Basque Participation in European R+D+i - 2011 Strategic book

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

This Revision of the Strategic Book has been encouraged by the Technology Directorate of the Basque Government and prepared by Innobasque in collaboration with the Basque Agents participating in European R&D&i projects.

Published by: Innobasque. Basque Innovation Agency.

Parque Tecnológico de Bizkaia. Laida bidea 203. 48170 Zamudio.

This work is licensed under the Creative Commons Attribution-NonCommercial-NoDerivs 3.0 Spain License.

To view a copy of this license, visit http://creativecommons.org/licenses/by-nc-nd/3.0/es/deed.en Design: ONOFF.es Printed by: Grafilur

1 2 3 4 5 6 7 8 9 BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

EVOLUTION OF THE BASQUE PARTICIPATION IN EUROPEAN R&D&I FRAMEWORK PROGRAMMES (FP1 TO FP6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10

EVOLUTION OF THE FRAMEWORK PROGRAMME: FP7 AND CIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20

BASQUE PARTICIPATION IN THE EU SEVENTH FRAMEWORK PROGRAMME FOR R&D&i (FIRST PERIOD: 2007-2010) . . . . . . . . . . . . . .

40

REVISION OF THE OBJECTIVES OF BASQUE PARTICIPATION IN THE EU SEVENTH FRAMEWORK PROGRAMME FOR R&D&i (SECOND PERIOD: 2011-2013) . . . . . . . . . . . . . . . . . . . . .

70

ERA-NET TRANS-NATIONAL COOPERATION PROJECTS . . . . . . . . . 100

INTRODUCTION TO THE EU FRAMEWORK PROGRAMME FOR THE FUNDING OF RESEARCH AND INNOVATION “HORIZON 2020” DURING THE 2014-2020 PERIOD . . . . . . 108

CONCLUSIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122

ANNEXES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

It seems like it was yesterday when we finished the Sixth EU Framework Programme in 2006 and we were trying to foresee, with the collaboration of most of the Basque agents involved in R&D&i activities, how the new and promising FP7 would develop, which was assigned over 50,000 millions euros and had a duration of seven years (2007-2013) instead of the usual four.

José Manuel Salinero Feijoo General Secretariat of the Presidency

With the firm conviction that you cannot improve what cannot be measured, we set a series of objectives and gathered them in the “Strategic Book of Basque R&D&i in Europe”. As a reminder, we can highlight the important increase in the figure of returns to be obtained from the European Union which, compared to the 131 million euros obtained from the Sixth EU Framework Programme, reached a total of 390 million euros for the entire FP7, distributed in 180 million euros for the 2007-2010 period and 210 million for the 2011-2013 period.

Today, from a different point of view after four years since setting these ambitious objectives and in spite of the serious economic crisis, we can be proud of how the participation of agents related to the R&D&i has improved in European projects, as they have not only met the objectives set, they have exceeded them. Therefore, we can affirm that a European funding of 195.77 million euros has been obtained between 2007 and 2010 instead of the 180 million euros that had been set in the Strategic Book.

It is also worth mentioning that this success has been achieved in an environment of economic crisis, where there has been great competition by the Member States in the participation of R&D&i activities, and in a context marked by the novelty involved in the creation of new funding tools by the European Union.

If in 2006 we stated that it was a great satisfaction for the Government to verify that our country was leading towards higher ground in European Research, Development and Innovation with success, today, following these first four years of the Seventh European Framework Programme, we can confirm that our society is making a considerable effort to occupy a leading position in the framework of ERA (European Research Area) and to ensure the sustainability of a society based on knowledge when faced with the globalisation of the economy.

However, although we are aware of the difficulty involved in estimating long-term objectives for the FP7, when we were preparing the “Strategic Book of Basque R&D&i in Europe” in 2006, we realised the importance of performing this Revision and updating the Strategic Book for the 2nd period of the FP7 (2011-2013 period), which has been assigned significant accumulated funding, with the aim of planning the actions to perform and establishing new objectives and challenges for this final stage of the FP7.

The new objectives that have been defined in the Strategic Book are integrated into the ambitious commitment entered in the 2015 Science, Technology and Innovation Plan, consisting in mobilising an expense in R&D equal to 3% of our GDP in that year. The task of attracting resources from European Union programmes is designed in this plan as an additional funding tool for the R&D&i performed by our companies and science and technology agents, thus contributing to the significant increase of public funds and reaching in 2015 a participation of 38% over the total expense of R&D in the Basque Country.

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

1

INTRODUCTION

1.1.

Preamble

1.2.

Structure of the Book

1.3.

Target Audience and Objectives of the Book

............................................................................................................. ................................................................................ ............................

8 8 9

1.1.

• An explanatory glossary of the most frequent terms used in European R&D&i (Annex 4).

Preamble

With all this information, the final objective pursued is that the current Revision of the Strategic Book of Basque R&D&i in Europe becomes an updated Guide that will serve as a measurement of Basque progress in the FP7 and so each player may apply a methodology to set its own objectives by programme and themes, and on the other hand that will serve as a supporting tool for whoever lacks extensive experience in themes related to Basque R&D&i. As a result, everybody’s contribution to the collective work of the Basque Country in the FP7 is expected to translate into better results for each agent and ultimately into the consolidation of an economic-industrial culture based on knowledge in the Basque Country.

Following the first period of the two comprising the Seventh Framework Programme (FP7), the Technology Directorate of the Department of Industry, Innovation, Trade and Tourism of the Basque Government has decided to revise the objectives that were set in 2006 regarding Basque participation in European R&D&i activities. This revision is based on the influence and effects of a series of parameters such as: • The end of the 2007-2010 period, which provides real experience of the FP7 as opposed to the objectives set in the 2006 Strategic Book based on predictions.

• The initiation of new instruments such as the Joint Technology Initiatives (JTIs) or the Public-Private Partnerships (PPPs).

• The economic crisis which set off in 2007 and its consequences.

• The consolidation of research groups in the Basque Country.

As a result, this revision of the Strategic Book gives a more realistic view of the prospects that Basque entities have in accessing European R&D&i funds.

The procedure followed to update the objectives set for the 20112013 period has been the same procedure that was used in the 2006 edition: by directly consulting the agents (Universities, Technology Centres, R&D Units, Enterprises, etc.) which already intervened in the Sixth Framework Programme and those that participated in the first calls of the FP7.

Therefore, the Strategic Book is the result of a work process that combines the solid experience of several players with the input of many others, without leaving out a criterion of general logic of the country.

In addition, this revision of the Strategic Book presents —in Chapter 4— the results achieved in the 2007-2010 period, which enables the actors of R&D&i to reflect on each and all of the areas with the aim of detecting interesting areas that may have been overseen previously.

This Strategic Book also includes several annexes in which information of great value can be found on the entities that are embarking or are considering embarking on the adventure of European R&D. This information includes: • Successful cases of participation in the FP7 (Annex 1).

• List of projects funded during the 2007-2010 period of the FP7 (Annex 2).

• Support services for enterprises in European R&D&i Programmes (Annex 3).

8

1.2.

