technological processes. 

Among the research proposals selected, the project RUN SEA SCIENCE investigates the 
integrity of the marine environment in Western Indian Ocean (WIO) states, among which 
Reunion Island is the only outermost region from continental Europe. The project focuses 
on  the  local  critical  mass  and  skill  of  researchers  in  sea  sciences,  on  increasing  the 
visibility of the teams at regional and international levels, including the EU, and on the 
bridging  of  gaps  in  technology  by  setting  up  a  pole  of  excellence  in  marine  science  at 
Reunion Island. The measures implemented during the project will have several positive 
impacts  on  the  economic  aspects  of  fisheries  and  aquaculture,  as  well  as  on  the  social 
management  of  human  practices  in  coastal  areas,  notably  in  marine  protected  areas,  as 
the decrease of biodiversity and fish stocks in oceans and coastal areas is mainly caused 
by human pressure on habitats and marine resources. 

The  project  WETLANET  aims  to  enhance  the  research  potential  of  the  Central 
Laboratory of General Ecology (CLGE) in Bulgaria by strengthening the local laboratory 
network  for  studying  wetlands'  ecosystems.  The  specific  goals  include  the  exchange  of 
know-how, the improvement of human potential, the upgrading of research laboratories, 
and  further  training  possibilities  of  the  research  staff  in  an  international  scientific 
environment. The main expected outcome will be the better integration of the CLGE into 
the  European  Research  Area,  enforcing  wetland  science  within  the  region  and  the 
dissemination  of  achievements 
the 
international community. 

important  scientific  domain  within 

this 

in 

1.2.4.5.  Science in society 

Science  in  Society  focuses  on  building  an  effective  and  democratic  knowledge-based 
society,  by  ensuring  the  integration  of  scientific  and  technological  developments  into 
European society. 

With  regard  to  ethics  in  European  and  international  research,  the  FP7  activities  are 
carried  out  under  a  strict  ethical  framework.  Therefore,  the  Commission  constantly 

71 

72 

Convergence regions are listed in the C(2006) 3475 and are defined as those regions having a per 
capita gross domestic product (GDP) of less than 75% of the average GDP of the EU-25. 
Outermost regions are defined according to article 299§2 of the EC Treaty: Guadeloupe, French 
Guiana, Martinique and Réunion, the Canaries, and the Azores and Madeira.  

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conducts  ethics  reviews  of  proposals,  raising  ethical  issues.  By  the  end  of  2008,  477 
ethical  reviews  had  taken  place  under  FP7.  In  addition,  the  process  of  ethics  screening 
was  introduced  to  guarantee  an  appropriate  treatment  of  all  proposals,  raising  ethical 
questions. 

In February 2008, the Commission released a Recommendation73 to the Member States 
to  adopt  a  Code  of  Conduct  to  govern  research  in  the  field  of  nanosciences  and 
nanotechnologies (N&N)74. The Recommendation is in line with the objective to promote 
integrated  safe  and  responsible  N&N  as  a  part  of  the  2005  Nanotechnologies  Action 
Plan. In May 2008, the Commission had organised a first international conference on the 
code  of  conduct  and  its  content was well  received  by  national  and  international 
stakeholders. This will have far-reaching implications beyond EU borders. 

An expert group on the "global governance of science" had been established in 2008 as 
was  foreseen  in  the  Science  in  Society  Work  programme.  Legal  scholars,  sociologists, 
philosophers  and  political  scientists  from  Europe,  the  USA, China  and  South-Africa 
contributed  to a  report  which  seeks  to  advance  a  vision  of global  governance for the 
common  good  that  invokes  European  principles  of  good  governance  and  fundamental 
rights.  The report  addresses specific  issues concerning global aspects  of  the European 
Research  Area  such  as  scientific  misconduct,  converging  and  or  diverging  ethical 
standards for research. 

Activities  on  the  open  access,  publishing  and  dissemination  of  scientific  information75, 
were  distinctly  amplified  in  2008  within  the  scientific  community  and  beyond.  In  this 
context,  the  most  significant  pilot  project  on  open  access  in  FP7  was  launched76.  Its 
success  was  reinforced  by  SINAPSE77,  a  web  communication  platform,  which  aims  to 
use expertise in the EU governance (networking of advisory bodies) in a more efficient 
way, to support the expert groups, ad-hoc/public consultations or e-debates, and to create 
e-communities.  In  2008,  1689  members  and  259  organisations  registered  in  SINAPSE, 
reaching a total of 4988 and 1150 respectively since the start in 2005. 

The 20th anniversary of the European Union Contest for Young Scientists took place in 
September in Copenhagen, Denmark. The contest involved 32 EU and Associated States, 
representatives from the European Schools, as well as contestants from Brazil, Canada, 
China, Mexico, New Zealand, Nigeria and the United States. The three first prizes went 
to  the  projects  from  Poland  (mathematics),  Slovakia  (engineering)  and  the  UK  (earth 
sciences).  For  the  first  time  the  Commission  awarded  a  Prize  for  International 
Cooperation, which went to a project in the area of medical sciences from New Zealand.  

In the context of strengthening and developing human potential activities 2008 has been a 
year of consolidation. 

Two  projects,  DIVERSITY  and  WHIST,  were  selected  for  funding  to  formulate 
measures for changing the "mind-set" of the research community with regard to gender 
diversity  in  recruitment  and  career  development  policies  in  research  organisations  -  in 

73 
74 
75 
76 
77 

C (2008) 424 
Following a consultation on the Code of Conduct in July 2007 
Initiated already in 2007 
http://ec.europa.eu/research/science-society/open_access/  
http://europa.eu/sinapse  

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particular  in  terms  of  increasing  the  participation  of  women  at  the  highest  levels  of 
research.  

The  "Women  in  Research  Decision-Making"  expert  group  published  its  final  report 
"Mapping the maze: getting women to the top in research" in 2008. Among its findings 
was that the commitment of research decision-makers is needed, and that transparent and 
fair  evaluation  and  promotion  procedures  alone  are  not  sufficient  to  improve  gender 
balance in research decision-making. A change of culture in research institutions is also 
required. 

With the support of Member States  representatives the report "Benchmarking  of policy 
measures for gender equality in science" gives an overview of current policies throughout 
Europe, and provides an original statistical analysis linking policy with number of female 
scientists. The statistical analyses show that the presence of certain equality measures is 
linked with the rates of participation of women in science. 

Two  calls  for  proposals  in  the  area  of  supporting  science  education  were  published  in 
March (EUR 4.8 million) and September (EUR 7.5 million). One large project is under 
negotiation  and  others  are  being  evaluated.  These  calls  target  inquiry  based  science 
education  techniques  and  follow  closely  the  recommendations  of  the  expert  report 
"Science Education Now: a Renewed Pedagogy for the Future of Europe". The high level 
of interest in terms of proposals submitted to these calls demonstrates that not only is the 
subject  matter  recognised  as  being  crucial  to  the  development  of  human  resources  in 
Europe but that there is broad scope for collaborative European actions. 

In  line  with  the  2006  Communication  "Delivering  on  the  Modernisation  Agenda  for 
Universities:  Education,  Research,  Innovation"  on  the  challenges  for  European 
university-based  research78,  several  initiatives  have  been  taken  in  2008,  such  as  the 
delivery  of  the  expert  group  report  on  the  impact  of  external  project-based  research 
funding on the financial management of universities. It provides an overview of external 
project-based funding, stresses the role of external funding in the modernisation process 
of universities, and proposes adequate action lines to be taken at European and national 
level. 

1.2.4.6.  Activities of international cooperation 

FP7 places a new emphasis on international research cooperation, which is increasingly 
seen as being at the centre of Community policies. In order to become more competitive 
and play a leading role at world level, Europe needs a strong and coherent international 
science  and  technology  policy.  To  this  end,  the  'Strategic  European  Framework  for 
International  S&T  Cooperation'79  adopted  in  2008  will  increasingly  help  to  make 
European research actions for international cooperation more coherent and efficient and 
help  to  respond  to  the  aspirations  of  potential  partners  in  neighbouring  countries  and 
worldwide. 

78 

79 

COM(2006)208  "Delivering  on  the  modernisation  agenda  for  universities:  Education,  Research, 
Innovation" 
COM  (2008)588  "A  strategic  European  framework  for  international  science  and  technology 
cooperation" 

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37 

   EN 

 
                                                 
The  "Strategic  European  Framework"  stresses  the  importance  of  developing  the 
partnership between Member States and the Commission to strengthen coordination and 
create  synergies  in  S&T  cooperation  with  the  rest  of  the  world.  Council  Conclusions 
were  adopted  on  2  December  endorsing  the  concept  and  making  provisions  for  the 
establishment  of  a  dedicated  configuration  of  CREST  to  be  known  as  the  Strategic 
Forum for International S&T Cooperation. The Forum has been mandated "To facilitate 
the further development, implementation and monitoring of the international dimension 
of  ERA  by  the  sharing  of  information  and  consultation  between  the  partners  (Member 
States  and  the  Commission)  with  a  view  to  identifying  common  priorities  which  could 
lead to coordinated or joint initiatives, and coordinating activities and positions vis-à-vis 
third countries and within international fora." 

In  2008,  six  INCO-NET  projects  were  launched  in  the  framework  of  bi-regional 
coordination  of  scientific and  technology (S&T) cooperation,  with an  overall budget  of 
EUR  17.5  million  covering  the  following  regions:  Western  Balkan  Countries  (WBC), 
Eastern  Europe  and  Central  Asia  (EECA),  Mediterranean  Partner  Countries  (MPC), 
South  East  Asia,  Latin  America  and  Sub-Saharan  Africa.  The  concept  of  the  WBC-
INCO.NET  project  is  to  promote  a  strategic  partnership  with  an  intense  programme  of 
coordination and networking activities in the field of RTD between the European Union, 
Associated Countries and Western Balkan Countries. The project intends to identify RTD 
priorities  which  could  eventually  be  taken-up  in  forthcoming  FP7  calls  and  to  enhance 
the  participation  of  researchers  from  the  WBC  in  European  projects  of  mutual  interest 
and benefit. 

Bi-lateral coordination for the enhancement and development of S&T partnerships with 
targeted  countries  that  have  signed  or  are  in  the  process  of  signing  an  S&T  agreement 
with the Community (BILAT) can best be illustrated by two of the 11 successful projects 
that  were  signed  in  2008  with  a  total  budget  of  EUR  6.4  million.  The  project  BILAT-
RUS  focuses  on  support  of  sustainable  implementation  of  the  Common  Space  on 
Research,  Education  and  Culture  between  the  EU  and  Russia,  whereas  the  project 
BILAT-UKR will strengthen the S&T cooperation between the EU and the Ukraine. 

ERA-NET and ERA-NET PLUS projects enhance coordination of national policies and 
programmes  of  Member  States  and  Associated  States  in  international  S&T  cooperation 
with third countries' participation. Among the 5 proposals selected, New INDIGO aims at 
analysing existing bilateral activities and programmes between Member States and India 
and enhancing networking to ultimately provide a framework for joint activities between 
European countries and India. 

1.2.4.7.  Risk-sharing finance facility (EIB) 

See 1.2.1.11. 

1.2.4.8.  Coherent development of research policies 

Achieving the aspiration of the Lisbon Strategy to transform the EU into a knowledge-
based  society  requires  more  and  better  investment  in  R&D.  Ensuring  progress  towards 
the  objective  of  investing  3%  GDP  in  R&D  and  achieving  an  open  and  competitive 
European Research Area (ERA) are two mutually reinforcing objectives which are vital 
in this respect. Both of these aspirations can only be attained when policy-makers at all 
levels  (regional,  national,  European)  are  committed  to  developing  their  policies  in 
coherence with each other towards a common set of objectives.  

EN 

38 

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This  activity  Coherent  development  of  research  policies  aims  to  stimulate  the  coherent 
development of research policies by supporting policy-making based on reliable evidence 
and by facilitating the coordination of research policies across Europe. 

The Open Method of Coordination (OMC) provides Member States with an opportunity 
to learn from each other, exchange experience and identify good practice. The OMC in 
the  field  of  research  policy  is  supervised  by  the  Scientific  and  Technical  Research 
Committee (CREST) through a system of yearly cycles. Each cycle focuses on a limited 
number  of  policy  issues.  In  2008,  working  groups  were  established  to  work  on  the 
following  topics:  universities,  industry-led  competence  centres,  internationalisation  of 
R&D and policy mix peer reviews. All groups finalised their work in early 2009. 

Throughout  2008,  an  expert  group  performed  an  independent  assessment  of  the  impact 
generated by the OMC at national level. The main conclusions of the expert group were 
that  the  OMC  has  created  an  entirely  new  approach  to  Community  and  Member  State 
research policy-making and that it has had a positive impact in terms of policy learning at 
national  level80.  The  expert  group  recommended  focusing  future  OMC  work  on  a 
"coordination through learning" approach. 

To  complement  the  multilateral  OMC  process  the  OMC-NET  call  scheme  was 
developed.  The  objective  of  this  scheme  is  to  support  mutual  learning  and  policy 
coordination activities carried out by more limited groups of Member States and/or their 
regions  on  policy  issues  of  their  specific  interest.  As  a  result  of  a  call  launched  in 
September 2007, seven projects were selected for funding. 

Further  editions  of  the  Science,  Technology  and  Competitiveness  Key  Figures  report81 
and the Industrial R&D Investment Scoreboard82 were published. The Key Figures report 
provides  the  most  recent  data  on  Europe's  position  in  R&D.  The  Industrial  R&D 
Investment  Scoreboard  analyses  private  R&D  investment  and  the  strategies  of  2000 
companies around the world. Publications such as these help to raise the awareness of the 
challenges European R&D faces and of the possible policy responses. 

By the end of 2008, a number of activities were launched to take stock of progress made 
since  the  launch  of  the  Lisbon  Strategy  and  of  the  3%  objective  and  to  prepare  for  the 
post-2010 period. Apart from a study on sectoral R&D intensity evolutions, this involved 
the  creation  of  three  expert  groups  on  the  following  topics:  the  role  of  Community 
instruments in building a knowledge-based society; the 3% objective (i.e. progress made 
and post-2010 scenarios); and indicators to measure progress towards ERA. 

Another expert group report was published on "Strengthening research institutions with a 
focus  on  university-based  research"83.  It  presents  specific  recommendations  on  the 
modernisation  of  universities,  including  aspects  such  as  university  funding  and 
autonomy,  governance,  accountability  and  performance,  collaboration,  partnerships  and 
human resources, and ways to improve the overall research quality in universities. 

80 

81 
82 
83 

EN 

of 

the 

group 

report 

expert 

The 
research/pdf/download_en/eur_23874_texte_web.pdf 
See http://ec.europa.eu/research/era/pdf/key-figures-report2008-2009_en.pdf 
See http://iri.jrc.ec.europa.eu/research/scoreboard_2008.htm 
The 
http://ec.europa.eu/euraxess/pdf/dgs150_era_greenpaper_eg3_en_080403.pdf 

available 

expert 

report 

group 

at 

is 

is 

available 

http://ec.europa.eu/invest-in-

39 

at 

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1.3. 

FP7: Direct actions by the Joint Research Centre 

The  mission  of  the  Joint  Research  Centre  is  to  provide  customer-driven  scientific  and 
technical  support  for  the  conception,  development,  implementation  and  monitoring  of 
European Union policies. As a service of the European Commission, the Joint Research 
Centre functions as a reference centre of science and technology for the Union. Close to 
the  policy-making  process,  it  serves  the  common  interest  of  the  Member  States,  while 
being independent of special interests, whether private or national. 

A  panel  of  14  international  experts  led  by  Sir  David  King  has  completed  an  in-depth 
review  of  work  carried  out  by  the  Joint  Research  Centre  from  2002  to  2006  under  the 
Sixth  Framework  Programme  for  Research  and  Technology  Development  (FP6)84. 
Success  factors  were  identified  as:  delivering  continued  service  to  the  European 
Commission  without  compromising  scientific  vitality  or  integrity;  responding  to 
customer needs;  integration  of the  seven  research  Institute's  competencies  and  facilities 
around 
increased  networking  activities  across  Europe  and 
internationally;  enhanced  researcher  training;  and  assisting  Candidate  Countries  in  the 
last steps of the ĖU accession process. The report singles out as special achievements the 
JRCs  role  in  assisting  new  Member  States  in  the  uptake  of  EU  legislation,  delivering 
well-respected  international  services  in  several  areas  of  competence,  and  in  enhancing 
the training of European researchers. 

thematic  priorities; 

Activity 1 directly financed research FP7 EC 

In  the  area  of  Health  and  consumer  protection,  the  JRC  published  a  study  entitled 
"Scientific and technical contribution to the development of an overall health strategy in 
the area of GMOs (genetically modified organisms)". 

The year 2008 represented a milestone in the history of the European Chemicals Bureau (ECB) 
marking its fifteenth year of activity evaluating dangerous chemicals, and at the same time, the 
accomplishment of its tasks and handover of the activities to the newly created European 
Chemicals Agency (ECHA). 

Within  the  scope  of  the  recent  financial  crisis  and  in  order  to  reinforce  the  stability  of  the 
financial  system,  the  JRС  contributed  to  the  revision  of  EU  rates  on  Deposit  Guarantee 
Schemes  which  are  a  key  element  of  the  financial  safety  net  ensuring  that,  if  a  bank  fails, 
depositors will be able to recover at least a part of their money. This increases confidence in 
the banking sector and avoids bank runs leading to severe economic consequences. 

