Regional Aspects in the

7th Framework Programme

Expert Advisory Group on

"Research Potential" - 2008 -

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Regional Aspects in the 7th Framework Programme

Expert Advisory Group

on "Research Potential"

- 2008 -

Report prepared by

Prof. Manfred Horvat (Vienna University of Technology, Austria)

Rapporteur of the EAG

2007 Directorate-General for Research

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CONTENTS INTRODUCTION 1 EAG ADVICE for the Work Programme 2008 3

1. The EAG’s work in preparation of the Work Programme 2008 3

2. First experiences of the “Research Potential” initiative in FP7 3 2.1 Meeting demands of research entities in

the target regions 3 2.2 Experiences from the first months of FP7 and

the first Call for Proposals 4

3. Preparing for the Work Programme 2008 5 3.1 Boundary conditions 5 3.2 The EAG’s input to the Work Programme 2008 6

4. The relevance of the “Research Potential” scheme

for the development of the European Research area 8 CONCLUSION 9 ANNEX 2006-2007 List of members of the EAG “Research Potential” 11

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INTRODUCTION 1 On 18 December 2006, the 7th Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) was decided by the European Parliament and the Council. The 7th Framework Programme is the instrument to support the Lisbon and Barcelona strategies that define the central role of research for developing the knowledge-based economy. For the “Research Potential” scheme several formulations in the introductory part of the Framework Programme decision 2 are of particular relevance:

o (1) “… Through its support for research at frontier of knowledge, applied research and innovation, the Community seeks to promote synergies in European research and thus provide a stable foundation for the European Research Area. This will make a positive contribution to the social, cultural and economic progress of all Member States.”

o (11) “The research and innovation capacities throughout Europe should be strengthened, both quantitatively and qualitatively.”

o (17) “Under the “Capacities” programme … the research potential in the Union’s convergence and outermost regions should be unlocked.”

o (19) “The regions have an important part to play in implementing the European Research Area. Unlocking the development potential of regions and wide dissemination of results of research and technological development help to bridge the technological divide and contribute to European competitiveness.”

The 7th Framework follows not only new objectives. It is also structured differently compared to previous programmes and offers a simplified set of funding schemes (instruments). Therefore, all relevant information is been made available in a timely and user-friendly manner to all potential participants. “Under the Specific Programmes implementing the 7th Framework Programme (2007-2013), the Commission is responsible for drawing up Annual Work Programmes. In doing so, the Commission wishes to draw on the best possible external advice.” Therefore, Expert Advisory Groups 1 Due to its general validity this Introduction presenting the framework of the EAG’s work is almost completely identical to the Introduction of the EAG’s report 2007 and will be repeated for every annual report in the course of the implementation of the present scheme during FP7. The contents will only change with regard to the composition of the EAG that will have two years terms. 2 DECISION No. 1982/2006/EC OF THE European PARLIAMENT AND OF THE COUNCIL of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013). Official Journal of the European Union, L412/1-41, 30.12.2006

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(EAGs) have been set up by the European Commission and are composed of independent experts working in their individual capacity. According to the mandate of the EAG the tasks of the EAG are 3:

o The members of the EAG commit themselves to discuss questions put forward and provide advice in their relevant fields of expertise to the best of their ability and in the best interest of Community research.”

o “Advice should be provided on strategy, relevant objectives and scientific and technological priorities, and the topics on which proposals are to be invited.”

o “The advice received from the EAG will complement other sources of external advice received by the Commission.”

For the “Research Potential” EAG 15 experts were nominated by the Commission. The compilation of the list of experts was based on the following criteria:

o the appropriate range of expertise taking into consideration he objectives of the scheme;

o the appropriate understanding of and insights into horizontal aspects;

o the reasonable distribution of geographical origin; o an appropriate gender balance.

The EAG members for the first two years of FP7 come from different institutional backgrounds, from universities (7), research laboratory (1), funding organisations (5), ministry (1) and research policy consultancy (1). 8 members are academics. A majority of the members has long-standing experience in European research and technology cooperation. Information on the members of the External Advisory Group 4 will be made available on EUROPA (http://europa.eu/index_fr.htm) in order to inform the public and European citizens about membership, mandate and activities of each advisory group. This initiative is focused on "stimulating the realisation of the full research potential of the enlarged Union”. Building on the decisions of the 7th Framework Programme and the Specific Programme “Capacities”, the Commission, on an annual basis, seeks expertise in order to identify the priority issues connected with the activity lines of the scheme. 3 For the tasks of the EAG see: European Commission: Mandate for Advisory Groups of the 7th Framework Programme. 4 See ANNEX 1 – list of members of the EAG "Research of Potential"

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The members of the EAG provide input during the meetings of the group and in written form to the Commission on a yearly basis, which is used in the preparation of the annual work programme. Advice to the Commission is the result of discussions within the Group. This report reflects the EAG advice in view of the preparation of the Work Programme for 2008 as summarised by the rapporteur of the group.