Structure of the Book This document, in addition to revising the objectives set in 2006 regarding Basque R&D&i in Europe, intends to summarise all the information required to understand the past, present and, above all, the future of the Basque Country on its path towards the European R&D&i programmes.

To this end, the book has been organised in chapters and annexes covering the following themes: • A summary of Basque participation throughout the European R&D&i Framework Programmes (FP1 to FP6), its trajectory and general results are presented in Chapter 2. This chapter reflects the increasing strength of the Autonomous Community of the Basque Country, which provides credibility to future ambitious proposals.

• Chapter 3 presents relevant information on the FP7 and its evolution throughout the 2007-2010 period, including updated information on the new instruments (JTIs, PPPs), the CIP, etc.

• Chapter 4 presents the result of what has been obtained in the 2007-2010 period of the FP7. This information is available thanks to the collaboration of all the agents participating in the European R&D&i through the Observatory, managed by Innobasque with the aim of supervising the European action. As a result, exact and detailed information is provided on the Themes, Agents, instruments and Europeanization policy.

• While previous chapters provide information of interest, Chapter 5 presents the results of the revision carried out on the estimates for the 2011-2013 period. In addition to presenting the methodology used to forecast the 2011-2013 period, this chapter presents the new objectives that have to be achieved by the Basque participation in European R&D&i.

• Chapter 6 includes extensive information on what the ERA-NET Programme represents: it provides coverage to cross-border CooperaBASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

•

• •

•

•

•

1.3.

tion projects. Its special method of operation provides an opportunity for enterprises that do not have the size for projects included in the Framework Programme or have not initiated R&D&i activities in cross-border cooperation.

The FP7 has been the first Framework Programme to cover a 7-year period and it is close to an end; therefore, the next Framework Programme is an incipient reality. As a result, Chapter 7 includes preliminary information on how the new Framework Programme is being approached, which will also cover 7 years —from 2014 to 2020.

Chapter 8 presents a series of conclusions with the aim of providing a global vision of the Basque R&D&i’s path towards Europe.

To complete the vision of the Basque presence in Europe from a less general viewpoint, Annex I includes several specific cases of successful practice of Basque enterprises in R&D&i activities on a European level.

Annex II presents a general vision of Basque participation in the 2007-2010 period of the FP7 by providing a list of all the projects funded up to this date.

For this Book to become a useful tool —not only for those who already know the details of the European Union’s Framework Programmes but also for those enterprises wishing to initiate their path in these Programmes—, Annex III includes information of great value on the different support services offered to enterprises with the aim of facilitating their participation in the different European R&D&i Programmes.

Lastly, an explanatory glossary of the most frequent terms used in European R&D&i is presented in Annex 4.

•

•

•

•

Framework Programmes is to identify the strengths and weaknesses of the Basque R&D&i system.

Being aware of these strengths and weaknesses and the analysis of the experience and knowledge acquired during the 2007-2010 period will allow establishing new challenges for the second period of the Seventh Framework Programme (2011-2013).

In addition, this Revision of the Strategic Book permits the planning of actions that will allow facing the last three years of the Seventh Framework Programme in the best of conditions.

On the other hand, this information will allow conducting an analysis of the Basque technological competitiveness in certain areas, and specifically of the technology agents. Therefore, this Book may be considered as a guide to support the presentation of proposals to the FP7 and CIP and aimed at potential participants in future calls.

Lastly, this Revision of the Strategic Book of Basque R&D&i in Europe can be used as a tool to present the Basque Country as a technology-smart territory due to the fact that the results almost treble the position it should have in Europe according to its GDP. Therefore, this Book may be used to accompany proposals for industrial investment in the Basque Country, for the establishment of external innovation centres, or simply for selling the Country to the service of added value projects. Its users would be investors, investment recruiters, funds, industrial corporations, etc.

Target Audience and Objectives of the Book This Revision of the Strategic Book of Basque R&D&i in Europe has been prepared as an update of the Book carried out in 2006 with the aim of revising the Basque participation in European R&D&i following the 2007-2010 period, in which the operating structures of the new FP7 instruments have already been presented. As a result, this document is a tool that provides information on the reality of Basque R&D&i activity on a European level, as well as a measuring and contrasting tool which may be used as a reference for the Basque industrial structure when deciding on the direction to follow in the access to community funding destined to their R&D&i.

Therefore, if the recipients and objectives in the 2006 edition are still relevant, the following objectives can be established for the second period (2011-1013) of the Seventh Framework Programme: • The first objective of this global revision of historical results obtained by Basque Agents in their participation in the different EU

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

2

EVOLUTION OF THE BASQUE PARTICIPATION IN EUROPEAN R&D&i FRAMEWORK PROGRAMMES (FP1 TO FP6)

2.1.

Introduction

2.2.

Evolution of the European R&D&i Framework Programmes ....................................................................................................

The First Framework Programme (FP1) ..............................................

The Second Framework Programme (FP2) ........................................

The Third Framework Programme (FP3) .............................................

The Fourth Framework Programme (FP4) .........................................

The Fifth Framework Programme (FP5) ..............................................

The Sixth Framework Programme (FP6) .............................................

The Seventh Framework Programme (FP7) ......................................

15

Summary of the Basque Participation in the Framework Programmes ......................................................................................................

16

2.2.1.

2.2.2.

2.2.3.

2.2.4.

2.2.5.

2.2.6.

2.2.7.

2.3.

2.4.

2.4.1.

2.4.2.

....................................................................................................... 12

Remarkable elements of the Europeanization of Basque R&D&i ..................................................................................................

Evolution of the returns ................................................................................

Positioning of the Agents with respect to the Framework Programmes ........................................................................................................

12 12 12 13 13 14 14

18 18 18

2.1.

Furthermore, the instruments under the Treaty and all other appropriate means, including voluntary agreements, had to be fully exploited to achieve this objective in a flexible, decentralised and nonbureaucratic manner. At the same time, innovation and ideas had to be adequately rewarded within the new knowledge-based economy.

Introduction Since the beginning of the European Union’s construction, which dates back to the signing of the Treaty of Rome of March 25, 1957 and the European Atomic Energy Community Treaty (Euratom) by seven European countries, the need to coordinate vigorous research activity on a European level was identified.

Since then, the determined action in favour of Science on a European level has been reinforced and established as a main area of action.

2.2.

The Framework Programmes for Research, Technological Development and Demonstration were designed and initiated in 1984 to coordinate and fund R&D activities in the framework of the European Union. Their budgets have significantly increased over the years from 3,750 million euros in the First Framework Programme (FP: 19841987) to the 50,521 million euros of the Seventh Framework Programme (FP7: 2007-2013), as shown in graph (G.2.1) Budgetary evolution of the Framework Programmes.

The Single European Act, signed in 1986, defined Science amongst the community responsibilities, seeking the establishment of a European political cooperation in research, technology and the environment, as well as in security and defence.

Later on, in 1995, the Green Paper on Innovation was published with the aim of identifying the different elements —positive and negative— that European innovation depends on and drawing up proposals for action that allow increasing the European Union’s (EU) capacity for innovation. Therefore, Innovation was considered synonymous of successfully producing, assimilating and exploiting an innovation in economical and social spheres, in such a way that it provides unprecedented solutions to problems and thus answering people’s and society’s needs.