The  functioning  of  Deposit  Guarantee  Schemes is  regulated  in  the  EU  by  the  Directive 
94/19/EC. A revision of this Directive has being going on for the last few years and the JRC 
supported this process by providing a number of technical studies. 

In 2008, the JRC released a new reference material certified for the mass concentration of 
12  serum  proteins.  Measurements  of  serum  are  used  for  the  diagnosis  of  many  conditions 
including infection, liver or kidney disorders, iron deficiency, malnutrition and the monitoring 
important 
of  autoimmune  diseases.  Consequently, 
measurements  done  in  clinical  chemistry.  The  International  Federation  of  Clinical 

they  are  amongst 

the  most 

84 

Report 
http://ec.europa.eu/dgs/jrc/downloads/2008_expost_fp6_evaluation_final_report_en.pdf  

available 

at 

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40 

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Chemistry (IFCC), which actively supports standardisation in clinical chemistry, collaborated 
with the JRC on the development of this material. 

On Nanotechnology the European Commission's communication on regulatory aspects of 
nanomaterials  (COM  (2008)  366)  reported  that  the  scientific  basis  needed  to  fully 
understand all properties and risks of nanomaterials is insufficient. It concluded that rapid 
improvement  of  scientific  knowledge,  such  as  data  on  toxic  effects  and  specific 
characteristics  of  nanomaterials,  was  required.  To  better  understand  the  correlations 
between  structural  and  functional  properties  of  nąnoparticles,  one  needs  to  accurately 
measure  their  physicochemical  characteristics.  The  key  measurement  is  expected  to  be  the 
analysis of the particle size. The JRC is also investigating the potential toxicological effects 
of  nąnoparticles,  focusing  on  their  physico-chemical  characteristics  and  biological  activity. 
The activity has been developed in collaboration with scientific partners and international 
organisations. 

The JRC published a report in 2008, entitled, "Adoption and performance of the first GM crop 
introduced in EU agriculture: Bt maize in Spain", presenting the results of a field survey of 
commercial maize farmers in Spain - the largest EU producer of GM maize. This study looks 
for the first time into the agronomic and economic performance of a GM crop in Europe 
(Bt maize) during three growing seasons (2002-4). Researchers also looked into the profile 
of farmers who adopted Bt maize versus those who did not. 

Contributions to the environment and climate change dealt with the shared Environmental 
Information  System  (SEIS)  (COM  (2008)46)  which  modernise  and simplify the collection, 
exchange, and use of environmental information. It builds on three pillars: 

–  INSPIRE (Infrastructure for Spatial Information in Europe Directive (2007/2/EC); 

–  GEOSS (Global Earth-Observation System of Systems, an international initiative to link 

earth observing systems; 

–  GMES  (Global  Monitoring  for  Environment  and  Security)  (COM(2008)748)  which 
aims to develop a European independent capacity for monitoring the Earth's environment 
and  security  threats,  and  contribute  new  services  to  SEIS  (Shared  Environmental 
Information System). 

The  JRC  ensures  the  technical  coherence  of  SEIS,  INSPIRE,  GMES  and  GEOSS  and 
provides contents through two data centres: 

The European Forest Data Centre (EFDAC) which is the focal point for data and information 
on forests in Europe, and the European Soil Data Centre (ESDAC) which is the thematic 
centre  for  soil-related  data  in  Europe  and  has  been  established  according  to  a  decision 
taken by the European  Commission's Enviromnent DG, the JRC,  the  European  Statistical 
Office (EUROSTAT) and the European Environment Agency. 

A  key  contribution  to  the  European  and  international  discussion  on  the  consequences  of 
climate  change  has  been  provided  by  the  JRC  reference  report,  "Impacts  of  Europe's 
changing climate". The report, jointly prepared with the European Environment Agency 
and  the  World  Health  Organization,  analyses  a  wide  range  of  fields  and  highlights  that 
vulnerability to climate change varies widely across regions and sectors in Europe. 

EN 

41 

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In the area of sustainable energy the JRC was the co-ordinator and operator of the Information 
System  of  the  European  Strategic  Energy  Technology  Plan  (SETIS)  -open  access 
information  and  knowledge  management  system  designed  to  provide  regular  and  reliable 
information  and  data  for  effective  strategic  planning.  The  JRC  contributed  to  the  second 
Strategic European Energy Review which focused on energy security and solidarity. 

The  report  "Biofuels  in  the  European  context:  facts  and  uncertainties"  was  published  in 
March  2008  as  a  contribution  to  the  Commission's  "Proposal  for  a  Directive  of  the 
European  Parliament  and  of  the  Council  on  the  promotion  of  the  use  of  energy  from 
renewable  sources  (COM(2008)19)"-  The  document  integrated  the  work  of  several  JRC 
Institutes and added some of the latest information available on indirect effects of biofuels 
production  in  developing  countries.  It  provided  significant  input  to  the  development  of 
policy. 

Response to crises in 2008 

In 2008, the JRC continued its efforts to enhance the capacity of the European Commission 
to anticipate, prepare and respond to crises. In co-operation with the European Union Satellite 
Centre (EUSC), a civilian damage assessment of transport infrastructure as well as residential 
and non-residential structures in the core conflict area of the Georgian Territory was carried 
out. 

In 2008, the European Commission and Member States worked closely together to prepare 
for  the  then  coming  forest  fire  season,  building  on  the  lessons  learnt  from  the  tragic 
experiences  of  2007.  Five  Member  States  and  the  European  Commission's  disaster 
Monitoring and information Centre (ШС) were involved in a large-scale simulation exercise 
in Sardinia that ran from 16 to 29 April 2008. 

Activity 2 directly financed research FP7 EURATOM 

The  JRC's  objectives  in  the  Euratom  programme  are  to  provide  relevant  scientific  and 
technical data in the fields of reactor and fuel cycle safety including waste management, 
nuclear security and basic sciences. In particular, in the 2008, the following achievements 
were reached. 

Nuclear Safety: JRС research on nuclear safety has contributed to improving the safety of 
nuclear  power  plants  in  the  new  Member  States.  Moreover,  the  JRС  has  launched,  in  the 
interest  of  European  national  safety  authorities,  the  'Nuclear  Safety  Clearing  House', 
aiming  at  delivering  analyses  and  feed-back  recommendations  on  operational  events  in 
nuclear plants. The JRС paved the way to the accession of Euratom to the "Generation IV 
International Forum" which aims to develop the fourth generation of nuclear reactors by 2030 
with improved safety, cost, non-proliferation and  waste  management  features.  In  this  way, 
the JRС opened the opportunity to contribute to this initiative for all Member States who wish 
do so, thus contributing to ensuring that European nuclear know-how and skills will retain their 
leadership. 

Nuclear Security: the JRС contributed to enhance the nuclear security in the EU through its 
scientific  support  to  the  Euratom  inspectorates  including  training  and  technological 
improvements  provided  to  the  European  reprocessing  plants  in  Sellafield (Great  Britain) 
and La Hague (France). The JRС has successfully traced the origin of several finds of illicit 
nuclear  materials  (Germany,  Slovakia,  The  Netherlands)  and  thus  provided  essential 

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42 

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support  to  the  competent  authorities  in  Member States as well as the International Atomic 
Energy Agency (IAEA) in their investigations. 

Basic sciences: The JRС research programme in fundamental sciences has lead to advances 
in the medical field (cancer therapy), and in the understanding the physics of actinides, and has 
been a key player in the European education and training networks of scientists. 

1.4. 

Research and training actions under the EURATOM Treaty 

Fusion energy 

The objective of fusion research in the 7th Euratom Framework Programme is to develop 
the  knowledge  base  for,  and  to  realise  ITER  as  the  major  step  towards,  the  creation  of 
prototype  reactors  for  power  stations  that  are  safe,  sustainable,  environmentally 
responsible,  and  economically  viable.  ITER  aims  to  demonstrate  the  scientific  and 
technological feasibility of fusion energy to reach this goal. It will produce, for extended 
periods,  significantly  more  power  from  fusion  reactions  than  is  needed  to  sustain  the 
plasma, with steady-state operation as an ultimate goal. In addition, the ITER device will 
demonstrate the performance and integration of fusion technologies, and test components 
for a future reactor. The construction of ITER is accompanied by a strong and focussed 
European  programme  to  prepare  for  the  exploitation  of  ITER  and  to  develop  the 
technologies and knowledge base that will be needed during its operation and beyond. 

During 2008, Europe was the major contributor to the advancement of the ITER project, 
providing more than half of the professional staff and progressing in the preparation of 
the  ITER  site  in  Cadarache,  France,  where  the  site  levelling  has  been  completed.  A 
significant  achievement  in  2008  was  the  completion  of  the  ITER  design  review,  which 
confirmed  the  general  validity  of  the  ITER  design,  although  pointing  out  the  need  of 
introducing  a  number  of  additional  features  recognised  by  all  Parties  as  necessary  for 
completeness and for reducing the technical risks to the project mission. Reassessment of 
the design resulted also in the update, by two separate panels of independent experts, of 
the estimates of the resources needed by the ITER International Organization (IO) and by 
the  European  Joint  Undertaking  'Fusion  for  Energy'  (F4E)  respectively.  The  reports  of 
the  panels  indicate  that  the  estimated  costs  for  ITER  will  be  significantly  higher  than 
initially  planned,  in  particular  for  the  European  in-kind  contribution  to  be  provided 
through F4E. Several recommendations put forward to improve the management within 
the  ITER  IO  and  the  interaction  between  the  ITER  IO  and  the  Domestic  Agencies  are 
now being taken into account. The aim of these recommendations is to integrate technical 
requirements  with  considerations  of  practicality  and  cost  containment.  Although 
significant variations in cost and schedule appear unavoidable, further effort is ongoing 
to achieve a consensus among the ITER Parties on a Project Baseline (scope, cost, and 
schedule) at the November 2009 ITER Council meeting. 

F4E achieved full autonomy in all its functions early in the year and continued to build 
up  the  body  of  highly  qualified  staff  which  it  needs.  The  first  Calls  for  Tender  for 
services and ITER procurement contracts were launched. Progress in the projects under 
the  Broader  Approach  Agreement  with  Japan  included  the  completion  and  adoption  of 
the Integrated Design for the JT-60SA tokamak in Japan. The construction of JT-60SA 
can now begin.  

A  panel  of  independent  high-level  experts  appointed  by  the  Commission  carried  out  a 
review motivated by the need to support the rapid and efficient development of fusion as 

EN 

43 

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an  energy  source  and  to  maintain  in  the  programme  the  facilities  needed  to  fulfil  its 
medium and long term objectives. The report of the panel outlined a vision of the R&D 
required  and  reviewed  the  significant  facilities  (existing,  under  construction  and 
proposed) needed to support this R&D. The panel underlined the quality of the research 
community,  the  coherence  of  the  programme  and  the  essential  role  played  by  the 
European  fusion  laboratories.  It  recommended  a  roadmap  for  facilities,  prioritised 
according to their importance for ITER and DEMO. 

Integration  of  the  fusion  programme  under  the  coordination  of  EFDA  (the  European 
Fusion  Development  Agreement)  was  further  strengthened  in  2008  through  additional 
Euratom  financial  support  for  priority  training  and  research  actions,  including  the 
procurement of a High Performance Computer (HPC) for Fusion Applications as a joint 
research  infrastructure  in  support  of  ITER  and  DEMO.  EFDA  also  coordinated  the 
scientific  exploitation  of  the  JET  facility,  which  is  aimed  at  consolidating  the  ITER 
design,  defining  auxiliary  systems  and  optimising  future  ITER  operations.  Preparations 
for a shutdown of the facility which will begin in 2009 to install further ITER-relevant 
components made substantial progress.  

Fission & Radiation Protection 

FP7 continues to provide support for R&D in EU Member States in a range of important 
areas,  from  fission  energy  technology  to  nuclear  safety,  radioactive  waste  management 
and radiation protection. EU energy policy, in particular the Strategic Energy Technology 
(SET)  Plan,  provides  an  emerging  and  crucial  additional  focus  for  this  research  effort, 
though  the  Euratom  programme  still  maintains  its  important  input  in  areas  such  as 
nuclear safety and radiation protection.  

Approximately EUR 51 million of FP7 funding was made available in 2008 for support 
to research in the broad area of nuclear fission and radiation protection. In response to the 
call  for  proposals  published  in  late  2007,  DG-RTD  services  received  a  total  of  42 
proposals,  4  of  which  failed  to  meet  one  or  more  of  the  eligibility  criteria  and  of  the 
remaining  38  evaluated  by  the  independent  experts,  9  were  considered  to  be  below 
threshold. Eighteen proposals were ranked for immediate grant negotiations. In total, the 
38 evaluated proposals were requesting more than EUR 78 million of FP7 funding. 

The principal concern of the Euratom programme is to ensure that the support in fission 
and radiation protection remains as effective and relevant as possible by maximising the 
coordination  with  national  and  industrial  research  programmes  in  Europe.  The 
the  embryonic 
Sustainable  Nuclear  Energy  Technology  Platform 
"Implementing Geological Disposal Technology Platform" (IGD-TP)86, and MELODI87 
are  all  producing  Strategic  Research  Agendas  (SRAs)  enabling  the  Euratom  effort  to 
maintain  this  focus.  Through  such  initiatives  a  true  European  Research  Area  (ERA)  is 
being established in the nuclear sector. 

(SNE-TP)85, 

Covering  the  field  of  nuclear  systems  and  safety,  SNE-TP  presented  its  SRA  at  the 
platform's  first  General  Assembly  on  26  November  2008.  This  will  promote  R&D 
cooperation  in  fields  such  as  continued  safe  operation  of  current  reactors  and  the 

85 
86 
87 

http://www.snetp.eu  
http://www.igdtp.eu  
"Multidisciplinary European Low-Dose Initiative" (MELODI), http://www.hleg.de  

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44 

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development  of  the  next  (4th)  generation  of  nuclear  reactor  technology.  The  latter 
includes both fast neutron reactors and high-temperature reactors for the cogeneration of 
electricity and process heat for industrial applications (e.g. hydrogen production). Today, 
SNE-TP has more than 60 members from 19 countries and represents all key European 
R&D players in this field. Future Euratom FP7 calls for proposals will incorporate key 
actions in line with SRA priorities. 

In October 2008, the 7th Euradwaste conference88 was held in Luxembourg. This major 
international event, organised by DG-RTD, was a showcase for current Euratom research 
on  geological  disposal  of  radioactive  waste  as  well  as  techniques  such  as  "partitioning 
and  transmutation"  to  reduce  waste  volumes  or  radiotoxicity.  The  conference  also  saw 
key  discussions  on  establishing  IGD-TP,  with  considerable  progress  being  made  in 
defining the common vision for R&D in the area of geological disposal. This technology 
platform  will  be  formally  launched  during  2009,  with  the  aim  to  coordinate 
implementation-oriented  R&D  in  support  for  the  deployment  of  the  first  geological 
repositories in Europe by 2020-25. 

The  other  important  ERA  initiative,  MELODI,  was  formally  established  by  the  High-
Level  and  Expert  Group  (HLEG)  on  low-dose  risk  towards  the  end  of  2008.  MELODI 
will  ensure  a  strategic  approach  to  low-dose  research  within  Europe,  including  joint-
programming  type  activities  covering  topics  such  as  radiobiology  and  effects  on  the 
genome,  DNA  damage,  radio-sensitivity,  etc.  In  support  of  this  initiative,  a  major 
Network of Excellence is foreseen in the 2009 Euratom call, published in late 2008.  

The  Euratom  programme  is  promoting  international  cooperation  where  there  is  clear 
mutual interest and benefit. In 2008, a further meeting of the joint Euratom / ROSATOM 
working group on fission R&D cooperation identified specific topics for insertion in the 
2009  Euratom  FP7  call  for  proposals.  In  October,  a  meeting  took  place  in  China  to 
endorse  a  similar  approach  with  Chinese  R&D  stakeholders.  A  Euratom-China  fission 
R&D seminar took place in early 2009 in order to identify topics for the 2010 Euratom 
call.  Regarding  multilateral  cooperation,  Euratom  maintains  its  commitment  to  the 
Generation-IV International Forum (GIF) and key projects launched following the 2008 
call will contribute to this global initiative. 

1.5. 

Completion of previous Framework Programmes and other activities 

In July 2008, the expert group for the ex-post evaluation of FP6 met for the first time to 
proceed with their findings on the achievements, design and implementation of previous 
framework  programme  for  research  and  technological  development.  In  addition  to  this 
general  evaluation,  detailed  assessments  are  still  being  carried  on  the  economic,  social 
and  environmental  impacts  of  the  research  activities,  funded  under  the  Specific 
Programmes of FP6.  

In  the  field  of  health,  the  FP6  Integrated  project  VIZIER  (Comparative  Structural 
Genomics of Viral Enzymes Involved in Replication)89 initiated the collaboration of 23 
leading European laboratories to determine the 3D-stuctures of virus proteins needed for 
virus replication, in order to develop new drugs against viruses such as Avian Flu, SARS, 

88 

89 

EN 

Euradwaste'08 
fission/euradwaste2008_en.html  
EUR 12.9 million, started 1 Nov. 2004, 4 -year project 

proceedings 

available 

– 

at 

http://cordis.europa.eu/fp7/euratom-

45 

   EN 

 
                                                 
Chikungunya,  Dengue,  West  Nile,  Ebola,  Measles,  and  Hepatitis.  Through  close 
partnerships  with  major  players  from  the pharmaceutical  industry  such  as  Novartis  and 
Sanofi-Aventis, 300 viruses were examined. VIZIER successfully launched an  antiviral 
drug to combat the Chikungunya virus90 and conducted a research project on the Dengue 
virus91. 