EAG ADVICE for the Work Programme 2008 1. The EAG’s work in preparation of the Work Programme 2008 For the preparation of the Work Programme 2008 the members of the EAG provided first written inputs based on the intermediate experiences from the implementation of the first call and first conclusions and suggestions for the preparation of the Work Programme 2008. As a second step, the EAG met for one meeting on 20 April 2007. In the follow up of that meeting the EAG members provided further suggestions for the next Work Programme. Finally, on 18 May 2007 the members received a draft version of Work Programme 2008 and were invited to provide comments. These comments were collected by the rapporteur who integrated them into the Draft Work Programme 2008 and provided this revised document to the Commission on 29 May 2007. 2. First experiences of the “Research Potential” initiative in FP7 2.1 Meeting the demand of research entities in the target regions During the meeting on 20 April 2007 the Commission provided some first indicative quantitative information on the response to the first Call for Proposals for the “Research Potential” scheme based on proposals received until a few days before the deadline on 24 April 2007. Already this very preliminary data provided a very strong indication of the great interest this scheme has found amongst the target community. These first indications were confirmed by first preliminary data on the response to the first call:

o REGPOT-1: 255 proposals; o REGPOT-2: 9 proposals; o REGPOT-3: 107 proposals; o REGPOT-4: 1 proposal.

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These results show a very high rate of oversubscription. This will have to be considered in the further development of the scheme. However, first of all, it becomes clear from that information that the “Research Potential” scheme is clearly addressing a demand of the research entities in the target regions. To a certain extent, the first call was a kind of pilot activity because “Research Potential” is a new scheme with new activities and to a certain extent also with new players. Therefore, it will be very important to analyse and discuss all available information on experiences of proposers, National Contact Points, and delegates in the Programme Committee, and to draw the necessary conclusions for the further development of the scheme. The substantial response to the first call is a success. However, on the other side the high numbers of proposals received in response to the call and the limitations of the available budget present also a challenge, especially due to the high rate of oversubscription in REGPOT-1 and REGPOT-3. 2.2 Experiences from the first months of FP7 and the first Calls for

Proposals The input and feedback of EAG members stemmed from information that EAG members have gained at national level. As the results show the interest in the scheme was very high showing that the scheme is fit for purpose. As an advance general remark it can be said that the EAG didn’t see major changes to be necessary for the next Work Programme. Due to the obvious high demand for the scheme the EAG discussed the size of the general budget of the scheme as such and the budgetary conditions foreseen for individual projects. There was a clear agreement amongst EAG members that a higher budget for the scheme would be necessary and very much appropriate. In general, the budget for the scheme is defined by the decisions on the 7th EU RTD Framework Programme and the “Capacities” Specific Programme. Detailed statistics, careful analyses of the outcome of the first calls for proposals and an intermediate assessment of the implementation and success of the scheme will be carried out at mid-term of FP7. Possible changes of budgetary provisions will be based on the availability of additional funds e.g. from the contributions of associated countries and a comparative needs analysis across all parts of FP7. Regarding the budget of individual projects there were different opinions in the EAG. Some EAG members pleaded for raising the conditions for project budget allocations even beyond € 1,2 mio. Other members reported that many proposers had difficulties to justify requests for € 1,2

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mio especially when improvement of research infrastructure and equipment has been funded from other sources already. A compromise might be agreeing on a more flexible approach by refraining from defining a minimum limit for the budget. This will remain an issue for careful monitoring in the course of the further implementation of the scheme. The main focus of the scheme should be on upgrading the RTD capacity in the convergence regions and the quality of research carried out by them. This should enable them to getting better integrated into the European Research Area and to successfully participating in the 7th EU RTD Framework Programme. The EAG agreed that according to the request emphasised by the Council in preparing for FP7 all proposers will have to provide a comprehensive and rational action plan based on a self-evaluation of strengths and weaknesses. According to the general objectives of FP7 the “Research Potential” scheme will follow an approach focussing on excellence. Finally, the EAG emphasised the importance of an appropriately organised evaluation and selection process. Special care will have to be taken in selecting and briefing the experts for the evaluation of proposals. It has to be made particularly clear that the “Research Potential” scheme is not designed to fund research activities per se, but to support activities strengthening the research capacities especially with regard to integration in the European Research Area and participation in European research activities. Other aspects discussed were the monitoring of individual projects and assessing the impact of the set of measures implemented. One clear indicator of impact will be the increased participation in FP7 calls about two years after the start of the actions. 3. Preparing for the Work Programme 2008 3.1 Boundary conditions The EAG was informed that for the Work Programme 2008 there are no NCP (National Contact Points) activities foreseen and there will be no measures for the Western Balkan Countries. The NCP project to be funded from the first call is designed to support the information and assistance activities for the “Research Potential” scheme in FP7. The Western Balkan Countries (WBC) activity line under the first call was a special measure supporting the potential candidate countries as defined