The First Action Plan for Innovation in Europe (1996) studied some of the channels opened by the Green Paper with the aim of establishing a common reference framework that would contribute to defining the priority options, as well as the opportunities for cooperation between the Member States. The First Action Plan for Innovation suggested three scopes of action:

This Graph shows how the budget increase results in a growing importance displayed by the Community policy towards R&D&i, as well as how the Framework Programmes, which used to cover 4-year periods, for the first time start to cover a 7-year period from the FP7.

The different Framework Programmes have been noted for a series of characteristics which are revised below.

2.2.1.

• Establish a favourable framework.

The incorporation of Spain in 1986 to the European Community had a decisive influence on the Basque participation in the FP1, a participation which, since then, is identified with the technological profile of the Basque Country and a significant concentration in Programmes covering technologies related to Information (ESPIRIT) and Materials (BRITE).

• Organise better research and innovation.

One of the key tools to obtain this ambitious goal was the decision to create a European Research Area (ERA) within the European Knowledge Area, in which research activities on a national and European Union level must be as integrated and coordinated as possible.

12

The First Framework Programme (FP1) The FP1 was carried out between 1984 and 1987 and had a budget of 3,750 million euros. It covered the following technological areas: Energy, Industry, Agriculture, Environment and Raw Materials, although greater emphasis was given to Energy (EURATOM) and Information Technologies (ESPIRIT).

• Promote a culture of innovation.

The Lisbon European Council, celebrated on 23 and 24 March 2000, set one of the European Union’s objectives to become “the most competitive and dynamic, knowledge-based economy in the world capable of sustainable economic growth with more and better jobs and greater social cohesion”. The role played by research and development in the generation of economic growth, employment and social cohesion was considered very important.

Evolution of the European R&D&i Framework Programmes

2.2.2.

The Second Framework Programme (FP2) A budget of 5,396 million euros was allocated to the FP2 (1987– 1990). Its objective was to promote Industrial Technology, Information Technologies, Telecommunications and Biotechnology.

The possibility of participating —for the first time— during the entire FP2 meant that the total number of Basque participations considerably increased with respect to those in the FP1 and, once again, BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.2.1

there was a strong concentration on BRITE and ESPRIT Programmes.

The greater involvement of Technology Centres had a clear influence in this increase, whereas the activity of Universities and Enterprises was below their possibilities.

Budgetary evolution of the Framework Programmes

60,000

50,521

50,000

2.2.3.

The Third Framework Programme (FP3)

40,000

The FP3 was carried out between 1990 and 1994 and was allocated a budget of 6,600 million euros. The number of specific programmes was rationalised in this Framework Programme, from 37 to 15. It was characterised by increasing the budgets in the areas of Environment, Quality of Life, Biotechnology, Researcher Mobility and SMEs Mobility, for the maintenance of budgets in the areas of Information and Communication Technologies, Industrial and Materials Technologies, and for a cut in the Energy budget.

30,000 20,000

12,300 10,000

3,750

5,396

14,960

17,833

6,600

0

As in previous Framework Programmes, the Basque participation concentrated —73 out of the 92 projects approved— on Information Technologies Programmes (ESPRIT) and Industrial and Materials Technologies (BRITE/EURAM), which followed the line of the Basque industrial structure present at that moment.

The participation of Technology Centres and Enterprises experienced a significant growth with respect to the FP2, 32% and 59% respectively.

2.2.4.

The Fourth Framework Programme (FP4) The FP4, which took place between 1994 and 1998, was allocated a budget of 12,300 million euros —basically double the budget of the FP3— and was characterised by providing greater support to Life Sciences (Biotechnology, Agriculture) and by an increase in the funds destined to Information and Communication Technologies and to Environment.

Once again, Basque participation mainly concentrated on the two industrial programmes: the BRITE/EURAM Programme, which focuses on production and materials technologies, and the ESPRIT programme, which concentrates on Information Technologies. Both programmes practically totalled 50% of the projects with Basque participation and 80% of the total funding —return— obtained in the FP4.

Enterprise participation reached 61% of the projects approved with a return of 48% of the total obtained, whereas the participation of Technology Centres added up to 27% of the total projects approved with a return of 44% of the total awarded. The Universities registered a low participation with 2% of the projects approved and 1% in economic returns.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

13

These figures reflect how the Technology Centres begin to show a high R&D&i capacity, as they obtain the same return as enterprises with only half the amount of participations.

2.2.5.

The Fifth Framework Programme (FP5) The FP5 covered the 1998-2002 period and was allocated a budget of 14,960 million euros. Its main difference with respect to previous Framework Programmes is that the FP5 was conceived to contribute to solving issues —“Key Actions”— and to tackle the most important socio-economic challenges of the European Union: improve the international competitiveness of community industry, sustainable development, employment creation, the quality of life or the globalisation of knowledge.

With respect to the FP4, the FP5 introduced the following new aspects:

• Integration of the ERA, where economic resources were allocated (78% of the budget) to the eight most important thematic priorities to build the Europe of Knowledge: · Life Sciences, Genomics and Biotechnology for Health. · Information Society Technologies. · Nanotechnologies and Nanosciences, Knowledge-based Multifunctional Materials, New Production Processes and Devices. · Aeronautics and Space. · Food Safety and Health Risks.

• Synergic effects are sought for amongst the all the proposals presented. The cluster of projects is favoured.

· Citizens and Governance in the European Knowledge-based Society.

• A competitive and sustainable industrial growth is supported, even by favouring the mobility of scientists towards enterprises. The least favoured regions are given special consideration.

· Anticipating Needs.

• The structure of the Programme is adjusted to the objective of tackling and solving specific problems, and therefore it favours the concentration on attainable objectives, the integration of competitors and flexibility in management.

It is worth mentioning that 80% of the budget for the FP5 was devoted to the following Themes: Quality of Life and Management of Living Resources, Information Society Technologies, Competitive and Sustainable Growth, Environment and Sustainable Development, and Energy.

Lastly, enterprise participation reached 51% of the total projects, obtaining a return of 44%, while the Technology Centres participating in 38% of the Projects obtained a 48% return. The participation of Universities added up to 4% and 3% in economic returns.

The Sixth Framework Programme (FP6) The FP6 covered the 2002-2006 period and had a budget of 17,833 million euros.

The main objective of the FP6 concentrated on the construction of the ERA, European Research Area, which was a concept that had

14

To initiate ERA, three Axis of work were defined:

• A focus on searching for solutions to the challenges faced by Europe.

• Research on the socio-economic impact, covering the whole spectrum of the Programme, as well as having its own key action.

2.2.6.

been defined in 2000 by the then Commissioner for Research Philippe Busquin as a “new global market that connects people (researchers), groups, centres, universities and enterprises and constructs a real area for exchange, with rules of excellence, exigency and global competitiveness, and which ends the historical fragmentation suffered by this group in Europe”.

· Sustainable Development and Global Change.