The  field  of  food  was  marked  by  the  successful  completion  of  two  projects.  HELENA 
was  launched  to  provide  an  overview  of  fitness  and  physical  activity  patterns  of  3000 
adolescents  from  13  to  17  years  old  in  Europe  and  to  enhance  their  nutritional  and 
lifestyle  habits.  Using  a  common  methodology  across  10  EU  countries,  the  project 
enabled policy makers to develop effective recommendations for the future. Taking into 
account  a  broad  range  of  ethical,  social  and  economical  factors,  the  SAFE  FOODS 
project developed a new Risk Analysis Model for foods produced by different breeding 
approaches  and  production  practises.  Due  to  its  transparency  and  newly  developed 
methods,  this  model  will  have  significant  implications  for  better  risk  identification, 
management  and  assessment,  easily  applicable  by  various  stakeholders  such  as  risk 
assessors, regulatory bodies, food producers and consumer organisations. 

In  the  field  of  socio-economic  sciences  and  the  humanities,  the  project  CHALLENGE 
succeeded  in  defining  and  facilitating  responsible  judgements  on  new  security  policies 
and  practices,  to  minimise  the  restrictions  on  liberties  and,  thus,  to  foster  democratic 
accountability. 

In the field of industrial technologies, the KMM Network of Excellence (NoE) aimed at 
mobilisation  and  concentration  of  the  fragmented  scientific  potential  in  the  field  of 
intermetallics, metal-ceramic composites and functionally graded materials (abbreviated 
as KMM) to create a durable and efficient structure capable of developing leading-edge 
research while spreading the accumulated knowledge outside the Network and enhancing 
the  technological  skills  of  the  related  industries.  KMM-NoE  focused  on  understanding, 
designing and developing new materials with superior properties92. Target applications of 
KMM  are  in  aerospace  and  automotive  transport,  energy  and  machinery  industries, 
electronics and biomedical industry.  

The FP6 Audit Strategy contributes to the reasonable assurance of the relevant Directors-
General that the research budget under their responsibility is spent in compliance with the 
regulatory framework.  

The  implementation  of  the  FP6  Audit  Strategy  has  meant  a  significant  cultural  change, 
through  a  reinforced  focus  on  audit  and  control  matters.  The  Audit  Strategy  has 
strengthened the audit and control pillar of the research process cycle and it has also led 
to a large increase of staff with auditing, accounting and control skills. 

In this first period of the implementation of the FP6 Audit Strategy the focus has been on 
a  substantial  increase  in  the  number  of  audits,  the  improvement  of  the  consistency  of 
approach and more homogeneous audit policies (including reporting and documenting), 

90 
91 
92 

In collaboration with Sanofi-Aventis and UVE from the Université de la Méditerranée, Marseille 
In collaboration with the CNRS, Marseille 
Such  as  lower  density,  high  strength  and  hardness,  excellent  performance  in  high-temperature 
regimes, enhanced fracture toughness and fatigue lifetime, superior resistance to wear, corrosion 
and oxidation. 

EN 

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the  calculation  of  a  reliable  error  rate,  presentations  to  the  potential  auditees  and  the 
introduction of the extrapolation procedure.  

The number of audits closed to date – i.e. at the mid-term stage of the implementation of 
the Audit Strategy - is impressive: more than 1000 FP6 audits have been closed covering 
2130  participations.  The  audited  amount  of  Community  contributions  in  a  FP  has 
previously never been as high (close to EUR 800 million).  

Reliable, statistically representative results, in terms of error rates, are available in order 
to  assess  the  regularity  and  legality  of  the  underlying  transactions  under  FP6.  The 
cumulative error rate at the end of 2008, stood at 2.9%. The audit information will also 
be useful for future efforts of simplification. 

1.6. 

Research programme of the Research Fund for Coal and Steel 

On 29 April 2008, the Council adopted a decision on the revised multiannual technical 
guidelines  governing  the  research  programme  of  the  RFCS93,  whilst  further  improving 
complementarity  with  the  Seventh  Research  Framework  Programme  (FP7)  and  taking 
account of the recent EU enlargement steps. These new guidelines introduced a number 
of  simplified  administrative  and  operational  procedures  and  increased  the  financial 
support from 40 to 50% for pilot and demonstration projects. The research programme of 
the  Research  Fund  for  Coal  and  Steel  (RFCS),  that  is  separate  and  complementary  to 
FP7, covers all aspects of coal and steel, from production processes to application. This 
programme has an annual budget of approximately EUR 55 million for research in these 
two areas, financed by the interest on the assets of the now expired European Coal and 
Steel Community Treaty. In 2008, of a total of 21 and 97 proposals received respectively, 
9  new  coal  and  44  new  steel-related  projects  were  financed  by  EU  support  for  a  total 
amount of EUR 50.72 million. 

One of the priorities of the EU is to reduce carbon emissions. Therefore, the Commission 
supports research on coal-based power generation with the aim of releasing significantly 
less CO2 into the atmosphere. One possible means to achieve nearly zero CO2 emission 
coal  power  plants  is  the  chemical  looping  technology,  combining  very  low  efficiency 
penalties  and  low  CO2  capture  costs.  The  ECLAIR  project,  which  started  in  2008  and 
carries  out  theoretical  and  experimental  work  to  provide  the  basis  for  design  and 
optimisation  of  the  technology  which  paves  the  way  for  power  producers  to  build  coal 
power plants with nearly zero CO2 emissions.  

In  the  area  of  steel  research,  major  efforts  are  dedicated  to  the  development  of  high-
strength steels (HSS). In the automotive industry, for instance, HSS allow car weights to 
be  reduced  through  thinner  sheet  which  ultimately  results  in  reductions  in  fuel 
consumption  and  CO2  emissions.  In  this  context,  the  project  EAF-PROMS  delivered 
promising  results  on  suitable  technologies  for  the  production  of  ultra-performing  steel 
grades  in  electric  arc  furnaces  (EAF),  disposing  of  extremely  improved  properties  for 
light-weight constructions. 

With  a  view  to  improving  safety  conditions  for  workers  in  European  coal  mines,  the 
RFCS  funding  the  EMTECH  project,  which  started  in  2008,  and  which  focuses  on 

93 

Council Decision 2008/376/EC of 29 April 2008 

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47 

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developing  emergency  support  systems  and  technologies  that  ensure  the  survival  and 
rescue of mine workers in the event of severe mine incidents.  

The  IAMTECH  project,  finally,  provided  results  for  increasing  the  productivity  of 
modern  European  high-performance  coal  mines  through  advanced  information  and 
communication  technologies.  The  results  of  this  project  were  published  in  2008  and 
helped to improve maintenance operations in coal mines. The participation of a partner 
from Poland, the biggest hard coal producing country in the European Union, ensures the 
transferability of the results throughout the new Member States. It is worth mentioning 
that the results obtained led to technology which won the 2008 Innovation Prize, awarded 
by one of the participating partner's company. 

2. 

DEVELOPMENTS  IN  MEMBER  STATES  AND  APPLICATION  OF  THE  OPEN 
METHOD OF COORDINATION 

2.1. 

The Open Method of Coordination in support of reaching the 3 % objective 

In the field of R&D, the Open Method of Coordination (OMC) was set-up following the 
adoption  of  the  Barcelona  3%  objective  and  the  subsequent  3%  action  plan,  where  the 
OMC  was  identified  as  an  important  tool  to  help  raise  the  EU's  R&D  intensity  to 
approach  3  %  GDP  by  2010.  The  Scientific  and  Technical  Research  Committee  of  the 
EU (CREST) was asked in 2003 to act as the operational interface to define and oversee 
the implementation of OMC. Following the positive results of the first three OMC cycles 
(2003-2007),  CREST  launched  a  fourth  OMC  cycle  in  December  2007.  The  following 
topics were discussed: universities, industry-led competence centres, internationalisation 
of R&D, and policy mix peer reviews94 

– 

Universities 

The  CREST  working  group  on  "Approaches  to  improve  the  excellence  of 
research in universities" carried out its work between February 2008 and March 
2009  and  produced  a  final  report  that  was  adopted  by  CREST  in  early  April 
2009. The report includes nine main recommendations grouped into three areas: 
strategic  orientation  of  policies  to  promote  research  excellence,  instruments  to 
improve  research  excellence  and  further  developments  to  strengthen  mutual 
learning. The report also contains relevant findings on important issues such as a 
typology  of  strategies  used  by  Member  States,  a  comparison  of  existing 
instruments,  an  analysis  of  factors  affecting  research  quality  or  funding 
allocation methods. A list of good practices has also been included. 

– 

Industry-Led competence centres 

The CREST working group on Industry-Led Competence Centres carried out its 
work  between  February  and  September  2008.  A  survey  of  Member  States' 
activities in the area was carried out and supplemented by information from an 
ongoing ERA-NET project (COMPERA). The final report, which was presented 
to  CREST  in  December  2008,  presents  Member  States'  approaches  to  the  key 

94 

EN 

The 
research/coordination/coordination01_en.htm 

different 

reports 

are 

available 

at 

http://ec.europa.eu/invest-in-

48 

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aspects of establishing and the functioning of industry-led competence centres, 
including  good  practices  related  to  governance,  metrics  and  performance 
indicators,  financing  and  sustainability,  training  and  mobility  of  researchers  as 
well as recommendations for further work in this area. 

– 

Internationalisation of R&D 

In 2008, the CREST working group on "Internationalisation of R&D" was in its 
second  cycle.  A  key  element  of  the  work  of  the  group  was  to  identify  good 
cooperation practice and to systematically develop options for cooperation with 
Brazil,  India,  and  Russia.  A  comparative  analysis  of  Member  States'  and 
Associated  Countries'  cooperation  with  these  countries  was  drawn  up  and 
additional  empirical  information  about  cooperation  patterns  and  bilateral 
agreements was gathered. Mutual learning exercises were also pursued on topics 
such  as  the  possible  association  of  Russia  to  FP7  or  the  synergies  between 
activities at national and Community level. The group's report was adopted by 
CREST in April 2009.  

– 

Policy mix peer reviews 

The  policy  mixes  of  Bulgaria  and  Austria  were  reviewed  in  2008.  The  peer 
review in Bulgaria took place on 2-4 June 2008 in Sofia, and a feedback mission 
was  organised  on  10 November  2008.  The  results  from  the  peer  review  are 
being used in the drafting of the new Bulgarian R&D strategy. The peer review 
in Austria took place on 19-23 May 2008 in Vienna and Graz. The review team 
gave its assessment at the feedback mission in Alpbach on 19-21 August 2008 at 
a  dedicated  evening  of  the  final  event  of  the  Austrian  Research  Dialogue.  The 
recommendations  of  the  peer  review  team  together  with  the  outcome  of  the 
Austrian Research Dialogue and the results of the system evaluation will form 
the basis for developing a new strategic vision. 

EN 

49 

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2.2. 

Trends in public and private research investment95 

2.2.1.  Progress towards the 3 % objective 

y
t
i

s
n
e
t
n

i

D
&
R

4,0

3,5

3,0

2,5

2,0

1,5

1,0

0,5

0,0

JP

KR (1)

US (2)

EU-27

CN (3)

2000

2001

2002

2003

2004

2005

2006

2007

Source:  DG Research                                                                   
Data:  Eurostat, OECD
Notes:  (1) KR: (i) There is a break in series between 2007 and the previous years.
                           (ii) R&D in the social sciences and humanities is not included.
             (2) US: GERD does not include most or all capital expenditure.
             (3) CN: Hong Kong is not included.

Figure 1 : Evolution in R&D intensity 2000-2007 

It can be seen from Figure 1 that the EU R&D intensity did not change significantly over 
the period 2000-2007, whereas the US R&D intensity declined slightly, but from a higher 
level. However, the increase in R&D expenditure in real terms was substantial and higher 
in  EU-27  than  in  the  US  (19.6%  compared  to  14.8%),  and  the  stagnation  in  EU  R&D 
intensity is explained by a corresponding increase in EU GDP. In comparison, Japan has 
outperformed  both  EU-27  and  the  US,  increasing  R&D  expenditure  by  21.9%  in  real 
terms  and  R&D  intensity  by  11.5%  in  the  same  period.  Starting  at  a  level  of  2.4%  in 
2000,  the  R&D  intensity  of  South  Korea  had  reached  3.23%  in  2006,  almost  the  same 
level  as  Japan.  The  R&D  intensity  of  China  has  grown  by  more  than  50%  since  2000, 
driven by the business enterprise sector, which financed R&D at a level of almost 1% of 

95 

R&D  is  funded  from  four  sources  :  national  business  enterprise  (private  sector),  national 
government, other national sources and abroad. 

EN 

50 

   EN 

 
 
 
 
 
                                                 
GDP in 2006 (the same level as EU-27). Therefore, in 2006 EU-27 R&D intensity was 
only higher than that of China because of higher public funding of R&D. 

The  stability  of  R&D  intensity  at  the  overall  EU  level  hides  a  much  more  diverse 
development at the level of Member States. In particular, R&D intensity has increased in 
17 Member States over the period 2000-2007: 

Three of the new Member States (Estonia, Cyprus and Latvia, representing about 0.4% of 
EU-27 GDP in 2007) have managed to increase their R&D intensities by more than 50%, 
but from a relatively low level.  

Nine  Member  States  (Lithuania,  Spain,  Austria,  Hungary,  Romania,  Ireland,  Czech 
Republic,  Slovenia  and  Portugal,  representing  about  16.5%  of  EU-27  GDP)  have  had 
R&D  intensity  increases  of  between  10%  and  50%.  With  the  exception  of  Austria,  the 
growth for all of these Member States is from a relatively low level of R&D intensity.  

Five Member States (Denmark, Italy, Malta, Germany and Finland), representing about 
36% of EU-27 GDP, have increased their R&D intensities by up to 10%. 

On the other hand, ten Member States (representing about 47.1% of EU-27 GDP) have 
seen  their  R&D  intensities  decrease  over  the  period  2000-2007  (Belgium,  Bulgaria, 
Greece,  France,  Luxembourg,  the  Netherlands  Poland,  Slovakia,  Sweden,  United 
Kingdom).  

In sum, R&D expenditure has grown in real terms in all EU Member States over 2000-
2007,  but  with  the  exception  of  Austria,  substantial  increases  in  R&D  intensity  have 
almost exclusively taken place in countries with lower R&D intensities. Therefore, EU-
27  progress  towards  higher  levels  of  R&D  intensity  has  mainly  been  the  result  of 
countries with low R&D intensities catching up in the period 2000-2007. 

Since  2005,  except  for  Bulgaria,  each  Member  State  has  set  a  national  R&D  intensity 
target. The national targets may differ from the overall 3% target for the EU, depending 
on the particular situation of each Member State regarding R&D expenditure. 

The grey part of the bars in Figure 2 show for each Member State the difference between 
its  R&D  intensity  for  the  latest  available  year96  and  its  R&D  intensity  in  2000.  For 
instance, R&D intensity in Austria was 0.74 percentage points higher in 2008 (at 2.65%, 
shown in brackets on the graph) than in 2000 (at 1.91%). 

The  blue  bars  show  for  each  Member  State  the  distance  separating  its  latest97  R&D 
intensity value and its R&D intensity target for 2010. Austria's R&D intensity target for 
2010 of 3% is 0.35 percentage points  higher than  its 2007 R&D intensity of 2.65%. In 
other  words,  in  the  period  2000-2007,  Austria  has  progressed  about  two  thirds  of  the 
distance  towards  its  2010  target.  Austria  has,  of  all  Member  States,  achieved  the  most 
substantial progress.  

In  ten  Member  States  R&D  intensity  was  higher  in  2000  than  in  2007  or  the  latest 
available year. These Member States are therefore further away from their national R&D 
intensity than in 2000. In most Member States the progress made towards national R&D 
intensity targets is only a small part of the progress that is required to meet their national 

96 
97 

This is 2006, 2007 or 2008, see note to table 2. 
Idem. 

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51 

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investment  objective,  and  for  many  Member  States  it  will  be  a  challenge  to  reach  the 
targets they have set for themselves.  

Austria  (2.65) 

Estonia  (1.24)

Portugal  (1.18)  

Spain  (1.27)

Czech Republic  (1.54) 

Ireland (4)  (1.44) 

Denmark  (2.55)

Lithuania  (0.82) 

Cyprus  (0.45) 

Romania  (0.53) 

Latvia  (0.59) 

Slovenia  (1.53) 

Italy  (1.14) 

Hungary  (0.97) 

Germany   (2.53) 

Malta  (0.60) 

Finland  (3.39) 

Greece  (0.57) 

Luxembourg  (1.63) 

Bulgaria (5)  (0.48)

UK  (1.76) 

France  (2.08)

Poland  (0.56)  

Belgium  (1.87) 

Netherlands  (1.70) 

Sweden  (3.64) 

Slovakia  (0.46) 

EU-27  (1.85)

-0,4

-0,2

0,0

0,2

0,4

0,6

0,8

1,0

1,2

1,4

1,6

1,8

Percentage points

Progress made 2000-2007 (2)

Progress to be made 2007-2010 (3)

Source : DG Research
Data: Eurostat, Member States
Notes:  (1) IT, PL, UK: 2006; EE, IE, AT, FI: 2008.
             (2) IT, PL, UK: 2000-2006; EE, IE, AT, FI: 2000-2008; EL: 2001-2007; FR, HU, MT: 2004-2007; SE : 2005-2007.
             (3) IT, PL: 2006-2010; UK : 2006-2014; FR: 2007-2012; EL : 2007-2015; EE, IE, AT: 2008-2010; FI: 2008-2011.
             (4) IE: The R&D intensity target for 2010 was estimated by DG Research.
             (5) BG has not set an R&D intensity target.