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by the Thessaloniki Council in 2003 taking account of the particular importance of that region and those countries both from a general geopolitical point of view and in particular in the frame of the European Union’s enlargement process. The Commission informed the EAG that the WBC activity has been a unique under the first call and will not be continued. However, the EAG requested a discussion on the activities for WBCs and more general on perspectives for possible future initiatives targeting third countries in general and in particular the Western Balkan Countries and the Neighbourhood Countries in particular. Following the explanations of the Commission the WBC call has been an exceptional activity under the first call. Due to the high interest in the scheme there is a need to concentrate on the core activities as forseen iby the FP7 decisions. These are

o Unlocking and developing the research potential, and o Providing evaluation facilities for research organizations

in EU’s convergence regions and outermost regions. The high rate of oversubscription is a strong argument for focussing the activities in order to keeping the frustration level of interested parties and participants in proposals as low as possible. As regards the WBCs it was emphasised that Croatia, the FYR of Macedonia and Serbia will become associated countries and thus will be eligible anyway. Therefore, for the Work Programme 2008 no activities for WBCs or any other third country will be foreseen. The further development of the scheme will be carefully monitored and the discussion on the WBCs and other third countries will be renewed after 2008 taking full account also of the legal conditions and provisions and as well as realistic budgetary possibilities for such activities. 3.2 The EAG’s input to the Work Programme 2008 The EAG welcomed the open, constructive and fruitful discussions with the Commission on the preparation and follow up of the implementation of the Work Programme 2007. The preparations for the Work Programme 2008 were a smooth continuation of this approach. The EAG gave its continued full support to the objectives of the “Research Potential” scheme. It was emphasised that in the Work Programme the specific capacity building objectives of the scheme has to be explained more clearly so that the clear distinction can be understood between the “Research Potential” programme line and other parts of FP7. Proposers have to understand that this initiative is not funding research activities per

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se but has been designed for strengthening the capacities for research (including also research planning and management) especially for participating in the 7th Framework Programme. As the outcome of the EAG meeting from 20 April 2007 the members agreed on the following points:

o Fine-tuning of the Work Programme: The EAG agreed on the necessity of fine tuning of the text of the Work Programme 2008 to optimize the goal; input from applications of the first call would be appreciated. It was agreed that there should be no major changes, continuity should prevail.

o Budget: The total budget of the initiative should be increased taking into account the high number of applications; if possible the individual budget available for proposals should also be increased, however, the results of and conclusions from the frst evaluation should be considered.

o Evaluation criteria and evaluation system: Although premature, the EAG wishes to keep this point for discussion. The Guide for Applicants should be refined and details on evaluation criteria and their interpretation should be included- The way on how the initiative should also be reflected.

o International cooperation: The Commission should try to consider implementing this request and finding funding for such support.

The comments of the EAG regarding fine-tuning concentrated mainly on aspects that can be structured in the following groups:

o Some clarification of terminology and texts (e.g. convergence and outermost regions, research organisation);

o Definitions (e.g. excellence, centres of excellence; researcher); o Eligibility of third countries;

In the text of the Work programme (and the Call) the definition of convergence and outermost regions will be included. The list of these regions will be given in an Annex to the Guide for Applicants. Research organisations comprise universities, non-university research organisations and other organisations capable of performing research. Also research entities that are part of such organisations are eligible. Researchers comprise also research managers and technicians.

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It was decided to give no detailed definition to the term “excellence” and rather build on common sense interpretation always taking into account the relative circumstances in the different target regions. Thus the scheme addresses organisations that are excellent and outstanding with regard to their specific environment or clearly show aspects of emerging excellence. The discussion on the budgetary conditions for activities under the “Unlocking and developing the research potential” were continued following the lines of the discussions for the first call. The results from a more detailed analysis of the first call as well as feedback from NCPs and applicants will be most important for designing the future budgetary conditions of individual projects in the most appropriate way for achieving the objectives of the scheme. The “Research Potential” scheme is not supporting research per se but is addressing capacity building and the development of collaborative links and learning relations to experienced teams in more developed regions of the European Union. Therefore, the appropriate briefing of the expert evaluators will be of utmost importance. It has to be ensured that the evaluators develop a clear understanding of the special nature of the scheme and of the “Coordination and Support Actions” funded. The evaluation criteria will be the same as foreseen for the whole 7th EU RTD Framework Programme. Therefore, an excellent briefing will be even more important to ensure that they are applied in a way most appropriate for the present specific action. The real impact of the actions and the most important criteria for success will be when two years after project start selected centres will better participate in the Framework Programme. Researchers from third countries can be included in the mobility activities of the “Research Potential” scheme but research organisations in third countries as such are not eligible. The EAG agreed that the gender dimension will be an important aspect of the contract negotiations and will be considered in the Technical Annex of the contract accordingly. Finally, the importance of high quality information, assistance and coaching of proposers by National Contact Points will continue to be important for the successful implementation of the scheme. 4. The relevance of the “Research Potential” scheme for the