• Structuring of the ERA, with the main aim of facilitating the mobility of researchers by means of actions related to sending, returning, post-doctoral grants, etc. Another three areas were also covered: · Science and Society: The development of structural links between institutions and activities interested in the dialogue between the scientific community and society in general. · Infrastructures: The promotion of the development of a structure of large research infrastructures in Europe, including the e-infrastructures. · Research & Innovation: Actions aimed at improving the operation of European innovation by encouraging a better integration between research and innovation.

• Strengthening of the ERA. When taking into consideration that the funds allocated to the FP6 only covered 5% of the Research developed in the European Union, a long-term approach in the building of the ERA had to include a wider perspective. To this end, the FP6 started-up cooperation initiatives with R&D&i funds from Nations and Regions such as the Article 169 of the Treaty on the Functioning of the European Union, the CREST initiative and, especially, the ERA-NET Programme.

As a result, the ERA-NET Programme became a coordination initiative between National and International Research Programmes with the aim of establishing specific and joint calls between NaBASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

tional and Regional R&D&i Programmes with the support of community funds destined to enterprises and especially at SMEs. In addition to these Axis of work, three new instruments were defined to carry out the FP6: · Networks of Excellence (NoE). · Integrated Projects (IP). · Article 169.

Which were added to the already existing instruments taken from the FP5: · The Specific Targeted Research Projects (STREP). · The Coordination Action and the Specific Support Action (CA and SSA). · The Projects for SMEs (CRAFT and COLLECTIVES).

When analysing the results of the FP6 by Themes, the following classification can be provided based on the success rate of the returns obtained by Basque participation: 1. Nanotechnology and Nanosciences, Knowledge-based Multifunctional Materials and New Production Processes and Devices (NMP) added up to 27% of the total returns.

2. Information Society Technologies (IST) reached 18%.

3. CRAFT and COLLECTIVES obtained 13% of the returns.

4. Aeronautics and Space achieved an 11% of return.

5. Energy reached 10% of the returns.

6. Health obtained 3% of the total return.

When performing an analysis based on the Projects approved by the different Instruments, the most remarkable results would be: VERDI project: “Virtual Engineering for Robust manufacturing with Design Integration”.

ITP is participating.

1. Specific Targeted Research Projects (STREP) obtaining 30% of the total projects approved (191).

2. Integrated Projects (IP) achieving 26% of the total projects approved (162).

3. Networks of Excellence (NoE) with 5% of the total projects approved (32).

Lastly, Enterprises participated in 35% of the total projects and obtained 33% of the returns in the FP6, while Technology Centres participated in 48% of the projects and obtained a 54% return. Universities participated in 12% of the total projects obtaining 8% in economic returns.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

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2.2.7.

The Seventh Framework Programme (FP7) The FP7 is the first Framework Programme to cover a seven-year period (2007-2013) and has a budget of 50,521 million euros. This Framework Programme is split in two periods: • The first period covers the 2007-2010 period, whose results are detailed in Chapter 4 and whose budget is an extension of the FP6.

• The second period covers the 2011-2013 period, has a significant budget increase and the new objectives set for economic returns are presented in Chapter 5.

However, a complete description of the FP7 as well as its new Instruments is presented in Chapter 3.

G.2.2

Evolution of Basque participation in the different Framework Programmes (M€)

700

632 578

600 500 400

360

300 200

101

68

100

15 0

2.3.

Summary of the Basque Participation in the Framework Programmes

Evolution of the participation of Basque Agents, in percentages

G.2.3

Basque participation in the different Framework Programmes has been characterised by a continued upward trend as displayed in graph (G.2.2), which shows the evolution of Basque participation in the different Framework Programmes.

80 70

68

67

61.6

60

Graph (G.2.3) shows the evolution of participation, in percentages, of the different agents taking part in the Basque R&D&i system. The data corresponding to the FP1, FP2 and FP3 regarding Universities has been integrated into the data regarding Technology Centres.

From the FP4 onwards, their individual evolution is shown, which displays a continued increase in participation.

54

50

52

40

38

33

26.8

20

While graph (G.2.3) presents the weighted distribution of the different agents with respect to the total of participations, graph (G.2.4) shows the evolution of the number of participations of the different agents (this graph also integrates the figures for Universities and Technology Centres between the FP1 and FP3).

It is worth mentioning that the total number of participations has increased gradually in the Framework Programmes in spite of the FP5 being a turning point in the continued growing number of projects attained, as detailed in graph (G.2.5). In other words, despite a 22% drop in total projects approved from the FP4 to the FP5, the number of participations in the same period grew 65%, from which can be inferred that the cooperation between Basque Agents in the FP5 was greater than in the FP4.

9.7

7

4

1.9

12 5

0 TCs

University

Enterprises

Others

Evolution of the number of participations of Basque Agents

G.2.4

350

300

300 250

220

303

221

218

200 150

97

100

37

50

10 0

76

69 31

36

32 7

5

TCs

16

35

32

30

10

Graph (G.2.4) shows, in absolute values, how the participation of Technology Centres and Universities has grown since the FP1 and the FP4 respectively; Enterprise participation, following growing participation figures, has experienced a downward trend since the FP5.

48

46

University

21

39

Enterprises

32

Others

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.2.5

With regard to funding (or returns obtained), there is an upward trend throughout the successive Framework Programmes, see graph (G.2.6).

Evolution of the number of projects approved

500

462

Graph (G.2.7) presents the weighted distribution of the returns obtained by the Basque Agents of the R&D&i System, which shows a progressive increase in the weight of Universities and Technology Centres and a progressive drop in the weight of Enterprises.

450 400 350

288

300 250

224

Graph (G.2.8) presents this fact in a much clearer way by showing the returns obtained by the Agents of the Basque R&D&i System, where we can see a strong increase in the Technology Centres, a progressive growth corresponding to the Universities and a slight increase of returns obtained by the Enterprises.

200 150

92

100 50 0

G.2.6

The information presented in graph (G.2.9) shows an upward trend from the FP3 in the return obtained by the Basque Country with respect to the total received by Spain in its entirety, but a drop in the FP6 —possibly due to the strong increase in returns obtained by Catalonia.

Evolution of the returns

140

Despite the drop in the FP6 of the Basque Country’s share when compared to the total returns obtained by the State, it is worth mentioning that with a 12.5% share it still remains the third Autonomous Community in the ranking of returns —after Madrid (35.3%) and Catalonia (24.4%) but in front of the Autonomous Community of Valencia (8.8%), Andalusia (5.2%), etc.

131

120 100

92.9

80

63.1 60

When analysing the returns obtained by the Basque Country to the total Community funds, see graph (G.2.10), there is an evident continued growth —in spite of the slight drop experienced in the FP6, though a 68% global increase when comparing it to the FP3.

40

23.1 20 0

G.2.7

When taking into account the fact that each project has a single leader and that leading a project is an indicator of a prominent role of the entities that assume this function due to involving a greater effort in management, further responsibility and greater decisionmaking power during their execution, this indicator demonstrates the firm commitment of Basque Agents in their participation.

Evolution of the returns of Basque Agents, in percentages

60

With the aim of providing a clear vision of the role that the Basque Agents play in the projects they participate, graph (G.2.11) shows the number of projects led by Basque Agents together with the total number of projects including Basque participation. Graph (G.2.12) presents the percentage of projects led by Basque Agents against the percentage of projects not led by Basque Agents.