Figure 2 : R&D intensity - progress towards the 2010 targets (in percentage points); in 
brackets : R&D intensity, 2007 (1) 

2.2.2.  Trends in public funding 

R&D financed by the government as a percentage of GDP in EU-27 was equal to 0.63% 
in  2005,  against  0.64%  in  2000.  This  figure  does  not  include  Community  funds  and 
foregone  revenue  from  tax  incentives.  Adding  Community  funds  and  foregone  tax 
revenue  would  bring  the  government  funding  of  R&D  closer  to  the  level  of  the  US 
(0.76% in 2006).  

The  stability  of  public  funding  at  the  overall  EU  level  hides  a  more  positive  dynamic 
picture at Member State level. Figure 3 shows the respective contributions of funding by 

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52 

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each  national  government98  and  funding  by  the  business  enterprise  sector  to  the 
development  of  R&D  intensity.  Fourteen  Member  States  have  increased  direct 
government  support  for  R&D  (R&D  financed  by  government  as  a  percentage  of  GDP) 
over  the  period  2000-200799.  The  intensity  of  government  direct  support  for  R&D  has 
increased not only in those countries where it was low, but also in some of the Member 
States where it was already quite high. A slight decrease was observed in Germany and 
France and a limited increase in the United Kingdom and Italy. The fact that these four 
Member States account for a large share of the total government budget for R&D in EU-
27 explains the stability observed at EU level. 

It  should  be  noted  that  in  recent  years  a  number  of  Member  States  have  introduced  or 
reinforced indirect public support for R&D, in particular for business R&D through tax 
incentives100,  as  a  complement  to  direct  support  and  notably  with  a  view  to  raising 
private-sector  investments  in  R&D.  This  increased  indirect  support  for  R&D  by 
government  is  another  indication  of  the  commitment  to  achieving  higher  R&D 
intensities.  The  foregone  tax  revenue  of  such  measures  is  not  accounted  for  as  public 
expenditure and is not included in the data in Figure 3. 

2.2.3.  Trends in private funding 

At  EU  level,  the  business  sector  finances  about  55%  of  R&D  expenditure.  With  the 
addition  of  the  share  of  business  sector  funding  from  abroad101,  the  business  sector 
probably  finances  more  than  60%  of  R&D  expenditure  in  EU-27.  However,  the  exact 
share of business sector funding from abroad is not known. 

In EU-27, R&D financed by business enterprise was 1% of GDP in 2005, compared to 
1.05 % GDP in 2000. This intensity of R&D funding by business enterprises in the EU in 
2005 represented 38%, 41% and 59% of the corresponding values for Japan, South Korea 
and  the  US  respectively.  Even  if  business  R&D  funding  from  the  ‘abroad’  source  of 
funds  were  added  to  R&D  financed  by  business  enterprise,  the  conclusion  would  not 
change significantly: the difference in total R&D intensity between the EU and the US, 
Japan and South Korea is almost exclusively due to the difference in the level of private 
funding of R&D. In this respect, it is noted that R&D financed by business enterprise as a 
percentage of GDP increased substantially in Japan and South Korea between 2000 and 
2006. It decreased in the US by 12% over the same period, but from a much higher level 
than the EU. 

In 2006, business expenditure on R&D (BERD) amounted to EUR 136 billion in EU-27, 
compared to EUR 193 billion in the US and EUR 91 billion in Japan. In the seven-year 
period 2000-2006, total BERD in EU-27 amounted to EUR 852 billion in current prices,  

98 

99 

100 
101 

GERD  financed  by  government  only  includes  direct  support  for  R&D  by  government.  Indirect 
government  support  for  business  R&D  through  tax  incentives  is  not  considered  a  government 
source  of  funds.  Therefore,  any  increase  of  a  government's  indirect  support  for  R&D  over  the 
period 2000-2006 is not represented in Figure 3.  
See  the  actual  period  covered  for  each  Member  State,  depending  on  data  availability,  in  the 
footnote to Figure 3. 
This shift towards indirect public support of R&D is documented in Key Figures 2007, pp 73-75. 
R&D financed by ‘abroad’ amounted to 0.16% of GDP for the EU in 2005, including public and 
private  foreign  sources.  Funding  from  the  abroad-private  source  of  funds,  although  not  known 
precisely, is therefore equal to or less than 0.16% of GDP. This compares to 1% of GDP for the 
(domestic) business enterprise source of funds. 

EN 

53 

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20

15

10

5

0

-5

-10

)

%

(
h
t
w
o
r
g

l
a
u
n
n
a

e
g
a
r
e
v
a

-

P
D
G

f
o
%
s
a
t
n
e
m
n
r
e
v
o
g
y
b
d
e
c
n
a
n
i
f

D
R
E
G

-15

MT

-20

-15

LU

RO

CY

LV

IE

ES

AT

CZ

EE

SE

SK

LT

DK
FI

FR

DE

SI

BG

UK

BE

NL
EL

EU-27

PL

PT

HU

IT

-10

-5

0

5

10

15

20

GERD financed by business enterprise as % of GDP - average annual growth (%)

Source:  DG Research                                                                   
Data:  Eurostat
Note:  (1) NL: 2000-2003; BE, LU, PT, EU-27: 2000-2005; BG, DE, IE, ES, CY, PL, UK: 2000-2006; AT: 2000-2008; 
                SE: 2001-2003; DK, EL: 2001-2005;  FR: 2004-2006; HU: 2004-2007; IT: 2005-2006; MT: 2006-2007

Figure 3 : GERD financed by business enterprise and by government as % of GDP - 
average annual growth 2000-2007 (1) 

compared  to  EUR  1366  and  EUR  675  billion  in  the  US  and  Japan  respectively.  As  a 
result,  the  business  sector  in  the  US  invested  a  total  of  EUR  514  billion  more  in  R&D 
than was invested by the business sector in EU-27 in the period 2000-2006102. 

The  intensity  of  business  enterprise  support  for  R&D  increased  significantly  almost 
exclusively  in  those  ERA  countries  where  this  intensity  was  quite  low,  with  the 
exceptions of Austria. Therefore in the ERA, any increase in business enterprise funding 
of R&D has basically been linked to the catching-up process of Member States starting 
from a low level. 

102 

Source: Eurostat, OECD  

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54 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
2.2.4.  To sum up  

Funding  of  R&D  at  EU  level  has  increased  significantly  in  real  terms,  but  it  has  been 
stable  as  a  percentage  of  GDP.  However,  this  stability  at  the  overall  EU  level  hides  a 
more  dynamic  picture  at  the  level  of  the  Member  States,  where  a  majority  of  Member 
States  have  managed  to  increase  both  their  private  and  public  funding  of  R&D. 
Nevertheless,  this  has  not  been  sufficient  to  increase  overall  EU  R&D  funding,  since 
most  of  the  countries  having  increased  are  in  a  catching-up  process  and  do  not  have  a 
very high weight in terms of share of GDP and in terms of share of R&D investment in 
the EU. 

2.3. 

Trends in research policies 

2.3.1. 

Improving the policy mix for R&D 

Member States have continued to work throughout 2008 on optimising the mix of policy 
measures they put in place to stimulate public and private R&D. National policies have 
since the launch of the Lisbon Strategy in 2000 evolved towards greater consistency and 
complexity and are increasingly developed with a view of maximising the contribution of 
research  to  solving  the  economic  and  societal  challenges  Europe  is  faced  with  in  the 
years to come. 

Many  Member  States  have  over  the  past  years  developed  multi-annual  strategies  for 
stimulating  R&D  and  innovation  activity,  in  many  cases  including  also  multi-annual 
budget plans. Some Member States have in 2008 put in place a multi-annual strategy or 
are  still  developing  one.  The  French  minister  for  research  recently  announced  the 
government's willingness to develop a new national strategy for research and innovation 
policy  on  the  basis  of  a  large  stakeholder  consultation.  The  government  of  the  Czech 
Republic  approved  a  reform  of  the  system  of  research,  development  and  innovation, 
including  a  significant  reduction  in  the  number  of  funding  bodies,  supporting  the 
excellence of public R&D and ensuring its use, promoting increased human resources for 
R&D  and  a  stronger  focus  on  internationalisation  of  R&D  activities.  In  Bulgaria,  a 
strategy  for  R&D  and  innovation  is  still  under  discussion.  Norway  has  also  announced 
the publication of a new White Paper on research. 

In other Member States reviews of existing strategies have been carried out with a view 
to  further  optimising  the  policy  mix.  The  Austrian  government  launched  a  'Research 
dialogue' to discuss the upcoming challenges and define a renewed strategy for Austrian 
research  policy  with  its  stakeholders.  Both  the  Flemish  and  the  Walloon  region  in 
Belgium  have,  in  preparing  for  upcoming  elections  and  the  next  policy  cycle,  recently 
concluded reviews of their policy mixes. 

There is a consistent trend to broaden strategies to make them cut across the competences 
of different ministries. Most often clear links are established between research policy and 
innovation policy, but other policy domains are also taken into account, such as industrial 
policy, education policy or fiscal policy. In 2008, the UK supplemented its 'Science and 
Innovation Investment Framework 2004-2014' with the 'Innovation Nation White Paper', 
which focuses strongly on a demand driven approach to stimulating innovation activity. 
In  the  Netherlands,  a  long  term  and  comprehensive  'Agenda  for  durable  productivity 
growth' was published, laying down the ambitions and objectives for 2030. In Finland, a 
new  national  innovation  strategy  was  launched,  aiming  at  creating  a  broad-based  and 
multi-faceted innovation policy and strengthening its implementation. 

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Changes in the institutional settings used for R&D policy development are continuing to 
be  introduced.  This  concerns  mainly  mergers  or  re-organisations  between  ministries 
dealing with research, education, employment, trade and industry. For example, in 2008 
Belgium's Walloon region created a Directorate-General for Economy, Employment and 
Research,  which  deals  with  a  variety  of  policies  related  to  competitiveness.  The  Czech 
Republic  is  currently  discussing  a  rationalisation  of  its  funding  bodies.  In  Malta,  the 
portfolio  for  science,  research,  innovation  and  technology  policy  was  shifted  from  the 
Office of the Prime Minister to the Ministry for Resources and Rural Affairs. In Spain, a 
new ministry for science and innovation was created, responsible for nearly all of public 
R&D and innovation related policies. 

2.3.2.  Responding to the crisis  

As  a  response  to  the  financial  and  economic  crisis,  Member  States  have  put  in  place 
economic  recovery  packages.  The  Commission  has  adopted  in  November  2008  a 
European Economic Recovery Plan103, in which it notably called upon Member States to 
continue to increase their public investments in R&D, in line with their national intensity 
targets.  Member  States  were  also  reminded  of  the  importance  of  continuing  with  the 
structural policy reform needed to make Europe take advantage of the next upturn.  

In their recovery packages, many Member States have attached great importance to R&D 
and  innovation.  For  example,  the  Irish  government  has  in  December  2008  published  a 
new policy framework document on "Building Ireland’s Smart Economy: A Framework 
for Sustainable Economic Renewal". The document sets out the government’s vision for 
the next phase of Ireland’s economic development and seeks to address the problems of 
restoring  stability  both  to  the  public  finances  and  to  Ireland’s  competitiveness.  Key 
elements  of  the  framework  document  include  investing  in  research  and  development, 
encouraging  multinational  companies  to  locate  more  R&D  capacity  in  Ireland  and 
ensuring the commercialisation and retention of ideas that flow from this investment. 

With public and private budgets tightening, investments in R&D are threatened. In a few 
of  the  hardest  hit  countries,  and  notably  in  Latvia  and  Romania,  public  budgets  are 
expected to be cut significantly. In contrast, many Member States have in their recovery 
packages adhered to their public investment targets. Finland, for instance, has restated its 
objective  of  increasing  R&D  intensity  up  to  4%  GDP.  Sweden  has  also  announced 
significantly increased public budgets for R&D. The Slovenian government has indicated 
that  despite  the  crisis,  the  allocation  of  public  funds  for  R&D  will  be  increased  by 
approximately  0.1  to  0.3%  GDP  annually.  Germany  has  decided  to  focus  additional 
funding on SMEs and the development of hybrid and other clean car technologies. 

As  direct  relief  to  the  private  sector,  many  Member  States  are  opting  to  strengthen 
existing R&D tax incentives. In France, the modalities of the 'Crédit d'impôt recherche' 
have  been  temporarily  modified  to  increase  the  generosity  of  the  scheme.  Portugal  has 
decided  to  increase  the  rate  of  its  tax  credit.  Both  Belgium  and  the  Netherlands  have 
decided to strengthen their existing fiscal incentives schemes. In Ireland, enhancements 
to  the  R&D  tax  credit  have  been  announced  as  this  instrument  is  viewed  as  a  key 
incentive to attract multinational R&D investment. 

103 

COM(2008) 800  

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2.3.3.  Fostering structural change through the development of high-tech sectors 

The objective to develop high-tech sectors and support high-tech SMEs took a growing 
importance in 2008. It is to be noted in this context that the Commission launched in the 
context  of  its  recovery  plan  three  public-private  partnerships  on  green  cars,  energy-
efficient buildings and factories of the future. The Commission also recommended to the 
Member States to cut by 75% the fees for patent applications and maintenance. 

Almost all Member States focus on developing high-tech sectors in their economy, even 
though  the  approach  they  take  towards  this  challenge  varies  considerably.  In  many 
Member  States,  scientific  domains  or  industrial  sectors  have  been  identified  which  are 
deemed  of  strategic  importance  to  the  country's  economy  and  where  support  is  to  be 
concentrated. A recent example is the adoption by the Luxemburg government of eight 
future priorities for public research. 

Concentrating  public  support  on  priority  areas  can  follow  a  variety  of  routes.  A 
traditional  approach  consists  of  setting  up  thematic  research  programmes  in  which 
companies and public research institutes typically cooperate. Quite a few Member States 
have over the past years channelled their dedicated funding through clustering initiatives. 
France is continuing this approach by launching the second phase of the competitiveness 
cluster policy for a further three years period (2009-2011) with a total budget of EUR 1,5 
billion. Creating dedicated thematic research institutes and providing specific support to 
New  Technology  Based  Firms  (NTBF)  are  other  options  that  have  been  chosen  by 
Member  States  over  the  past  years.  In  this  respect,  the  new  Irish  policy  document 
mentioned  above  states  that  up  to  EUR  500  million  will  be  generated  over  the  period 
2009–2013  to  create  a  venture  fund,  known  as  ‘Innovation  Fund  –  Ireland’  to  support 
early stage R&D-intensive SMEs. 

A  novel  approach  that  is  gaining  ground  in  some  Member  States  is  one  whereby  the 
concentration of resources is not based on delineation of research domains or industrial 
sectors, but on the basis of societal challenges. In the UK, the Technology Strategy Board 
has recently announced the launch of additional Innovation Platforms on issues such as 
low  carbon  vehicles,  assisted  living  or  low  impact  buildings.  The  Netherlands  has  in 
2008 launched societal innovation agendas on themes such as energy, health and water. 

Although  the  issue  of  structural  change  towards  a  larger  high  tech  content  in  the 
economy is important, the tendency is sometimes to put all efforts on the development of 
high-tech  sectors  to  the  detriment  of  innovation  in  traditional  low  technology  sectors 
which make up the bulk of the economy in most Member States. Due account should be 
taken  of  these  traditional  sectors  where  growth  potential  is  hampered  by  low  levels  of 
innovation.  It  is  important  to  note  in  this  respect  that  the  innovation  voucher  schemes, 
piloted by the Netherlands some years ago, are continuing to spread across Europe. The 
scheme aims at bringing SMEs in contact with knowledge institutes by issuing vouchers 
of relatively small nominal value (typically a few thousand euro) to pay for an innovation 
solution  to  a  problem  faced  by  the  SME.  The  main  purpose  of  an  innovation  voucher 
scheme  is  to  bring  a  maximum  number  of  SMEs  into  contact  for  the  first  time  with  a 
knowledge  institute.  Slovakia  and  the  UK  are  among  the  Member  States  which  have 
introduced the scheme in 2008. 

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2.3.4. 

Increasing the quality of the public research base 

Increasing the quality and efficiency of the public research base is broadly recognised by 
Member  States  as  an  essential  factor  in  attracting  private  investments  in  R&D.  It  is 
therefore not surprising that this continues to be a key aspect of R&D policy reform in 
many Member States. It should be noted, however, that there are significant differences 
in  the  stage  of  development  amongst  the  Member  States  and  in  particular  between  old 
and new Member States. In many of the Eastern European countries, the public research 
base still largely consists of independent research institutes (Academy of Sciences), for 
which reforms have started, although in some cases drastic reforms of institutional set-up 
and funding streams are still required. For the old Member States, the challenge is rather 
connected to coping with the increasing globalisation of R&D and the need to ensure that 
public  research  performed  in  their  respective  countries  is  capable  of  competing  on  a 
world scale. 

In the Czech Republic, the Ministry of Education, Youth and Sports published the first 
draft  of  a  White  Book  which  outlines  the  main  directions  of  reforming  the  Czech 
universities.  The  White  Book  aims  at  strengthening  R&D  performed  at  universities  by 
differentiating  between  teaching  and  research  universities,  concentrating  resources  on  a 
limited  number  of  research  centres,  strengthening  the  third  mission  of  universities  and 
professionalising  management.  The  Finnish  public  research  system  is  undergoing 
restructuring  through  the  establishment  of  new  higher  education  institutes,  mainly  as  a 
result  of  mergers.  In  France,  the  public  research  institutes  CNRS  and  INSERM  were 
restructured  into  thematic  institutes  and  a  'Plan  Campus'  was  launched  to  create 
university excellence clusters of international level. The Polish government adopted new 
acts on the Polish Academy of Sciences and on Research Institutes and in Portugal a Law 
on the Higher Education System was adopted. In Greece and Malta, a restructuring and 
modernisation of the public research system was announced. 