development of the European Research Area The “Research Potential” scheme will be able to make substantial contributions to the current initiative for further strengthening the European

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Research Area5. Europe will be able to compete in the world characterised by accelerating globalisation when the full potential of its research organisations will be mobilised and utilised and all regions will make their adequate contributions to the development of the knowledge society. Unlocking existing and emerging excellent research potential at regional level in the European Union’s less developed and outermost regions will enable researchers and research organisations to become better integrated in European research activities. The “Research Potential” scheme will help establishing new collaborative links with more experienced organisations. This will provide excellent opportunities for learning, for improving the visibility and also for developing joint research activities. Excellent research organisations are forming the backbone of the European Research Area. The new ERA initiative aims at strengthening research institutions. Thus, the “Research Potential” scheme forms a very good complementary element of that effort and will contribute to tighten the research base of Europe. The capacity building nature of the scheme based on a well designed set of measures in the frame of action plan derived from the results of self-assessments ensures that rational approaches are taken tailor made for specific requirements of the participating institutions. The FP7 mid-term review will show first results already, and will provide an opportunity for further fine-tuning of the “Research Potential” scheme.

CONCLUSION The EAG hopes that the contributions made in the course of meetings and by written inputs will contribute to the further improvement and strengthening of the “Research Potential” initiative for the benefits of the proposers and their research entities as well as for the further development of the European research activities and the European Research Area. During their activities for the preparation and support of the Work Programme 2008 the members of the EAG have further endorsed the “Research Potential” scheme. Supporting the integration of research

5 GREEN PAPER: The European Research Area: New Perspectives. European Commission. COM(2007) 161 final, Brussels, 4.4.2007

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entities from the convergence and outermost regions in the Union is a most relevant initiative complementing other efforts for strengthening the European research fabric in the best possible way. Especially developing better synergies between the Framework Programme and the Structural Funds will remain high on the agenda and will require continued attention.

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ANNEX 1 Members of the External Advisory Group

“Research Potential”

BALES, Vladimir Slovak University of Technology in Bratislava (STU), Slovakia

BANCEVISIUS, Ramutis Kaunas University of Technology, Lithuania

BRESKVAR, Katja University of Ljubljana, Slovenia DE SOUSA, Maria Molecular Immunology La, IBMC,

Porto, Portugal DONZELLI, Maria University of Naples, Italy FOTAKIS, Costas Foundation for Research and

Technology Hellas, Greece GAVRILLA, Horia Ministry of Education and Research,

Romania HINSENKAMP, Maria Hinsenkamp & Co International

Communication Services DP, Hungary

HORVAT, Manfred (Rapporteur)

Vienna University of Technology, Austria

KLUSACEK, Karel Technology Centre, Academy of Sciences, Czech Republic

PERKOWSKI, Thomas (Vice-Chairperson)

Foundation for Polish Science, Poland

SAVUNEN, Liisa Finnish Council of University Rectors, Finland

TORNÉ I ESCASANY, Montserrat (Chairperson)

ICREA (Catalan Foundation for Research and Advanced Studies), Spain

WIENEKE-TOUTAOUI, Burghilde University of Applied Sciences Berlin, Germany

WILLIAMS, Clive Trinity College Dublin, Ireland

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European Commission Regional Aspects in the 7th Framework Programme Expert Advisory Group on "Research Potential" – 2008 - Belgium: EC 2007 — 20 pp. — 21.0 x 29.7 cm

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The objective of the “Research Potential” initiative is to enhance the full integration of research entities from convergence regions and outermost regions of the Enlarged Europe into the EU research and technology activities. During the activities for the preparation and support of the Work Programme 2008 the members of the EAG have further endorsed the “Research Potential” scheme. Supporting the integration of research entities from the convergence and outermost regions in the Union is a most relevant initiative complementing other efforts for strengthening the European research fabric in the best possible way. Especially developing better synergies between the Framework Programme and the Structural Funds will remain high on the agenda and will require continued attention.