54 48

50

48

44

44

40

33 30 20 10

7 1

3

5

8

5

0 TCs

University

Enterprises

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

From the above-information, we can infer that the Basque participation in European R&D&i projects experiences, with one or two setbacks, a clear growing trend in the number of participations, number of projects and economic returns. This fact is even more remarkable, in both absolute and relative values, if the Basque returns are com-

Others

17

pared to the returns obtained by the rest of the Spanish Autonomous Communities.

G.2.8

The conclusion that can be drawn from this Chapter is the evidence of a strong commitment of the Basque Agents with regard to R&D&i activities, much stronger than the Spanish average. This fact is supported by the information provided by the Spanish National Statistics Institute (INE), which states that the Expense in R&D for 2009 is 2.06 percentage points above the GDP while the Spanish average is 1.38 and the European Union’s average (EU-27) is 2.01. The aim of the European Commission for the year 2020 is to reach an expense in R&D of 3 percentage points above the GDP.

Evolution of the returns of Basque Agents 80

70.7

70 60 50

44.6

43.2

40.9

40 30

30.3

27.8

20

10.5 10

0.6

4.4

2.8

6.6

4.6

0

2.4.

2.4.1.

Remarkable elements of the Europeanization of Basque R&D&i

TCs

University

Enterprises

Others

Evolution of the returns G.2.9

When facing the FP6 in the year 2000, the Basque Government suggested the need of increasing Basque participation in the Framework Programme, setting the figure of 120 M€ as an objective. This entailed a considerable increase when comparing it to the amounts reached in previous Framework Programmes —see graph (G.2.13).

The return obtained at the end of the FP6 was 131 M€, thus exceeding the set objectives.

Evolution of the share of returns of the Basque Agents with respect to the total return obtained by the State 16

14.5 12.5

12 10

8.9

8 6

Again, when facing the FP7, the Basque Country set a series of objectives, after consulting with agents of the Basque Scientific-Technological-Entrepreneurial System, aimed at reaching a return —see graph (G.2.13)— of 180 M€ for the 2007-2010 period and 210 M€ for the 2011-2013 period.

Once again, as explained extensively in Chapter 4, the objectives have been surpassed by exceeding the amount of 190 M€, which has resulted in a revision of the established objectives —as detailed in Chapter 5— after consulting with the agents of the Basque Scientific-Technological-Entrepreneurial System regarding their estimates.

14

14

4 2 0

G.2.10

Evolution of the share of returns of the Basque Agents with respect to the European Union

0.7

2.4.2.

0.62

Positioning of the Agents with respect to the Framework Programmes

0.6

The firm commitment of the European Commission regarding Research and Development activities, which is proven by the growing economic support that it is providing to the successive Framework Programmes for Research and Technological Development, makes them one of the most important tools when it comes to funding the Basque R&D&i activity.

0.4

0.59

0.51 0.5

0.35

0.3 0.2 0.1 0.0

18

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.2.11

Leadership of the Projects with Basque participation, in absolute values

500

462

This is an opportunity for the different agents of the Basque R&D&i System as it opens the possibility of becoming involved in a significant number of cross-border relationships that provide a series of benefits, such as:

450

399

400

• A relationship of cooperation with research centres and European universities that help in the evolution of our centres towards excellence, as well as accomplishing new cooperation opportunities between centres and enterprises by being able to jointly participate in larger-scale research projects, and even the possibility of generating a critical mass of research that enables the acceptance of more ambitious goals.

350

288

300

228

250

224

200

169

150 100

60

63

55

50 0

Projects led

G.2.12

Projects not led

Total projects

Leadership of Projects with Basque participation, in percentages

100

86

90

79

80

75

70 60 50 40 30 20

14

10 0 Projects led

G.2.13

• Enterprises finding in the Framework Programmes the opportunity of internationalising their R&D activities by participating, whether individually or in conjunction with other enterprises or Technology Centres, in larger projects to those they are used to accessing, and the possibility of entering a series of foreign relationships that may result in new business opportunities.

In addition, the participation in Framework Programmes for Research enables all the agents of the Basque Scientific-Technological-Entrepreneurial System to favourably access funding for some research activities that would possibly not be funded via National and/or Regional programmes.

25

21

• In the case of Basque Universities, they are provided with the opportunity of imitating the actions of others, such as Catalonia, Madrid or Valencia, and initiating new activities with other European agents by providing their know-how in specific thematic sectors, such as biotechnologies or the socio-economic scope, as well as being able to take advantage of the important opportunities offered by the Ideas and People Programmes.

Projects not led

Evolution of the returns obtained (FP3-FP7-1) and the objectives set for the FP6-FP7

250

195.77 180

200

150

120

210

131

92,9

100

63,1 50

23,1 0

Objectives

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

Return

19

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

3

EVOLUTION OF THE FRAMEWORK PROGRAMME: FP7 AND CIP

3.1.

3.1.1.

3.1.2.

3.1.2.1.

3.1.2.2.

3.1.2.3.

3.1.2.4.

3.1.3.

3.1.3.1.

3.1.3.2.

3.1.3.3.

3.1.4.

3.1.4.1.

3.1.4.2.

3.1.4.3.

3.1.5.

3.1.5.1.

3.2.

3.2.1.

3.2.2.

3.2.2.1.

3.2.2.2.

3.2.2.3.

3.2.3.

3.3.

3.3.1.

3.4.

The Seventh Framework Programme (FP7) ...............................

Evaluation of the 2007-2010 period of the FP7 by the EC ........

Main speciďŹ c programmes .........................................................................

The Cooperation Programme .....................................................................

The Capacities Programme .........................................................................

The Ideas Programme ...................................................................................

The People Programme ................................................................................

Initiatives led by the industry ...................................................................

European Technology Platforms (ETP) ..................................................

Joint Technology Initiatives (JTI) ...............................................................

Public-Private Partnerships (PPP) ............................................................

Initiatives led by countries/regions .......................................................

ERA-NET / ERA-NET Plus ...............................................................................

Art. 185 (ex Art. 169) ....................................................................................

EUREKA / EUROSTARS ....................................................................................

New instruments .............................................................................................

Joint Programming Initiatives (JPI) .........................................................

The Competitiveness and Innovation Framework Programme (CIP) ...........................................................................................

Context in which the CIP was created ..................................................

Characteristics of the CIP ..............................................................................

Entrepreneurship and Innovation Programme (EIP) .....................

ICT Policy Support Programme (Information and Communication Technologies) .................................................................

Intelligent Energy Europe Programme (IEE) .....................................

Public consultation on a possible programme to succeed the CIP ....................................................................................................................

European Institute of Innovation and Technology (EIT) .....

Knowledge and Innovation Communities (KIC) ..............................

European Innovation Partnership (EIP)

22 22 23 23 24 26 26 26 26 29 30 30 30 30 32 33 33

35 35 35 35 35 35 35 36 37

......................................... 37

3.1.

The Seventh Framework Programme (FP7) The context of the FP7 has changed drastically in the past years.