2.3.5.  The ERA dimension in national policies 

The coordination of national programmes has been an important element of the European 
Research  Area  initiative  since  its  launch  in  2000.  In  2008,  instruments  offered  by  the 
Framework  Programme  are  still  the  main  tools  used  for  ensuring  cooperation  and 
coordination  between  Member  States  and  their  researchers,  both  at  the  programme  and 
project level. Many Member States have put in place specific measures to stimulate the 
participation of their researchers in the Framework Programme. A recent example is the 
setting  up  of  a  specific  structure  by  the  Portuguese  government  to  encourage  the 
participation of Portuguese organisations in FP7. 

As  many  national  governments  continue  to  be  hesitant  to  let  public  money  flow  over 
national borders, progress in opening up national research programmes remains limited. 
There  are,  however,  a  number  of  examples  where  some  Member  States  are  reinforcing 
their  cooperation.  The  Nordic  countries  have,  for  instance,  announced  that  they  will 
invest  jointly  in  six  research  programmes  to  achieve  a  global  leading  position  in 
environmental technology and climate change. France and Germany have also developed 
cooperative  projects  on  fields  such  as:  materials,  aeronautics,  space,  oceanography, 
medical  research,  transportation,  and  vegetal  genomics,  microelectronics  and  laser 
techniques. In this context, common research projects have been launched or researchers 
are  being  exchanged  between  research  labs.  A  research  unit  of  the  French  National 

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Institute for Health Medical Research (INRA) has also been created within the German 
Cancer Research Centre in Heidelberg. 

Another  interesting  example  of  transnational  cooperation  is  the  creation  of  a  joint 
nanotechnology  institute  between  Portugal  and  Spain.  The  INL  (International  Iberian 
Nanotechnology Laboratory) will be the first fully international research organization in 
Europe  in  the  field  of  nanoscience  and  nanotechnology.  The  new  laboratory  is  being 
established by Portugal and Spain, but in the future it will be open to the membership of 
other countries of Europe and other regions of the world. 

Many Member States, and typically the old Member States, have in recent years started 
to  develop  schemes  to  attract  top  researchers  from  abroad,  as  an  additional  way  to 
strengthen  their  national  systems.  In  July  2008,  the  Dutch  Cabinet  presented  its  new 
blueprint  for  a  modern  migration  policy,  with  one  of  the  objectives  being  to  remove 
barriers for knowledge migrants. In France, efforts have been made in the past couple of 
years in order to attract foreign researchers. The most important scheme corresponds to 
fellowships granted by the National Agency for Research for foreign researchers, through 
a  programme  called  “Chairs  of  Excellence”.  Portugal  has  recently  launched  an 
instrument  called  the  Invited  Chairs  programme.  This  programme  aims  to  attract 
international  high  level  researchers  in  order  stimulate  the  internationalization  of 
Portuguese  Universities.  In  Malta,  the  Immigration  Act  was  amended  to  introduce  new 
regulations on the admittance of third country nationals for scientific research purposes. 
In this respect, it is also worth noting that a study will be launched in 2010 to assess the 
implementation  of  Council  Directive  2005/71/EC104  and  of  Recommendation 
2005/761/EC105  of  the  European  Parliament  and  the  Council,  both  elements  of  the 
'Scientific Visa Package'.  

All  Member  States  are  actively  following  and  participating  in  the  activities  of  the 
European  Strategy  Forum  for  Research  Infrastructures  and  are  in  some  cases 
complementing  them  with  work  on  developing  national  roadmaps  or  by  reserving 
national funding  for participation in ESFRI projects. In  Greece, the  General  Secretariat 
for Research and Technology has launched a feasibility study to decide on which projects 
it will participate in. The Czech government has approved a national roadmap for large 
research  infrastructure  support  up  to  2015  and  foresees  to  use  significant  financial 
resources  from  the  Structural  Funds.  In  Ireland,  national  planning  for  the  provision  of 
research  infrastructures  is  undertaken  with  direct  reference  to  the  ESFRI  roadmap  and 
Ireland will make decisions regarding its formal membership status of the different pan-
European infrastructure projects (including but not limited to the list above) as and when 
they move towards the actual construction/implementation phase. In the Netherlands, an 
expert  commission  was  established  to  advise  the  government  on  Dutch  participation  in 
ESFRI projects. 

104 

105 

Council  Directive  2005/71/EC  of  12  October  2005  on  a  specific  procedure  for  admitting  third-
country nationals for the purposes of scientific research 
Recommendation  of  the  European  Parliament  and  of  the  Council  of  28 September  2005  to 
facilitate  the  issue  by  the  Member  States  of  uniform  short-stay  visas  for  researchers  from  third 
countries travelling within the Community for the purpose of carrying out scientific research 

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The  Science,  Technology  and  Competitiveness  Key  Figures  Report106,  published  at  the 
beginning  of  2009,  noted  encouraging  progress  in  establishing  the  European  Research 
Area, although further progress is needed for Europe to realise its ambitions. 

3. 

INTERNATIONAL COOPERATION AGREEMENTS 

Integrating  Europe's  neighbours  into  the  ERA,  fostering  strategic  cooperation  with  key 
third countries and improving the framework conditions for cooperation will enhance the 
international  dimension  of  the  ERA.  In  this  context,  the  existing  16  S&T  cooperation 
agreements with third partner countries provide a continuing platform for improving and 
coordinating research cooperation. 

Developments  in  2008  include  notably  the  conclusion  of  the  already  provisionally 
applicable S&T cooperation agreement with Egypt, the signature of an S&T cooperation 
agreement  with  New  Zealand  and  the  authorisation  to  launch  negotiations  of  an  S&T 
cooperation  agreement  with  Jordan  (EC).  Furthermore,  the  already  provisionally 
applicable  association  agreements  with  Switzerland  (EC  and  Euratom)  and  Israel  (EC) 
were concluded and entered into force. 

In the context of the Euratom Treaty, there are agreements with the following emerging 
countries:  Russia,  Ukraine,  Kazakhstan,  Uzbekistan  and  Argentina.  Agreements  with 
China, India and Brazil are under negotiation. 

The conclusion of association instruments facilitates the integration process of European 
partners  as  well  as  candidate  and  potential  candidate  countries  into  the  ERA.  In  2008, 
FP7 EC association instruments were signed with Bosnia-Herzegovina and Montenegro. 
Researchers  from  39  states  are  now  enjoying  the  same  rights  and  obligations  in  their 
participation in FP7 research projects. 

4. 

CONSULTATION AND MONITORING PROCEDURES 

4.1. 

Scientific and Technical Research Committee (CREST) 

In 2008 CREST held six meetings. The Commission regularly kept CREST informed of 
new policy initiatives and the presidencies informed CREST of the work in the Council. 

One  meeting  took  place  at  Directors-General  level,  which  was  devoted  to  the 
implementation of the ERA initiatives and the development of a vision and governance 
for the ERA ('Ljubljana process'). 

The Commission informed CREST on a regular basis of the ERA initiatives, including 
specific  presentations  of  the  Commission  proposal  for  a  Council  regulation  on  the 
Community legal framework for European Research Infrastructures, the Communication 
'Towards  Joint  Programming  in  Research'  and  the  Communication  on  a  Strategic 
European Framework for International Science and Technology Cooperation. 

106 

The  document 
2009_en.pdf 

is  available  at  http://ec.europa.eu/research/era/pdf/key-figures-report2008-

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Within the context of the Open Method of Co-ordination, CREST discussed and adopted 
recommendations  of  the  working  groups  on  industry-led  competence  centres,  R&D  in 
services  and  policy  mix  peer  reviews  for  Austria  and  Bulgaria.  The  Committee  also 
discussed  the  main  recommendations  of  the  working  group  on  internationalisation  of 
R&D.  Furthermore,  CREST  undertook  a  mutual  learning  exercise  on  the  basis  of  the 
National Reform Programmes and the 2008 Progress reports. 

CREST  decided  to  invite  Albania,  the  Former  Yugoslav  Republic  of  Macedonia 
(FYROM), Montenegro and Serbia as observers to the Committee. 

Presentations and exchanges of views also covered the following topics: 

–  Realising the fifth freedom; 

–  Family-friendly scientific careers; 

–  Follow-up  of  the  Implementation  of  Council  Conclusions  on  the  Commission 
Communication  "Scientific  Information  in  the  Digital  Age:  Access,  Dissemination 
and Preservation"; 

–  Science and research policies in Slovenia and in France. 

4.2. 

Programme committees 

The  Programme  Committees  for  the  FP7  Specific  Programmes  'Cooperation',  'Ideas', 
'People' and 'Capacities' held 82 meetings in 2008. They were asked for 195 opinions by 
the  Commission,  both  on  the  work  programmes  that  allow  publication  of  calls  for 
proposals and on the selection of proposals. All the opinions given were favourable.  

The Consultative Committee for the FP7 Specific Programme under the Euratom Treaty 
met 7 times and gave 61 favourable opinions/recommendations.  

The Standing Committee on Agricultural Research (SCAR) met twice during 2008. 

A new committee, the "Coal and Steel Committee", was created in 2008 by the Council 
Decision of 29 April 2008 on the adoption of the Research Programme of the Research 
Fund for Coal and Steel and on the multiannual technical guidelines for this programme. 
It did not meet in 2008. 

As in the past, the collaboration between the Commission and the Committees was very 
good and it entailed many positive and constructive exchanges.  

4.3. 

Advisory groups 

In continuity with the method followed during FP6, Advisory Groups were created by the 
Commission,  with  the  mandate  to  provide  consistent  and  consolidated  advice  on  the 
scientific  and  technical  content  of  the  annual  Work  Programmes  under  FP7.  Advisory 
Groups' advice is meant to complement other sources of external advice received by the 
Commission,  including  from  stakeholder  consultations  and,  where  relevant,  from 
European Technology Platforms.  

The  separate  Advisory  Groups  for  'Regions  of  knowledge'  and  'Research  Potential' 
created at the beginning of FP7 have now been merged into one new Advisory Group for 

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'Regional aspects of FP7'. The 'Science in society' Advisory Group has been replaced by 
focused workshops. 

As a result, the different themes or parts of the FP7 Specific Programmes are currently 
covered  by  fourteen  Advisory  Groups:  Health;  Food,  agriculture  and  biotechnologies; 
technologies;  Nanosciences,  nanotechnologies, 
Information  and  communication 
materials  and  new  production  technologies;  non  nuclear  Energy  and  Euratom; 
Environment  (including  climate  change);  Transport  (including  aeronautics);  Socio 
economic  sciences  and  Humanities;  Space;  Security;  People;  Research  for  SMEs; 
Regional aspects of FP7; Activities of international co-operation. 

In  autumn  2008,  the  memberships  and  mandates  of  most  of  the  Advisory  Groups  have 
been reviewed.  

Selection of the members of Advisory Groups follows the Commission guidelines107, and 
is  done  on  the  basis  of  excellence,  independence  and  pluralism.  Efforts  are  also  being 
made  to  ensure  an  appropriate  balance  and  diversity  in  membership  of  the  groups, 
concerning notably gender, geography, and types of organisations. The mandates of the 
groups are based on those used in FP6, but have been broadened in order to reflect the 
wider scope of FP7.  

The  emphasis  on  transparency  has  continued.  The  memberships,  mandates  and  written 
advice  of  Advisory  Groups  are  publicly  available  on  the  Commission  Website  at  the 
following address: http://ec.europa.eu/research/fp7/advisory_en.html.  

4.4. 

European Research Area Board (ERAB) 

The  European  Research  Area  Board  (ERAB)  was  legally  established  by  Commission 
decision on 7 December 2007108. In order to ensure the transparency of the procedure to 
nominate  ERAB  members,  an  independent  Identification  Committee  (ICD)  was 
established, which reported to the Commission in spring 2008. The nomination process 
was completed in April 2008, when 22 high-level members were appointed in a personal 
capacity by Commissioner Potocnik, for terms of office lasting four years and with the 
possibility  of  one  renewal.  At  its  first  plenary  meeting  in  June  2008,  the  members  of 
ERAB elected a Bureau consisting of the Chair, Prof. John Wood, two Vice-Chairs and 
three 'Bureau partners', to act as a steering committee for ERAB. 

As its name implies, ERAB's work focuses on the realisation of the European Research 
Area. According to the Commission Decision of 7 December 2007, ERAB's tasks are: 

(a) 

to advise the Commission on the realisation of a European Research Area; 

(b) 

(c) 

to deliver opinions on the realisation of a European Research Area at the 
request of the Commission or on the Board's own initiative; 

to  provide  the  Commission  with  an  annual  report  on  the  current  state  of 
the European Research Area. 

107 

108 

COM  (2002)  713  "Communication  on  the  collection  and  use  of  expertise  by  the  Commission: 
principles and guidelines" 
Commission Decision 2008/111/EC, Euratom of 7 December 2007 

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ERAB aims to deliver by June 2009 its first Annual Report, in the form of a long-term 
Strategic  View  (2030)  on  the  ERA.  Preparation  of  this  Strategic  View  began  in  2008 
with  discussion  focused  on  five  key  issues  (in  separate  working  groups):  Modern 
Universities  and  Research  Organisations;  Favourable  conditions  for  Europe/innovation; 
Science's  responses  to  major  societal  challenges;  the  Fifth  Freedom;  and  international 
cooperation. 'Excellence' is treated as a transversal issue.  

ERAB held three plenary meetings and three Bureau meetings in 2008. 

4.5.  Monitoring and evaluation 

The  main  monitoring  and  evaluation  activities  in  2008  included  the  completion  of  the 
first  Monitoring  Report  under  the  seventh  Framework  Programmes  and  the  ex  post 
evaluation of the 6th Framework Programmes, according to the commitments made at the 
launch of FP7 to update and develop Community research evaluation activities. 

The FP7 Monitoring Report is based largely on a set of indicators which were identified 
through  discussions  between  Commission  services.  The  aim 
to  provide  a 
comprehensive picture of implementation and performance, highlighting in particular the 
issues  of  interest  to  programme  management,  and  provide  a  base  of  information  which 
can be developed year-on-year to support future FP evaluation exercises. The Monitoring 
Report  also  contains  information  on  progress  with  the  novelties  introduced  under  FP7, 
such  as  the  European  Research  Council  (ERC),  Risk  Sharing  Finance  Facility  (RSFF) 
and  Joint  Technology  Initiatives  (JTI).  The  Monitoring  Report  is  available  at 
http://ec.europa.eu/research/reports/2009/pdf/first_fp7_monitoring_en.pdf 

is 

The ex post evaluation of FP6 was carried out by a group of 13 independent experts and 
supported  by  an  extensive  collection  of  evaluation  evidence  including  studies  on 
particular  FP6  thematic  research  areas;  studies  of  horizontal  issues  such  as  networking 
and publications performance; impact studies of the FP by the Member States; analyses 
of  key  issues  by  evaluation  experts;  self-assessments  by  Commission  services;  and  a 
at 
survey 
http://ec.europa.eu/research/reports/2009/pdf/fp6_evaluation_final_report_en.pdf.  

the  National  Contact  Points.  The 

available 

report 

of 

is 

In  an  exercise  related  to  the  work  on  evaluation,  a  four  member  group  of  independent 
experts  produced  a  review  on  'The  Future  of  Networks  of  Excellence'.  The  report  is 
available  at  http://ec.europa.eu/research/reports/2008/pdf/expert-group-on-the-future-of-
noes_final-report.pdf.  

Amongst  other  activities  during  the  year  was  the  re-launch  of  the  European  RTD 
Evaluation  Network,  run  by  the  Commission  and  including  members  from  Member 
States  and  Associated  States,  to  exchange  information  and  build  good  practice  on 
research evaluation in Europe. 

5. 

STATISTICAL  TABLES  ON  THE  IMPLEMENTATION  OF  THE  7TH  FRAMEWORK 
PROGRAMME 

5.1. 

Explanatory notes 

The presented data refer to i) proposals submitted in response to FP7 calls for proposals 
the  processing  of  which  ended  during  2008,  ii)  FP7  proposals  retained  for  funding 

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following proposal evaluation and selection and iii) FP7 grant agreements signed during 
2008. 

In reading the provided tables please note the following: 

The  tables  are  based  on  data  from  55  FP7  concluded  calls  for  proposals,  i.e.  calls  for 
proposals the processing of which ended in 2008 and for which evaluation and selection 
outcomes are available.The list of the FP7 calls for proposals is presented in table 1. 

In  the  group  ‘Candidate  and  Associated  Countries’,  Croatia  and  Turkey  are  both 
candidate and associated countries. FYROM (Former Yugoslav Republic of Macedonia) 
became  a  candidate  country  in  December  2005  as  did  Albania  and  Montenegro  in  the 
course of 2008. All three countries appear under the heading "candidate countries" in the 
2008  statistical  tables  of  the  annual  report.  Iceland,  Liechtenstein  and  Norway  are 
associated  countries  in  the  framework  of  the  European  Economic  Area,  whereas 
Switzerland  and  Israel  are  associated  countries  in  the  framework  of  an  association 
agreement. 

Table  1  presents  the  full  history  of  proposals  received  in  response  to  both  single-  and 
two-stage  calls  together  with  the  corresponding  success  rates.  Please  note  that  Table  1 
includes  continuously  open  calls,  which  may  contain  both  single  stage  and  two  stage 
proposals (i.e. FP7-ICT-2007-C). Tables 1a and 1b, report on single-stage calls and only 
on  the  second  stage  of  two-stage  calls.  Tables  2a  and  2b  report  on  retained  proposals 
only.  

In proposals for Marie Curie Actions in support for training and career development of 
researchers, data on project cost and requested EC financial contribution is not collected 
and therefore not reported. The reported financial data refer only to 63 proposals for 
Coordination and Support Actions (CSA) submitted in response to the following calls for 
proposals: FP7-PEOPLE-NIGHT-2008, FP7-PEOPLE-2007-2-3-COFUND, FP7-
PEOPLE-IRSES-2008, FP7-PEOPLE-ERG-2008, FP7-PEOPLE-IRG-2008, FP7-
PEOPLE-IEF-2008, FP7-PEOPLE-IIF-2008, FP7-PEOPLE-IOF-2008. 

Applicants in the scope of PEOPLE as well as IDEAS refer to hosting 
organisations/institutions. 

The "Higher Education" and "Non Profit Research Organisations" types of activities (see 
table  3b)  are  not  mutually  exclusive  categories  since  a  higher  education  establishment 
may also be a non-profit research organisation and vice versa. 

The combinations of legal status categories presented in tables 3b and 3e are all mutually 
exclusive. 

The figures related to EC financial contributions refer to commitments and not payments. 

A  collaborative  link  is  assumed  to  exist  between  each  pair  of  participants  in  each 
contract.  The  number  of  collaborative  links  created  by  a  project  is  calculated  in  the 
following way 

When  there  are  n  participants  from  a  given  country  in  a  project,  the  number  of 
collaborative links between participants from the given country formed as a result of the 
project is assumed to be n*(n-1)/2. 

When there are m participants from one country and p from another country in a project, 
the  number  of  collaborative  links  created  between  the  two  countries  as  a  result  of  the 
project is assumed to be m*p. 

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The total number of collaborative links is then calculated by summing across all projects. 

Fusion contracts are omitted in the statistics due to the unavailability of data 

5.2. 

List of tables in the statistical annex 

Table 1: List of FP7 concluded calls for proposals in 2008. 

Table  1a:  FP7  Eligible  proposals  in  2008:  Participation  by  Priority  Area  &  Funding 
Scheme. 

Table 1b: FP7 Eligible proposals in 2008: Participation by Priority Area & Country. 

Table 2a: FP7 Proposals retained for funding that were submitted in 2008: Participation 
by Priority Area & Funding Scheme 

Table 2b: FP7 Proposals retained for funding that were submitted in 2008: Participation 
by Priority Area and Country 

Table  3a:  FP7  Grant  Agreements  signed  in  2008:  Participation  &  Contribution  by 
Priority Area and Funding Scheme 

Table  3b:  FP7  Grant  Agreements  signed  in  2008:  Participation  &  Contribution  by 
Priority Area and Holders' type of activity/Legal Status. 

Table  3c:  FP7  Grant  Agreements  signed  in  2008:  Participation  &  Contribution  by 
Priority Area and Country 

Table 3d: FP7 grant agreements signed in 2008: Participation & Contribution by Funding 
Scheme and Country 

Table  3e:  FP7  grant  Agreements  signed  in  2008:  Participation  &  Contribution  by 
Holders' Country of origin and Legal status. 

Table 3f: FP7 grant Agreements signed in 2008: Participation & Contribution by Holders' 
Country of origin and Type of activity. 

Table 4: Collaborative links grant holders within signed grant agreements in 2008. 

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ANNEX I: PROGRESS ACHIEVED BY THE INNOVATIVE MEDICINES INITATIVE (IMI) 

JTI109

This Annex provides reporting on progress achieved by the IMI JTI in 2008, as foreseen 
in Article 11 (1) of Council Regulation 2008/73/EC of 20 December 2007. 

I.1. 

IMI JTI first call overview 

I.1.1. 

Timetable 

The Innovative Medicines Initiative is a unique Public-Private Partnership (PPP) between 
the  pharmaceutical  industry  represented  by  the  European  Federation  of  Pharmaceutical 
Industries and Associations (EFPIA) and the European Communities represented by the 
Commission.  

The  first  IMI  call  was  published  on  30  April  2008.  The  first  stage  of  the  call  invited 
Expression  of  Interest  of  Applicant  Consortia  (e.g.  collaborations  between  academia, 
SMEs,  patient  organisations,  non  EFPIA  industry,  etc.)  to  be  submitted  in  response  to 
call topics included in the call. The deadline for Expression of Interest submission was 15 
July 2008. 

At the second stage, the best ranked Expression of Interest submitted in each topic of the 
call has been invited to form joint consortia with pre-established EFPIA consortia already 
associated  with  the  topic  and  to  submit  full  project  proposals.  The  deadline  for  full 
project proposal submission was 20 January 2009. 

The 2nd peer review ended at the beginning of March. Two full project proposals did not 
reach consensus and will be re-assessed in May 2009. 

Graph 1: Timetable of the first call 

109 

For further information, see http://imi.europa.eu  

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I.1.2. 

Topics 

18  topics  were  opened  in  the  first  call,  covering  three  of  the  four  pillars  of  the  IMI 
Research Agenda.  

Pillar I: Improving the Predictivity of Safety Evaluation 

Topic 1: Improve Predictivity of Immunogenicity 

Topic 2: Non-genotoxic carcinogenesis 

Topic 3: Expert systems for in silico toxicity prediction 

Topic 4: Improved predictivity of non-clinical safety evaluation 

Topic 5: Qualification of translational safety biomarkers 

Topic 6: Strengthening the monitoring of the benefit/risk of medicines 

Pillar II: Improving the Predictivity of Efficacy Evaluation 

Topic 7: Islet cell research 

Topic 8: Surrogate markers for vascular endpoints 

Topic 9: Pain research 

Topic 10: New tools for the development of novel therapies in psychiatric disorders 

Topic 11: Neurodegenerative disorders 

Topic 12: Understanding severe asthma 

Topic 13: COPD patient recorded outcomes 

Pillar IV: Improving the Predictivity of Efficacy Evaluation 

Topic 14: European Medicines Research Training Network 

Topic 15: Safety sciences for medicines training programme 

Topic 16: Pharmaceutical medicine training programme 

Topic 17: Integrated medicines development training programme 

Topic 18: Pharmacovigilance training programme 

Activities in the Pillar III 'Closing the gap in Knowledge Management' were not included 
in the first call and therefore will have correspondingly higher priority for 2009. 

I.1.3.  Budget 

I.1.3.1.  Overall budget  

The  total  budget  available  for  the  first  call  reaches  EUR  295.5  million.  It  includes  a 
financial contribution from the EC to the IMI JU of a maximum of EUR 123 million and 
‘in kind’ contributions estimated to EUR 172.5 million by the research based companies 
that  are  EFPIA  members  (‘in  kind’  meaning  non  monetary  contributions  such  as 
personnel, equipment, consumables, etc.).  

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67 

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Graph 2: Share of the overall budget for the first call 

I.1.3.2.  Budget per pillar and topic 

Contribution from IMI JU and EFPIA members in Pillar I and Pillar II is equal in total 
and reaches € 131.5 million. The budget available in Pillar IV reaches EUR 32.5 million.  

Graph 3: IMI JU and EFPIA contribution in the first call (in M€) 

The indicative budget breakdown for each topic as published in the call is summarized in 
the following table. 

Pillar 

Topic 

IMI JU  

EFPIA 

Minimum total 
project costs 

I 

1 

2 

3 

4 

5 

9 

9 

4 

7 

15 

13 

12.5 

5 

10 

21 

22 

21.5 

9 

17 

36 

EN 

68 

   EN 

 
 
 
6 

Total 

7 

8 

9 

10 

11 

12 

13 

11 

55 

7 

14 

5 

7 

5 

9 

7 

Total 

54 

14 

15 

16 

17 

18 

Total 

Grand total 

4 

2 

3 

2 

3 

14 

123 

II 

IV 

15 

76.5 

10 

20 

7.5 

10 

7.5 

12.5 

10 

77.5 

5 

3 

4 

3 

3.5 

18.5 

172.5 

26 

131.5 

17 

34 

12.5 

17 

12.5 

21.5 

17 

131.5 

9 

5 

7 

5 

6.5 

32.5 

295.5 

I.1.3.3.Indicative EFPIA participation in the call 

Graph 4: EFPIA members' indicative participation in the first call 

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The graph presents the indicative number of participation per EFPIA company in the first 
call. 26 EFPIA companies are involved in this first call.  

I.2. 

First stage of the call: Expression of Interest (EoI) 

I.2.1. 

Typology of applicants110  

I.2.1.1.  Overview 

In total, 138 Expression of Interest (EoI) have been submitted to the IMI JU for the 18 
topics whereof three were deemed ineligible (i.e. not submitted before the deadline or for 
lacking  necessary  documents  as  stated  by  the  call).  The  three  ineligibles  Expression  of 
Interest have been submitted in topic 2, 10 and 11.  

More than half of EoI have been submitted in Pillar II. Nearly 1/3 of all EoI have been 
submitted in Pillar I and 14.2% have been submitted in Pillar IV. 

Graph 5: EoI submitted per Pillar 

The  overall  participation  of  the  different  types  of  organisations  in  the  Expressions  of 
Interest is displayed below. 

Academia 

SMEs 

Patient 
Organisations 

Agencies / 

Industry/ 

Regulatory 

Associations111 

Total 

Applicant
s 

1.000 

220 

44 

23 

7 

1.294 

% 

77.3% 

17% 

3.4% 

1.8% 

0.5% 

100% 

Close to 1300 applicants participated in the submitted Expressions of Interests. 77.3% of 
these  participants  came  from  academia,  17%  from  SMEs,  3.4%  from  patient  advocacy 
groups, 1.8% from regulatory organisations, 0.5% came from other industry associations 
or companies (non EFPIA) which were larger than SMEs. 

110 
111 

Applicant status is not checked at this stage and corresponds to applicants' self-declaration. 
Industry/Associations that are non EFPIA and larger than SMEs 

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I.2.1.2.  Applicants per Pillar 

Pillar I: Topic 1 to 6 

Academia 

SMEs 

Patient 
Organisations 

Agencies / 

Industry/ 

Regulatory 

Associations 

Total 

Applicant
s 

269 

98 

5 

18 

0 

390 

% 

69% 

25% 

1.3% 

4.6% 

0% 

100% 

41  eligible  Expressions  of  Interest  have  been  submitted  in  the  six  topics  of  Pillar  I 
gathering 390 organisations. With 25% of SMEs, this Pillar is the one where SMEs are 
the  most  represented.  Academia  constitutes  by  far  the  largest  group  with  69%  of 
applicants. Non EFPIA industry and associations are also well represented in this Pillar 
with 4.6% of all applicants while Patient organisations reach 1.3% of all organisations. 

Pillar II: Topic 7 to 13 

Academia 

SMEs 

Patient 
Organisations 

Agencies / 

Industry/ 

Regulatory 

Associations 

Total 

Applicant
s 

592 

102 

32 

2 

3 

731 

% 

81% 

14% 

4.4% 

0.3% 

0.4% 

100% 

Pillar II is the most competitive Pillar with 75 eligible Expressions of Interest submitted 
for the first stage. In total 731 organisations have participated to this Pillar. Academia is 
the most important group with 81% of all organisations. It is followed by SMEs (14%) 
and  Patient  Organisations  (4.4%).  Together,  Agencies  /  Regulatory  and  Industry  / 
Associations account for 0.5% of all applicants.  

Pillar IV: Topic 14 to 18 

Academia 

SMEs 

Patient 
Organisations 

Agencies / 

Industry/ 

Regulatory 

Associations 

Total 

Applicant
s 

139 

20 

7 

3 

4 

173 

% 

80.3% 

11.6% 

4% 

1.7% 

2% 

100% 

19  Expressions  of  Interest  have  been  submitted  in  Pillar  IV  accounting  for  173 
applicants.  In  this  Pillar  like  in  Pillar  II,  Academia  represents  80%.  It  is  followed  by 
SMEs  (11.6%)  and  Patient  Organisations  (4%).  The  smallest  groups  are  Industry  / 
Associations (2%) and Agencies / Regulatory (1.7%). 

I.2.2.  Country participation 

Organisations from 36 countries have applied in the first call. Three different groups can 
be distinguished: 

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A  first  group  of  4  countries:  United  Kingdom,  Germany,  Italy  and  France  account  for 
52.5% of all applicants in the first stage. Academia is by far the most involved type of 
organisations  as  they  represent  70%  to  80%  of  applicants  in  each  of  these  countries. 
SMEs  are  also  well  represented  as  they  account  for  12.4%  to  25%  of  applicants. 
Together, SMEs in these four countries account for more than 53% of all applying SMEs.  

A second group of 14 countries: These countries account for 40.6% of all applicants. The 
Netherlands,  Spain  and  Sweden  are  the  most  important  countries  in  this  group.  Two 
associated  countries,  Israel  and  Switzerland,  are  also  well  represented  in  this  group  as 
two members States from 2004 enlargement (Poland and Hungary). In total this second 
group accounts for 41.6 % of Academia applications and 33% of SMEs. 

A  third  group  of  18  countries:  Each  of  these  countries  account  for  less  than  1%  of  all 
applicants.  9  countries  have  one  or  two  applicants in  total.  The  United  States  Australia 
and  Russia  are  part  of  this  group.  In  total,  these  20  countries  account  for  7%  of  all 
applications.  

EN 

72 

   EN 

 
Industry / Associations

Agencies / Regulatory

Patient Organisations

SMEs

Academics / Universities

250

200

150

100

50

0

K
U

E
D

T

I

R
F

L
N

S
E

E
S

H
C

E
B

T
A

K
D

I

R F
G

L

I

T
P

E

I

L
P

U
H

O
N

Z
C

E
E

S
U

G
B

V
L

O
R

K
S

S
R

S

I

T
L

U
L

I

U S
R

U
A

Y
C

R
H

R
T

Graph 6: Country participation in the first stage – EoI 

EN 

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Country  Academia 

SMEs 

Patient 
Org. 

Agencies / 
Regulatory 

Ind./ 
Assoc. 

Total 

% 

8 

2 

6 

2 

1 

1 

1 

1 

1 

53 

25 

18 

32 

6 

7 

15 

6 

5 

9 

1 

5 

4 

6 

3 

4 

1 

6 

1 

2 

5 

1 

1 

9 

5 

4 

6 

3 

3 

1 

7 

1 

1 

1 

1 

UK 

DE 

IT 

FR 

NL 

ES 

SE 

CH 

BE 

AT 

DK 

GR 

FI 

IL 

PT 

IE 

PL 

HU 

NO 

CZ 

EE 

US 

BG 

LV 

RO 

SK 

167 

138 

117 

94 

64 

63 

55 

41 

29 

34 

38 

23 

24 

13 

12 

10 

13 

7 

11 

9 

7 

2 

4 

3 

5 

5 

1 

238 

18,4% 

170 

13,1% 

145 

11,2% 

126 

9,7% 

2 

1 

2 

1 

80 

75 

74 

48 

44 

43 

42 

29 

28 

19 

16 

15 

14 

13 

12 

9 

9 

7 

5 

5 

5 

5 

6,2% 

5,8% 

5,7% 

3,7% 

3,4% 

3,3% 

3,2% 

2,2% 

2,2% 

1,5% 

1,2% 

1,2% 

1,1% 

1,0% 

0,9% 

0,7% 

0,7% 

0,5% 

0,4% 

0,4% 

0,4% 

0,4% 

EN 

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RS 

IS 

LT 

LU 

RU 

SI 

AU 

CY 

HR 

TR 

4 

2 

1 

2 

1 

1 

1 

2 

2 

1 

1 

4 

2 

2 

2 

2 

2 

1 

1 

1 

1 

0,3% 

0,2% 

0,2% 

0,2% 

0,2% 

0,2% 

0,1% 

0,1% 

0,1% 

0,1% 

Total 

1.000 

220 

44 

23 

7 

1.294 

100% 

I.2.3.  Evaluation results  

I.2.3.1.  Evaluation procedure  

The eligible Expressions of interests were evaluated by peer review committees composed of 
at  least  5  independent  experts  next  to  the  co-ordinator  and  the  deputy  co-ordinator  of  the 
‘EFPIA  consortium’  associated  to  the  topic  evaluated  by  the  panel.  The  evaluations  were 
conducted  via  individual  remote  evaluation  followed  by  consensus  meetings  in  Brussels.  A 
total of 150 experts participated in the evaluations of the Expressions of Interests. 

The Expressions of Interest were evaluated against the following four criteria:  

–  Scientific and/or technological excellence: total score 20, threshold 14 

–  Partnership  case  (i.e.  quality  and  experience  of  the  individual  partners):  total  score  10, 

threshold 7 

–  Quality of the applicant consortium as a whole: total score 5  

–  Quality and soundness of the work plan, including the budget: total score 5 

I.2.3.2.  Success rate 

56 of the Expressions of  Interest (41.8 %)  were favourably evaluated, i.e. ranked above the 
defined  threshold.  Ranked  lists  with  the  highest  scoring  Expressions  of  Interests  were 
established for each topic. The remaining non ranked Expressions of Interests were rejected 
following the decision of the Governing Board.  

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48.7% of all EoI have passed the threshold in Pillar I, 39.1% in Pillar II and 36.8% in Pillar 
IV. However, only the best EoI in each topic have been invited to apply for the second stage 
to form Full Project Consortia with pre-defined EFPIA consortia. 