While the European Union tries to emerge from the severe economic crisis, it has to face several challenges. The main slogan of the Europe 2020 Strategy “intelligent, sustainable and integrating growth” is aimed at socio-economic development.

3.1.1.

• The result of the participations by type of organisation show that 30% are universities, 25% are industrial participations and 23% are research organisations The report shows that the FP7 is significantly contributing to the development of the ERA, highlighting amongst its strong points: • The wide reach that a real positive impact will have.

• The extensive excellence achieved.

Likewise, Europe will also have to face a long-term transformation such as the ageing population, the emergence of new competitors or the need to reduce carbon emissions. In these new areas, research plays a vital role in the generation of the necessary knowledge to facilitate the change, support innovation and allow society to adapt to the different challenges.

• The important contribution to the mobility and training of researchers (Marie Curie actions).

The Seventh Framework Programme, with a budget of 50,521 million euros, supports research, technological development and demonstration actions in the entire European Union. The actions are carried out within four specific programmes: Cooperation, Ideas, People and Capacities; support is also given to nuclear energy research (Euratom) and the Joint Research Centre (JRC).

• The positive multiplying effect of national research efforts and the innovative capacity of the industry.

Evaluation of the 2007-2010 period of the FP7 by the EC

• The improvement rate of women participation.

• The positive effects in Research Infrastructures.

• The efficiency of the Risk-Sharing Finance Facility (RSFF).

• The efficient processing of calls.

On the other hand, the report identifies that the following areas require improving: • The administrative load.

• The balance of Risk-Mutual Confidence.

• The industry’s participation trend, which displays a continued drop.

The European Commission, in collaboration with a group of experts, proceeded to evaluate the FP7 when half of its duration had elapsed.

The evaluation was carried out between March and October of 2010, and its results were included in the Report of the Expert Group on the Interim Evaluation of the Seventh Framework Programme. As many of the projects awarded grants are in their initial stages of execution and the gross amount of funds destined to grants has not been assigned yet, only provisional conclusions can be drawn from the results of the FP7 and the impact they will have on European science, economy and society.

This document summarizes the monitoring that has been carried out during the period elapsed of the FP7, the evaluation performed and the future expectations, as well as the guidelines that are being established for the design of the future Framework Programme.

• The increase of grants for SMEs, which do not reach 15%.

Some of the concerns highlighted in the study are: • The great effort required to achieve an efficient coordination of the research at Member State and the European Union level.

• The inconsistencies in the JTIs’ legal structures and procedures.

• The limited information on Article 185 and ERA-NET Plus.

• The low success rate in many areas of the FP7.

• The excessively long periods elapsed from the publication of the call to the awarding of the grant.

• That an effective impact of research cannot be efficiently guaranteed.

The first information obtained on the participation in the FP7 from this monitoring activity was: • The total amount of proposals received by the EC is 41,000, with a total of, 234,000 applicants.

• 9,100 of the proposals presented have been retained, with 51,000 participants and a total community contribution of 15,000 million euros.

22

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

3.1.2.

Main specific programmes

3.1.2.1.

The Cooperation Programme The aim of the Cooperation programme is to stimulate the cooperation and reinforce the links between the industry and research in a trans-national framework. This programme intends to build and consolidate a European leadership in key areas of research. To this end, it includes ten Themes that are independent in their management but complementary in their application: 1. Health: This Theme is aimed at improving the health of European citizens and increasing the competitiveness and capacity for innovation of European enterprises related to health while facing the worldwide health problems such as the new epidemics.

2. Food, agriculture and biotechnology: The objective of this Theme focuses on creating a bioeconomy in Europe based on knowledge by bringing together scientists, industrialists and other parties interested in exploiting new and emerging research opportunities that tackle economic, environmental and social challenges.

3. Information and Communication Technologies: Its objective is to increase the competitiveness of the European industry and fulfil the socio-economic demands by means of dominating the future development of the Information and Communication Technologies.

4. Nanosciences, nanotechnologies, materials and new production technologies: Its aim is to improve the competitiveness of the European industry and ensure its transformation by means of an effective transition of the industry (from being resource-based to knowledge-based), the generation of a revolutionary and applicable new knowledge, the reinforcement of the European leadership in nanomaterials and production technologies, and an emphasis on the integration of new technologies in the sectors they are applied.

5. Energy: The main objective of this Theme is to transform the current energy system into a more sustainable system that is less dependent on imported fuels and is based on a wide range of energy sources, especially renewable and non-contaminating sources, while paying special attention to the Themes related to energy efficiency, including the rational use and storage of energy. It tackles several challenges such as supply safety and the climate change while increasing the competitiveness of the European energy industries.

6. Environment (including Climate Change): Its main aim is to encourage a sustainable management of the environment and its resources by means of increasing the knowledge in the inter-

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

actions between the climate, biosphere, ecosystems and human activities, as well as by developing new technologies, instruments and services aimed towards an integrated treatment of worldwide environmental matters.

7. Transport (including Aeronautics and Air transport): This theme has set the objective of developing safer, further ecological and more intelligent pan-European integrated transport systems based on operating and technological progress and the European policy on transport.

8. Socio-economic sciences and humanities: The main objective of this Theme is to create a shared and deep knowledge of the socio-economic challenges faced by Europe, specifically with a view to providing a better knowledge base for the policies in their corresponding fields. Amongst these challenges, the following stand out: growth, employment and competitiveness, social cohesion and sustainability, quality of life, education, cultural aspects and worldwide interdependence.

9. Space: Its objective is to support a European Space Programme focusing on applications, such as the GMES, (Global Monitoring for Environment and Security) in the interest of the citizens and with a view to the competitiveness of the European space industry.

10. Security: The main aim of this Theme is to develop technologies and knowledge that guarantee the security of civilians against threats such as terrorism and organised crime, natural catastrophes and industrial accidents while considering the basic human rights, including privacy.

The goals expected from the aforementioned objectives are: • To contribute to sustainable development within the context of promoting research that helps achieving the highest level of excellence.

• Promote, amongst the public and private sectors, the creation of pan-European collaboration frameworks that, while aimed at ambitious objectives, enable the development of fundamental technologies for the launch of joint technological initiatives.

• Improve the coordination of national research programmes reinforcing the ERA-NET mechanism and establishing a new mechanism: ERA-NET Plus.

• Initiate four specific initiatives in close cooperation with the Member States: the assistance to ambient assisted living, research in the Baltic sea, metrology and grouping national research programmes focusing on SMEs. • Direct the treatment of international cooperation in a better manner.

23

• Prepare responses adapted to each Theme in order to face the emerging needs and the unforeseen policy requirements.

The Programme’s most important contribution consists in bringing together the European resources, disciplines and scientific excellence. The greater coordination of national policies, the circulation of results on a community scale, the creation of pan-European research networks and teams and the carrying out of work jointly aimed at the solution of the challenges that Europe currently faces are all factors that strengthen the integration of research and development on a European level.

The launch of these ten Themes, which the EU action will focus on, presents several aspects required considering: • The promotion of a multi-discipline approach with a joint focus that deals with the wide variety of themes on research and technological development.