Then, the average success rate at the first stage is 13.3%. The most selective Pillar is Pillar 2 – 
Efficacy  Evaluation  -  with  9.4%  of  all  EoI  selected  for  the  second  stage.  It  is  followed  by 
Pillar 1 - Safety Evaluation (14.6%) and Pillar 4 – Education and Training (26.3%). 

Pillar 

Pillar short 

Topic 

number 

name 

Number 

First stage - EoI 

Eligible 

Above 

Selected 

EoI 

threshold 

EoI 

I 

II 

IV 

Safety 

Evaluation 

Efficacy 

Evaluation 

Education 
and 

Training 

1 to 6 

41 

20 

48.7% 

6 

14.6% 

7 to 13 

74 

29 

39.1% 

7 

9.4% 

14 to 18 

19 

7 

36.8% 

5 

26.3% 

Total 

- 

- 

134 

56 

41.8% 

18 

13.3% 

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ANNEX II : PROGRESS ACHIEVED BY THE ENIAC JTI112

This Annex provides reporting on progress achieved by the ENIAC JTI in 2008, as foreseen 
in Article 11 (1) of Council Regulation 2008/72/EC of 20 December 2007. 

II.1. 

ENIAC JU first call overview 

II.1.1.  Timetable 

The  first  ENIAC  call  was  published  on  8  May  2008.  For  this  call  a  one-stage  submission 
procedure  was  followed.  The  deadline  for  proposal  submission  was  the  3rd  of  September 
2008. 

The evaluation of proposals took place in Brussels during the week from 29 September to 3 
October 2008.  

Informal 
Project 
Outline 
phase 

Call Open for Full 
Project Proposals 

Evaluation 
/ Selection 

Projects 
Start 

Fast Kick-Off Call for 1st year 

Graph 1: Timetable of the first call 

II.1.2.  Topics 

Sub-Programmes 2, 3, 4, 7 and 8 were opened for proposals in this call: 

SP2 - Nanoelectronics for Transport & Mobility 

SP3 - Nanoelectronics for Security & Safety 

SP4 - Nanoelectronics for Energy & Environment 

SP7 - Design Methods & Tools for Nanoelectronics 

SP8 - Equipment & Materials for Nanoelectronics 

112 

For further information, see http://cordis.europa.eu/fp7/ict/nanoelectronics/eniac_en.html  

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Graph 2: Mapping the JU RA on the SRA technology domains 

SP2 - Nanoelectronics for Transport & Mobility 

Both short term and long term research activities in the field of Nanoelectronics enabling the 
roadmaps defined by the Technology Platform for Automotive ERTRAC and in line with the 
SRA of the eRTD working Group of the eSafety Forum. 

Industrially  driven  projects  for  Nanoelectronics  Research  for  Transport  and  Mobility 
addressing the areas of: 

Components and miniaturized (sub)systems for Assisted driving.  

Technology, components and miniaturized (sub)systems for advanced engine control systems 
and exhaust and combustion control.  

Power and high voltage electronics and smart miniaturized systems for hybrid and electrical 
cars.  

Development of fail safe and fault tolerant electronic systems. 

SP3 - Nanoelectronics for Security & Safety 

Short  and  long  term  activities  enabling  new  safety  and  security  systems  that  need  to  be 
reliable, secure, safe, fault tolerant, easy to use and capable of safeguarding the privacy of end 
users.  

Industrially driven projects for Nanoelectronics Research for Security and Safety addressing 
the areas of: 

Trusted devices and smart secure portable objects.  

All-in-one imaging sensors.  

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SP4 - Nanoelectronics for Energy & Environment 

Both  short  and  mid  term  activities  providing  innovative  technologies  as  the  basis  for  new 
energy efficient products and intelligent power management to enable increased competence 
in these emerging lead markets in line with the 'sustainability' objective.  

Industrially  driven  projects  for  Nanoelectronics  Research  for  Energy  and  Environment 
addressing the areas of:  

Intelligent drive control. 

Efficient power supplies and power management solutions . 

SP7 - Design Methods & Tools for Nanoelectronics 

Short and mid term activities enabling the efficient design of advanced components, Systems 
on chip, Systems in a Package and compact miniaturized electronic (sub)systems. 

Industrially driven projects for Design Methods and Tools for Nanoelectronics addressing the 
areas of:  

Device, circuit, and system variability and reliability. 

Hardware/software model driven hi-level synthesis/flow/reuse/design. 

SP8 - Equipment & Materials for Nanoelectronics 

Both  short  term  and  mid  term  research  activities  enabling  that  the  European  semiconductor 
component  and  (sub)  systems 
the 
sustainability of the industry. 

industry  remain  competitive  without  sacrificing 

Industrially driven projects for equipment and materials addressing the areas of:  

Advanced line operation. 

Lithography process for beyond 32nm manufacturing. 

R&D for assembling technology for system-in-package. 

II.1.3.  Budget 

II.1.3.1.Overall budget  

The total budget available for the first call reached EUR 180 million. It included a financial 
contribution from the EC to the ENIAC JU of EUR 32 million, a contribution from ENIAC 
Member States of EUR 58 million (see table 1) and ‘in kind’ contributions from R&D actors 
of  minimum  EUR  90  million  (‘in  kind’  meaning  non  monetary  contributions  such  as 
personnel, equipment, consumables, etc.).  

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ENIAC Member State 

Contribution to ENIAC 
Call 1 (EUR million) 

Austria 

Belgium  

Czech Republic 

Estonia 

France 

Germany 

Greece 

Hungary 

Ireland 

Italy 

Netherlands 

Norway 

Poland 

Portugal 

Spain 

Sweden 

United Kingdom 

4 

1.5 

1.5 

0 

8 

15 

0.5 

1.32 

1 

10 

10 

1.5 

1 

0.5 

1 

1 

0 

Table 1: Contribution from ENIAC Member States to ENIAC call 1. 

II.2. 

Analysis of ENIAC Call 1 

II.2.1.  Typology of applicants  

A total of 12 proposals were received, requesting a total national grant of EUR 122.4 million 
and a total JU grant of EUR 71.1 million. None of the received proposals were excluded from 
evaluation  because  of  ineligibility  reasons  (ineligible  submission,  ineligible  consortium, 
incomplete proposal or being out of scope of the call).  

All sub-programmes opened  in  the call were addressed by at  least one proposal and several 
proposals addressed more than one subprogram.  

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SP8
6
51%

SP2 SP4
2
17%

SP4
1
8%

SP7
1
8%

SP2 SP4 SP8
1
8%

SP3
1
8%

Graph 3: Proposals submitted per sub-programme 

The  overall  participation  of  the  different  types  of  organisations  in  the  proposals  is 
displayed in the table and diagram below. 

Academia 

SMEs 

Large 
industries 

Research  Other 

Total 

Applicants  42 

62 

95 

63 

3 

265 

% 

15.8% 

23.4% 

35.9% 

23.8% 

1.1% 

100% 

Table 2: Typology of applicants of submitted proposals. 

265 participations out of 20 countries participated in the submitted proposals including most 
major  European  actors  in  the  semiconductor  field.  35.9%  of  these  participants  came  from 
large industries, 23.8% from research centres, 23.4% from SMEs, 15.8% from academia, and 
1.1% came from other type of organisation. 

II.2.2.  Country participation 

Organisations from 20 countries have applied in the first call.  

EN 

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60

50

40

30

20

10

0

Other

Research

Academia

SMEs

Large industries

AU BE CH CZ DE ES FI FR GR HU IE IL 

IT NL NO PL PT RO  SE UK

Graph 4: Country participation in submitted proposals 

Country 

Large 
industries 

SMEs 

Academia  Research 

Other 

TOTAL 

% 

AU 

BE 

CH 

CZ 

DE 

ES 

FI 

FR 

GR 

HU 

IE 

IL 

IT 

NL 

NO 

9 

3 

0 

0 

23 

0 

2 

28 

0 

1 

1 

1 

15 

12 

0 

3 

3 

0 

1 

9 

4 

0 

13 

4 

3 

2 

0 

6 

2 

3 

7 

1 

0 

1 

2 

2 

0 

3 

0 

2 

3 

0 

14 

4 

0 

3 

2 

1 

0 

13 

7 

1 

10 

3 

1 

2 

1 

7 

3 

3 

0 

1 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

2 

0 

0 

22 

10 

1 

2 

47 

13 

3 

54 

7 

7 

8 

2 

44 

21 

6 

8,3 

3,8 

0,4 

0,8 

17,7 

4,9 

1,1 

20,4 

2,6 

2,6 

3,0 

0,8 

16,6 

7,9 

2,3 

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PL 

PT 

RO 

SE 

UK 

0 

0 

0 

0 

0 

2 

1 

0 

4 

2 

1 

0 

0 

1 

1 

1 

3 

2 

0 

0 

TOTAL 

95 

62 

42 

63 

0 

0 

0 

0 

0 

3 

4 

4 

2 

5 

3 

1,5 

1,5 

0,8 

1,9 

1,1 

265 

100,0 

Table 3: Applicant per type and country in submitted proposals. 

II.2.3.  Evaluation results  

II.2.3.1.Evaluation procedure  

Following evaluation by external experts, 9 proposals (75%) achieved scores on all 
criteria  above  thresholds.  The  total  national  grant  requested  by  all  the  "above 
threshold"  proposals  in  this  call  is  EUR110.9  million.  The  total  ENIAC  JU  grant 
requested by all the "above threshold" proposals in this call is EUR 65.2 million. The 
total national funding pre-allocated to this call is EUR57.8 million whereas the total 
ENIAC JU pre-allocated funding is EUR 32 million. 

The proposals were evaluated against the following five criteria:  

–  Relevance  and  contributions  to  the  content  and  objectives  of  the  Call.:  total  score  10, 

threshold 6 

–  R&D innovation and technical excellence: total score 10, threshold 6 

–  S&T approach and work plan: total score 10, threshold 6 

–  Market innovation and impact: total score 10, threshold 6 

–  Quality of consortium and management: total score 10, threshold 0 

TOTAL SCORE 50, Threshold 35 

II.2.3.2.Evaluation results 

9  proposals  were  selected  and  retained  for  negotiation  by  the  ENIAC  Public  Authorities 
Board (PAB). The 3 proposals in the "below threshold" list were rejected as their scores were 
below  threshold  in  one  or  more  evaluation  criteria  or  below  the  minimum  total  score 
required.. 

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II.2.3.3.Statistics of selected proposals 

Number of participations
Total 184

33; 18%

43; 23%

63; 35%

Large enterprises

SMEs

Research organisations

education

45; 24%

Graph 5: Number of participations in selected proposals 

Number of companies
Total 121

25; 21%

30; 25%

Large enterprises

SMEs

Research organisations

education

22; 18%

44; 36%

Graph 6: Number of different companies in selected proposals 

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Nat ional funding
58,6 M€

13%

16%

48%

23%

JU funding
35,4 M€

7%

Large ent erpris es

Res earc h c enters

SM Es

Education

16%

16%

61%

Accepted eligible costs
213,1 M€

8%

16%

16%

60%

Graph 7: Budget per type of participant in selected proposals 

Nati onal funding
58,6 M€

13%

15%

25%

47%

SP8

SP4

SP2

SP7

JU funding
35,4 M€

12%

15%

24%

49%

Accepted eligible costs
213, 1 M€

12%

15%

24%

49%

Graph 8: Budget per activity type in selected proposals 

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Graph 9: Public funding per country in selected proposals 

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ANNEX III : PROGRESS ACHIEVED BY THE ARTEMIS JTI113

This  Annex  provides  reporting  on  progress  achieved  by  the  ARTEMIS  JTI  in  2008,  as 
foreseen in Article 11 (1) of Council Regulation 2008/74/EC of 20 December 2007. 

III.1. 

Introduction 

The  following  report  presents  statistics  from  the  first  ARTEMIS  call,  published  on  8  May 
2008. 

III.2.  Response to the call 

A total of 27 proposals were received for this call, requesting a total cost of EUR 323 million, 
a total national grant of EUR 115 million and a total JU grant of EUR 54 million. None of the 
received proposals were excluded from evaluation because of ineligibility reasons (ineligible 
submission, ineligible consortium, incomplete proposal or being out of scope of the Call). 

The breakdown between the 8 Sub-Programmes is as follows: 

Sub Programme 1: 9 proposals received 

Sub Programme 2: 2 proposals received 

Sub Programme 3: 5 proposals received 

Sub Programme 4: 3 proposals received 

Sub Programme 5: 4 proposals received 

Sub Programme 6: 2 proposals received 

Sub Programme 7: 1 proposals received 

Sub Programme 8: 1 proposals received 

113 

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III.3.  Overview 

The  total  national  funding  pre-allocated  to  this  call  is  EUR  63,8  million  whereas  the  total 
ARTEMIS JU pre-allocated funding is EUR 35,1 million. 

Call Budget 

National 

JU (EC) 

Total 

ARTEMIS 

Call 1 

2008 

63,8M€ 

35,1M€ 

98,9M€ 

Call response 

Proposals received 

27 

Total funding requested 

169M€  

Oversubscription ratio 

1,7/1 

Evaluation results 

Projects 
funding 

selected 

for 

12 

III.4. 

Statistics for all proposals 

Total number of Participations

Other; 8; 2%

University; 90; 
23%

SME; 114; 29%

Research; 63; 
16%

Large; 122; 30%

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Number of distinct participations

Other; 8; 3%

University; 73; 
25%

SME; 109; 38%

Research; 42; 
14%

Large; 59; 20%

Total requested costs

SME; 53,6; 17%

Other; 3,8; 1%

University; 42,8; 
13%

Research; 46,3; 
14%

Large; 177,5; 
55%

Total requested funding

SME; 28,2; 17%

Other; 2,1; 1%

University; 28,9; 
17%

Research; 34,3; 
20%

Large; 75,5; 45%

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III.5. 

Selection 

12 proposals were selected and retained for negotiation by the ARTEMIS Public Authorities 
Board  (PAB).  2  proposals  were  put  on  a  reserve  list.  The  10  proposals  in  the  "below 
threshold" list were rejected as their scores were below threshold in one or more evaluation 
criteria  or  below  the  minimum  total  score  required.  3  proposals  were  rejected  as  the  Public 
Authorities Board deems them not financially viable due to limitations in the available public 
funding. 

The 12 proposals amount to a total costs of EUR 196.59 million, and the total public funding 
allocation is as follows: 

Austria 

Belgium 

Czech Republic 

Germany 

Denmark 

Estonia 

Spain 

Finland 

France 

Greece 

Hungary 

Ireland 

Italy 

Netherlands 

Norway 

Portugal 

Romania 

Sweden 

Slovenia 

Public funding 
allocated 

3.699.318,76 €

1.515.599,70 €

872.875,28 €

8.801.508,03 €

800.500,00 €

0 €

5.999.274,16 €

5.098.522,00 €

5.052.628,37 €

1.574.573,20 €

2.035.741,00 €

644.477,00 €

7.999.874,54 €

7.385.182,42 €

1.500.000,00 €

769.755,90 €

0 €

2.773.056,48 €

0 €

United Kingdom 

3.611.714,98 €

Other 

0 €

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ARTEMIS JU  

Total  public  funding 
allocated 

32.830.838,45 €

92.965.440,27 €

III.6. 

Statistics for selected proposals 

Total number of Participations

Other; 2; 1%

University; 52; 
23%

SME; 60; 27%

Research; 28; 13%

Large; 82; 36%

Number of distinct participations

Other; 2; 1%

University; 40; 26%

SME; 57; 37%

Research; 18; 12%

Large; 37; 24%

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Total requested costs

SME; 31; 15%

Other; 1; 0%

University; 24,7; 
12%

Research; 24; 12%

Large; 124; 61%

Total requested funding

SME; 16,1; 15%

Other; 0,5; 0%

University; 17,4; 
17%

Research; 17,9; 
17%

Large; 52; 51%

EN 

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ANNEX IV : PROGRESS ACHIEVED BY THE CLEAN SKY JTI114

This  Annex  provides  reporting  on  progress  achieved  by  the  Clean  Sky  JTI  in  2008,  as 
foreseen in Article 11 (1) of Council Regulation 2008/71/EC of 20 December 2007. 

IV.1.  Clean Sky ju first grant agreements for members 

IV.1.1.  Timetable 

The  first  Clean  Sky  JU  grant  agreements  were  negotiated  in  November  2008  and  signed  in 
November and December 2008. 

The  pre-financings  for  the  seven  signed  grant  agreements  were  paid  to  the  coordinators  in 
December 2008. 

IV.1.2.  Clean Sky Milestones for 2008 

The Clean Sky JTI is organised around 6 Integrated Technology Demonstrations (ITD), which 
will  develop  a  large  set  of  innovative  technologies  covering  all  segments  of  commercial 
aviation. Most activities defining the basic technology options, the new configurations and the 
demonstrators' options will be launched in the early phase of Clean Sky.  

The Technology Evaluator (TE) will assess the environmental impact of those technologies. 
Activities on requirements and architecture, on model development at mission, operation and 
Air Transport System and their validation, and on development of the simulation framework 
will all start within the first 12 months of Clean Sky. 

IV.1.3.  Integrated Technology Demonstrators (ITDs) 

Topics are covered by these Integrated Technology Demonstrators (ITDs) and the Technology 
Evaluator: 

–  SMART fixed wing aircraft 

–  Green Regional Aircraft 

–  Green Rotorcraft 

–  Sustainable and Green Engine 

–  Systems for Green Operations 

–  Eco-Design 

IV.1.3.1. 