The Capacities Programme The Capacities Programme aims to promote research and innovation in Europe, and therefore the European Commission suggests: • Supporting the coherent development of policies.

• Complementing the Cooperation Programme.

• Contributing to Community policies and initiatives with the aim of improving the coherence and impact of the Member States’ policies.

• Finding synergies with regional and cohesion policies, Structural Funds, education and training programmes and the Competitiveness and Innovation Framework Programme (CIP).

In order to reach these objectives, the Capacities Programme structures its activity in seven specific Areas: 1. Research infrastructures.

• The adaptation of the agenda to the evolution of the needs and possibilities («emerging needs» and «unforeseen policy needs»).

2. Research for the benefit of SMEs.

• Strengthening the coordination in the circulation of knowledge and transferring the research results mainly through funding initiatives to create intermediary mechanisms or networks, as well as seminars and other events, with the assistance provided by external experts and information services.

4. Research potential.

• Boosting the participation of SMEs as a result of the improvement of administrative and funding procedures, the further knowledge of the needs of these enterprises and the implementation of support measures in its favour, amongst others.

• Research infrastructures

• The respect for the basic ethical aspects, amongst of which are the principles established in the Charter of Fundamental Rights of the European Union, as well as for the social, legal, socio-economic and cultural aspects and those related to gender equality.

• The promotion of «collaborative research» with the aim of increasing the reputation of European technical competences worldwide.

24

3.1.2.2.

3. Regions of knowledge.

5. Science in society.

6. International cooperation.

7. Support to the coherent development of Research policies.

The overall objective of this Area is to optimise the use and development of existing research infrastructures in Europe while promoting its creation and modernisation. In addition, planning support measures with the aim of responding to the possible needs that could arise is advisable. The aim is to reinforce the European technological knowledge at the service of a more competitive and dynamic knowledge-based economy.

Research Infrastructures actions consist in:

• The launch, in certain conditions (added value, solidness of the commitment, impossibility of reaching an objective with the existing means, etc.), of joint technological initiatives that combine private investment and national and European public contribution.

• Stimulating the trans-national access to existing structures.

• The coordination of non-Community research programmes (national and regional) through the ERA-NET mechanism with the participation of the European Union.

• Reinforcing cooperation in Europe and on an international level.

• Supporting an international policy for science and technology matters by means of international cooperation measures, such as the establishment with third countries of strategic collaboration frameworks in research matters or the solution of problems in accordance with the principle of mutual interest and benefit.

The objective of this Area is to allow SMEs and SME associations to better exploit the progress of research in benefit of their growth, technical knowledge and capacity for innovation. To this end, two specific regimes are provided:

• Improving coordination by means of an integrated modernisation.

• Developing online infrastructures based on ICTs. • Supporting the creation and construction of new infrastructures.

• Research for the benefit of SMEs

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

• One aimed at supporting small groups of enterprises to solve common or complementary technological problems on a short-term basis.

• The exchange of knowledge and experiences.

• And another which will allow finding technical solutions to problems that are common to a large number of SMEs on a long-term basis.

• The acquirement and development of certain research equipment.

• Regions of knowledge The Regions of knowledge initiative aims to strengthen the research potential of European regions. This is achieved by encouraging and supporting the development, across Europe, of regional researchdriven clusters associating regional authorities, universities, research centres, enterprises and other stakeholders. A better coordination of the regional policy and the policies related to research are also among the priorities of this Area.

The different projects undertaken in this Area must focus on the following activities: • Analysis, development and implementation of the research agendas of regional clusters (plan focusing on R&D capacity and priorities).

• Mentoring of regions with a less developed research profile by highly developed ones by means of the creation of trans-national regional consortiums.

• Initiatives to improve integration of research agents and institutions in the scope of research in the regional economic structure (for example: trans-national activities organised within the framework of regional clusters).

• Promote systematic mutual information exchange as well as interactions between similar projects (i.e. analysis and synthesis workshops, round-tables, publications, etc.).

• Research potential The action of this Area of the Capacities Programme must concentrate on the less advanced regions of the European Union and on the outmost regions with the aim of fully exploiting their potential in research. This situation should in the long-term double the researching potential —by increasing knowledge, developing supplementary competences, and extending visibility— of the broadened European Union.

The actions will favour, specifically, strategic associations and secondments between research groups of these regions (from both the public and private sector) and forefront research groups from other regions in Europe. These associations and secondments will enable the research groups selected (on the basis of quality and potential) in less advanced regions to benefit from: BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

• The contracting of experienced researchers in charge of training and transferring knowledge.

• The arrangement of workshops and conferences.

• The carrying out of diffusion and promotion activities that will increase their visibility.

• Science in society An effective and democratic European knowledge-based society requires the integration of science in the European social structure. In order to reach this goal, the aim of the activities in this Area must follow three significant lines of action: • The governance of relationships between science and society: strengthening and improving the European scientific system, forecasting and solving political, ethical and social issues, better comprehending the role of science and technology in society, and addressing the changing role of universities.

• The potential and expectations of science: consolidating the role of women and the youth.

• Science communication: re-establishing the link between science and society

• International Cooperation In this Area, the European Community sets the following objectives with the aim of establishing a strong and coherent international science and technology policy that allows becoming more competitive and playing a leading role on a worldwide level: • Support European competitiveness through strategic partnerships with non-EU countries in selected fields of science and by engaging the best scientists from such countries to work with and in Europe.

• Enhance the production of knowledge and scientific excellence by enabling European universities, research institutions and enterprises to establish contacts with their partners in such third countries, thereby facilitating access to research environments outside Europe and promoting synergies on a global scale.

• Address specific problems that third countries face, or that have a global character, on the basis of mutual interest and benefit.

• Support to the coherent development of research policies This Area aims to enhance the effectiveness and coherence of national and Community research policies and their articulation with other policies, improve the impact of public research and its links

25

with industry, and strengthen public support and its leverage effect on investment by private actors..

3.1.2.3.

• The improvement of training and development opportunities of careers in the private sector (greater involvement of enterprises and further cooperation between enterprises and universities).

The Ideas Programme

• The strengthening of the international dimension.

The main objective of the Ideas Programme is to raise the level of European research in fields which are growing rapidly and thus increase the competitiveness of European economies and welfare. The aim is to perform an exploratory research which, regardless of the limits of each discipline and the geographic borders, will allow decisive progress in the fields of science and technology, as well as on a university level. This Programme was initiated to support investigator-driven frontier research on themes chosen by the researchers.

The launch of the following initiatives is necessary in order to strengthen the human potential in research: • Stimulating research training for young people.

• Encouraging European researchers to stay in Europe.

• Attracting to Europe researchers from the entire world.

• Improving the circulation of knowledge between countries, sectors, organisations and disciplines.

The programme will be executed according to the principles of scientific excellence, autonomy, efficiency, transparency and accountability with the help of a European Research Council (ERC) that will provide specific solutions to the excellence deficit currently present in Europe.

• Strengthening the integration of women in research and technological development.

The different objectives of the People Programme will be achieved by means of a coherent set of Marie Curie actions aimed at developing the qualification and competences of the researchers in all the stages of their careers, emphasising on trans-national and intersectorial mobility, recognising the experience acquired in different sectors and countries, and optimising the working conditions.