Smart Fixed Wing Aircraft ITD 

For the first 18 months of the programme the focus of the SFWA work plan will be on the 
following activities: 

114 

For further information, see https://www.cleansky.eu/  

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–  development of the passive flow and load control technologies;  

–  the passive wing concepts and the definition/down-selection of the demonstrator vehicles 

for the first phase of passive testing on the High-Speed/Low-Drag demonstrator;  

–  the Contra Rotating Open Rotor Flying Test Bed and the Long-Duration flight trials. 

IV.1.3.2. 

Green Regional Aircraft ITD 

For  the  first  18  months  of  the  programme  the  focus  of  the  GRA  work  plan  will  be  on  the 
following activities: 

–  develop  the  most  promising  “mainstream”  technologies  best  fitting  the  requirement  of 

greening the regional aircraft; 

–  integrate  composite  multi-layer/multi-function  architecture  solutions  from  mainstream 

technologies in the GRA Demonstrators; 

–  active  monitoring  through  sensoring  of  events  occurring  to  each  aircraft  and  associated 

maintenance approach and tool development. 

IV.1.3.3. 

Green Rotorcraft ITD 

Most activities of the GRO work plan will be launched in the early period. They comprise: 

–  preparation of the Technology Evaluator for the rotorcraft; 

–  innovative rotor blades and engine installation for noise reduction; 

–  reduced airframe drag and dynamic systems; 

–  integration  of  diesel  engine  technology  and  advanced  electrical  systems  for  fuel 

consumption reduction; 

–  environmentally friendly flight paths 

IV.1.3.4. 

Sustainable and Green Engines ITD 

Activities  on  all  SAGE  demonstrators  will  start  in  the  early  phase  of  Clean  Sky.  They 
comprise: 

–  Open Rotor Assembly (SAGE 1), aiming at demonstrating at full scale the functionality of 
an open rotor propulsion system, including the core engine assembly and test definition.  

–  Direct Driven Pusher Open Rotor (SAGE 2 - counter rotating propfans placed at the engine 
rear  and  mounted  on  a  stator-less  counter  rotating  low-pressure  turbine)  focusing  on 
reduction of SFC, and CO2 and NOx emissions; 

–  Low  weight  approach  overall  (SAGE  3),  including  low  pressure  intercooler  installations, 

flow control systems and integration aiming towards a more electric engine; 

–  high efficiency and low noise geared turbofan concept (SAGE 4) providing a step change 

in fuel burn reduction combined with a strong decrease in noise emission;  

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–  ITD  turbo-shaft  engine  (SAGE  5)  aiming  specifically  at  weight,  noise  and  emission 

reduction in helicopters. 

IV.1.3.5. 

Systems for Green Operations ITD 

Most activities of the SGO work plan will be launched in the early period. They comprise: 

–  all-electric aircraft equipment and systems architectures; 

–  management of aircraft energy requirements; 

–  mission and trajectory management and links to the SESAR JU activities; 

–  improved ground operations. 

IV.1.3.6. 

Eco-Design ITD 

Activities  in  the  Eco-Design  ITD  will  encompass  the  whole  life  cycle  of  materials  and 
systems, focusing on the optimal use of raw materials, decreasing the use of non-renewable 
materials and of natural resources, limiting energy consumption and the emission of noxious 
effluents, and on recycling.  

The initial activities will concentrate on vehicle systems analysis at aircraft level. 

IV.1.3.7.  Technology Evaluator 

The  basis  for  interaction  between  the  TE  and  all ITDs  will  be  launched  in  the  early  part  of 
Clean Sky. They include: 

–  definition of model framework architecture, identification of requirements like input data 

necessary to perform modeling and quantification; 

–  elaboration of state-of-the-art metrics and outputs relevant for the scope of the Technology 
Evaluator  in  line  with  the  ACARE  goals,  including  model  and  data  consistency 
assessments;  

–  methodology definition to perform those studies and to ensure support for ITDs decisions 

on demonstrators; 

–  definition of overall operations and architecture of the Technology Evaluator. 

IV.2.  Budget 

IV.2.1.  Overall Budget 

ITD
Total

EcD GRC SFWA SAGE GRA SGO TE Total
2.066 4.020 9.433 8.921 3.863 5.541 495

34.339

JU  
contribution

17.170  

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IV.2.2. Budget per ITD 

Member name

ITD Smart Fixed Wing Aircraft

Airbus S.A.S.
Airbus France SAS
Airbus Deutschland GmbH
Airbus UK Limited
Airbus España S.L.
SAAB AB
Dassault Aviation SA
EADS - CONSTRUCCIONES AERONAUTICAS S.A. 
SOCIEDAD UNIPERSONAL
Fraunhofer Gesellschaft zur Förderung der angewandten 
Forschung e.V.
Liebherr-Aerospace Lindenberg GmbH
Rolls Royce PLC
SAFRAN
Aircelle
Messier-Dowty SA
Messier-Dowty Limited
Snecma
Sagem Défense Sécurité
THALES AVIONICS SA
Deutsches Zentrum für Luft- und Raumfahrt DLR
ONERA – Office National d’Etudes et de Recherches 
Aérospatiales 
RUAG Aerospace
Stork 
ADSE
Airborne Development B.V.
Axxiflex Turbine Tooling B.V.
FMLC
FOKKER ELMO B.V.
Nationaal Lucht- en Ruimtevaartlaboratorium (NLR)
TU Delft fac. Luchtvaart- en Ruimtevaarttechniek
Universiteit Twente
S.C. Institutul National de Cercetari Aerospatiale “Elie 
Carafoli” – INCAS S.A.
S.C. STRAERO S.A.
S.C. AVIOANE Craiova S.A.
S.C. ROMAERO S.A. 
Qinetiq Limited
2nd Call Associate member
Total

Total
(k€)

116,000
2.080,000
1.720,000
1.450,000
82,000
837,000
286,000

JU  
contributio
n
(k€)

58,000
1.040,000
860,000
725,000
41,000
418,500
143,000

90,000

45,000

619,000

309,500

100,000
68,000
0,000
58,000
0,000
0,000
40,000
206,000
72,000
463,000

155,000

106,000

50,000
34,000
0,000
29,000
0,000
0,000
20,000
103,000
36,000
231,500

77,500

53,000

498,000

249,000

277,000

138,500

0,000
0,000
0,000
110,000
0,000
9.433,000 4.716,500

0,000
0,000
0,000
55,000
0,000

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Green Regional Aircraft

Member name

Alenia Aeronautica S.p.A
Alenia Aermacchi
Alenia SIA 
Alenia Improvement

EADS - CONSTRUCCIONES AERONAUTICAS S.A. 
SOCIEDAD UNIPERSONAL

Airbus S.a.S.
Fraunhofer-Gesellschaft 
Liebherr
Rolls Royce plc
Rolls-Royce Deutschland
Safran
Hispano-Suiza
Messier-Dowty SA
Snecma
Thales Avionics
Thales Avionics Electrical Systems SA
Piaggio Aeroindustries S.p.A.
Centro Sviluppo Materiali S.p.A.
Distretto Tec nologic o sull’Ingegneria dei Materiali 
Polimeric i e Compositi e Strutture S.c .a.r.l.,
Fox Bit S.r.l. , in short FoxBit
POLITECNICO DI TORINO, Dipartimento di Ingegneria 
Aerospaziale
SICAMB S.p.A.,  in short SICAMB
Università degli Studi di Bologna – Fac oltà di 
Ingegneria di Forlì - Dipartimento di Ingegneria
Università degli Studi di Napoli “Federic o II”, Polo 
delle Sc ienze e della Tec nologia
Università degli Studi  di Pisa- Dipartimento di 
Ingegneria Aerospaziale
Avions de Transport Régional  - ATR  - French Groupement 
d'intérêt Economique - GIE 
CIRA S.C.p.A
AEROSOFT S.p.A
DEMA SpA
INCAS - National Institute for Aerospace Research
ELSIS, UAB
Hellenic Aerospace Industry
Onera
Total

Total
(k€)

JU  contribution
(k€)

1.436,000
0,000
0,000
40,000

190,000

0,000
484,000
50,000
0,000
67,000
0,000
50,000
26,000
65,000
88,000
40,000

718,000
0,000
0,000
20,000

95,000

0,000
242,000
25,000
0,000
33,500
0,000
25,000
13,000
32,500
44,000
20,000

252,000

126,000

340,000

170,000

350,000

175,000

90,000
295,000
3.863,000

45,000
147,500
1.931,500

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ITD Sustainable and Green Engines

Member name

Rolls-Royce plc
Rolls-Royce Deutschland
SAFRAN
Aircelle
Hispano-Suiza
Snecma
Techspace Aero
AVIO S.p.A.
Industria de Turbo Propulsores S.A.  (ITP)
MTU Aero Engines GmbH
Volvo Aero Corporation
Volvo Aero Norge
Airbus SAS
Airbus France SAS
Alenia Aeronautica S.p.A.
Alenia Aermacchi
Total

Total
(k€)

JU  
contribution
(k€)

1.826,000
1.474,000
0,000
18,000
78,878
2.774,385
128,737
459,000
876,000
200,000
925,000
75,000
0,000
48,000
20,036
18,000
8.921,036

913,000
737,000
0,000
9,000
39,439
1.387,193
64,369
229,500
438,000
100,000
462,500
37,500
0,000
24,000
10,018
9,000
4.460,518

Green Rotorcraft

Member name

VERTAIR GEIE
AGUSTA S.p.A.
WESTLAND HELICOPTERS Ltd
EUROCOPTER Sas
EUROCOPTER DEUTSCHLAND GMBH
EUROCOPTER ESPAÑA
Liebherr-Aerospace Lindenberg GmbH
Thales Avionics Electrical Systems
Hispano-Suiza
Wytwornia Sprzetu Komunikacyjnego PZL Swidnik Spolka Akcyjna
Office National d’Etudes et de Recherches Aérospatiales 
Deutsches Zentrum für Luft- und Raumfahrt e.V.
CIRA-SELEX ATS
Centro Italiano Ricerche Aerospaziali 
SELEX SISTEMI INTEGRATI S.p.A.
Stichting IGOR
Airborne Composites B.V.
ANOTEC CONSULTING, S.L., 
Alphei Pueschel Roesler (Akustik Technologie Goettingen)
Eurocarbon B.V.
Fibre Optic Sensors and Sensing Systems b.v.b.a.
LMS International N.V.
Microflown Technologies B.V.
Micromega Dynamics s.a.
Stichting Nationaal Lucht- en Ruimtevaartlaboratorium
Technische Universiteit Delft
Universiteit Twente

Total
(k€)

JU  
contribution
(k€)

58,300
654,305
505,664
926,221
253,646
66,881
12,100
6,850
5,950
404,435
129,083
213,700

199,672

29,150
327,153
252,832
463,111
126,823
33,441
6,050
3,425
2,975
202,218
64,542
106,850

99,836

583,272

291,636

Stichting Nederlands Instituut voor Vliegtuigontwikkeling en Ruimtevaart

Total

4.020,079

2.010,040

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ITD Systems for Green Operations

Member name

Liebherr-Aerospace Lindenberg GmbH
Liebherr-Aerospace Toulouse SAS
Liebherr-Elektronik GmbH
Thales Avionics
Thales Avionics Electrical Systems S.A
Thales Systèmes Aéroportés S.A.
Airbus SAS
Airbus France SAS
Airbus Deutschland GmbH
Airbus UK llimited
Saab AB 
Alenia Aeronautica
DASSAULT AVIATION SA
Rolls-Royce UK
Safran
Aircelle
Hispano-Suiza
Labinal
Messier-Bugatti
Messier-Dowty SA
Snecma
Techspace Aero
Technofan
Fraunhofer-Gesellschaft
ZODIAC-INTERTECHNIQUE
Zodiac ECE
Zodiac Aérazur
University of Nottingham
DEUTSCHES ZENTRUM FUER LUFT UND RAUMFAHRT E.V.
EADS Deutschland GmbH (Innovation Works)
Green Systems for Aircraft Foundation (GSAF)
Aeronamic BV
Stichting Nationaal Lucht- en Ruimtevaartlaboratorium
Technische Universiteit Delft
University of Malta
Cranfield University
Diehl Aerospace GmbH
Galileo Avionica
Total

Total
(k€)

JU  contribution
(k€)

200,000
300,000
20,000
767,000
307,000
0,000
34,087
333,912
58,200
0,000
257,200
105,040
0,000
33,191
0,000
162,000
215,000
100,000
200,000
20,000
0,000
30,000
28,000
10,000
366,700
209,100
94,940
300,000
220,000
397,000
0,000
0,000
40,000
10,100
56,000
220,800
121,096
100,000
5.316,365

100,000
150,000
10,000
383,500
153,500
0,000
17,043
166,956
29,100
0,000
128,600
52,520
0,000
16,596
0,000
81,000
107,500
50,000
100,000
10,000
0,000
15,000
14,000
5,000
183,350
104,550
47,470
150,000
110,000
198,500
0,000
0,000
20,000
5,050
28,000
110,400
60,548
50,000

2.658,183

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ITD Eco-Design

Member name

Total
(k€)

JU  contribution
(k€)

DASSAULT AVIATION SA
Fraunhofer Gesellschaft zur Förderung der angewandten 
Forschung e.V.
AIRBUS SAS
Airbus France SAS
Airbus Deutschland GmbH
Airbus UK llimited
Airbus Espana sl
AGUSTA SpA
ALENIA Aeronautica SpA
WESTLAND HELICOPTERS Ltd
EADS - CASA
EUROCOPTER SAS
EUROCOPTER DEUTSCHLAND GMBH
LIEBHERR-AEROSPACE TOULOUSE SAS
SAFRAN
Aircelle
Hispano-Suiza
Microturbo
Snecma
Sofrance
Technofan
Turbomeca
THALES AVIONICS Electrical Systems
EADS France - Innovation Works Department
HELLENIC AEROSPACE INDUSTRY SA
ISRAEL AEROSPACE INDUSTRIES Ltd.
STORK FOKKER AESP B.V.
ADSE
AXXIFLEX Turbine Tools BV
NLR (Nationaal Lucht- en Ruimtevaartlaboratorium) 
SERGEM BV
TU-Delft, Aerospace Faculty
University Twente
RUAG Aerospace
ICOTEC AG
HUNTSMAN Advanced Materials (Switzerland) GmbH
EPFL Ecole Polytechnique Fédérale de Lausanne
University of Applied Sciences of Northwestern Switzerland
ETH Zürich
TU Hamburg-Harburg
Advanced Composites Group (ACG)
HADEG Recycling GmbH
Total

190,000

291,800

1,000
31,500
31,300
14,700
5,800
44,370
94,000
100,000
11,000
29,400
117,900
45,564
0,000
20,000
34,417
0,000
64,417
8,474
6,118
10,000
30,900
238,214
197,000
180,000

95,000

145,900

0,500
15,750
15,650
7,350
2,900
22,185
47,000
50,000
5,500
14,700
58,950
22,782
0,000
10,000
17,209
0,000
32,209
4,237
3,059
5,000
15,450
119,107
98,500
90,000

167,830

83,915

100,600

50,300

2.066,304

1.033,152

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ITD Technology Evaluator

Member name

THALES Avionics S.A.
THALES Avionics Electrical Systems S.A
THALES Systèmes Aéroportés S.A.
AGUSTA SpA
WESTLAND HELICOPTERS Ltd
AIRBUS SAS
AIRBUS France SAS
AIRBUS Deutschland GmbH
AIRBUS UK ltd
AIRBUS Espana sl
ALENIA Aeronautica SpA
DASSAULT AVIATION SA
EADS - CASA
EUROCOPTER SAS
EUROCOPTER DEUTSCHLAND GMBH
Fraunhofer Gesellschaft zur Förderung der angewandten Forschung e.V.

LIEBHERR-AEROSPACE Lindenberg GmbH
LIEBHERR-AEROSPACE Toulouse
ROLLS-ROYCE plc
SAAB AB
SAFRAN
Snecma
Turbomeca
Deutsches Zentrum für Luft- und Raumfahrt (DLR)
CIRA S.C.p.A
Cranfield University
Nationaal Lucht- en Ruimtevaartlaboratorium (NLR)
ONERA – Office National d’Etudes et de Recherches Aérospatiales 
Total

Total (k€)

JU  
contribution
(k€)

81,000
0,000
40,000
0,000
15,000
10,000
6,000
0,000
0,000
0,000
14,000
4,800
14,000
0,000
14,000

15,000

12,000
0,000
14,000
15,000
0,000
16,000
0,000
131,000
17,000
15,000
34,000
27,000
494,800

40,500
0,000
20,000
0,000
7,500
5,000
3,000
0,000
0,000
0,000
7,000
2,400
7,000
0,000
7,000

7,500

6,000
0,000
7,000
7,500
0,000
8,000
0,000
65,500
8,500
7,500
17,000
13,500
247,400

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IV.3.  Participation 

IV.3.1.  Members by country 

FR
IT
NL
DE
UK
ES
CH
BE
RO
SE
GR
LT
NO
PL
MT
IR

73 33,49%
30 13,76%
30 13,76%
29 13,30%
7,80%
17
4,59%
10
3,21%
7
2,75%
6
2,29%
5
1,83%
4
0,92%
2
0,46%
1
0,46%
1
0,46%
1
0,46%
1
0,46%
1
218

IV.3.2.  Split between industry, Universities and SME's 

Industry 

133 

61,01 % 

Universities  50 

22,94 % 

SME  35 

16.06 % 

Total  218 

IV.4. 

Calls for proposals 

In 2008 no calls for proposals were lauched. 

The budget was committed in 2008 and will the basis for the first call for proposals in 2009. 

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