The general objectives of this Programme are: • To enhance the dynamism, creativity and excellence of European research.

• To improve the attractiveness of Europe for the best researchers from both European and third countries, as well as for industrial research investment.

• To take European research to the forefront of scientific progress.

• Open the path for new scientific and technological progress.

• Stimulate the circulation of ideas.

• Try to better exploit the opportunities of the European knowledgebased society.

3.1.2.4.

The People Programme The objective of the People Programme is to strengthen, quantitatively and qualitatively, the human potential in research and technology in Europe. In other words, to adapt the European employment market with the aim of responding to the training, mobility and development needs of researchers and therefore encouraging them to stay in Europe.

This Programme includes significant funding resources and builds on the experience acquired by means of a coherent set of Marie Curie actions. More specifically, special emphasis shall be given to the three following aspects: • The creation of advantages and the structuring effects by means of co-funding regional, national and international programmes.

26

3.1.3.

Initiatives led by the industry

3.1.3.1.

European Technology Platforms (ETP) European Technology Platforms are clusters of European entities interested in a specific sector, led by industry but with a significant representation of research organisations, whose objective is to define a Vision of Europe’s position in the long-term with its respective Strategic Research Agenda on important strategic themes.

Technology Platforms perform an essential role in the structuring of the European Research Area as they group different agents involved in a field with the aim of defining and implementing the Strategic Research Agenda.

European Technology Platforms follow a three-phase process in their development: • Creation of European Technology Platforms: grouping of all the key agents in the sector. The role of leadership and management corresponds to the industry. However, the European Commission’s function is essential in the first steps of these technology platforms, as well as to ensure transparency in the process.

• Definition of a Strategic Research Agenda: establishing a common vision regarding the technological scenarios in the long-term, the objectives in the medium and long-term and the roadmap required to achieve them.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

EDEFU project: “New design of ecological furnaces”. Tecnalia, Vidrala and Indal Casting are participating.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

27

• Implementation of the Strategic Research Agenda: mobilising significant human resources and funding; albeit by participating in normal calls of the Framework Programme or by managing part of the funds via the constitution of a Joint Technology Initiative —see section 3.1.2.2. Joint Technology Initiatives (JTI).

The industry must lead the creation of each platform and its development; however, other participants must also become involved in the process, such as public authorities, research centres and the academic community, the financial community, civil society, etc.

With the cooperation of key agents in a certain technological field, the technology platforms can define the technological and research priorities required for this sector in a medium and long-term basis; establish a series of guidelines to achieve them; and coordinate the national and European R&D investment (public or private). Therefore, they can significantly contribute to the development of the European Research Area.

T.3.1

European Technology Platforms

Bio-based economy

Production Transport and processes

Energy

ICT

Biofuels

ARTEMIS

FABRE TP

ECTP

ACARE

SmartGrids

ENIAC

Food

ESTEP

ERRAC

TPWind

ISI

GAH

ETP SMR

ERTRAC

Photovoltaics

Net!Works

NanoMedicine

Manufuture

Waterborne

ZEP

NEM

Plants

FTC

ESTP

SNETP

NESSI

Forestry

WSSTP

RHC

EUROP

SusChem

EPoSS

EuMaT

Photonics21

IndustrialSafety

Source: http://cordis.europa.eu/technology-platforms/individual_en.html

The current significance of European Technology Platforms resides in that they are a consultation body which suggests part of the contents in the research priorities that the European Commission is initiating in the FP7.

Table (T.3.1) shows the 36 European Technology Platforms that have been created up to this date.

In some countries national mirror groups of ETPs have appeared, such as in Spain. These mirror groups are fora which: • Allow a fluid exchange of information with the aim of fostering the collaboration between interested parties in a sector or technological field.

• Promote the association between the public and private agents of the sector under consideration, with the aim of identifying and giving priority to the research and technology needs in this sector on a medium or long-term basis.

• Allow providing advice on regional, national and/or European investments, as well as on public and private R&D investments.

Spanish Technology Platforms have had a considerable impact. In a short period, these platforms have been organised in national scientific-technological cooperation networks, which are a meeting point for all the system’s actors (enterprises, researchers, technology and research centres, public authorities) where they can recommend actions and behaviours to strengthen strategic sectors by means of their actions in Spain and Europe.

LearnForm project: “Self Learning sheet metal forming system”. The CIE I+D+i Foundation is participating.

28

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

• Evaluation of the European Technology Platforms The European Commission requested an evaluation of Technology Platforms in order to examine their operation, conceptual development and objectives with the aim of revising and analysing their results and impact, specifying their achievements, limiting factors and better practices, and formulating recommendations for the future. In November of 2009, the report “Strengthening the role of European Technology Platforms in addressing Europe’s Grand Societal Challenges”1 was published.

This report highlighted the need for intensifying coordination and cooperation amongst Technology Platforms “to enlarge their financial scale, resources, added value and influencing power to avoid duplication and inefficiency” and to find common approaches for social issues. ETPs were called upon to pay special attention to the involvement of NGOs and consumers, and they were also warned of the negative effects of becoming ‘clubs’, as there is a danger that members will seek to use the ETPs to generate funding for their enterprises inappropriately.

The report recommended that the Commission clarify the possibilities for Platforms to extend beyond the EU, as several of them saw such international cooperation as essential to furthering competition with other world powers.

It was also important that policymakers consult and invite Platforms to provide their opinion and contribution during policy preparation in order that they might move beyond technology. A specific recommendation of the report, directed to the Platforms themselves, was to move beyond scientific and technical challenges, shifting their focus to regulations and standards that affect the commercialisation of research. According to the report, the ETPs should also be “facilitators, communicators and promoters for new and adapted training and education programmes”.

3.1.3.2.

Joint Technology Initiatives (JTI) Joint Technology Initiatives are European public-private consortiums in relevant areas for R&D on an industrial level. JTIs, which originate in Technology Platforms, are an instrument designed for the industry and the public research system to collaborate; most of them are intended to cover a period of 10 years (2007 to 2017) and are partially financed with funds from the Cooperation Programme of the Seventh Framework Programme.

Joint Technology Initiatives (JTIs) are a means to implement the Strategic Research Agendas (SRAs) of a limited number of Platforms. In

(1) ftp://ftp.cordis.europa.eu/pub/etp/docs/fa-industrialresearch-b5-full-publication-rp_en.pdf BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

these cases, the scale and scope of the objectives is such that they are too broad to be coordinated through ETPs. The structures devoted to implementing JTIs are legal entities that manage research programmes in an integrated way, where the industry combines efforts with other stakeholders. The JTIs have their own budget, as well as personnel managing them, organising calls for proposals, supervising the selection of procedures and establishing contract plans for the projects. Therefore, they enable funds from different sources to be jointly managed and are responsible for the communication and diffusion activities.

The ETPs that have already been approved and are currently operating are: • IMI, Innovative Medicines Initiative.

• Artemis, Embedded Computing Systems.

• Clean Sky, Aeronautics and Air Transport.

• ENIAC, Nano-electronics Technologies.

• FCH, Hydrogen and Fuel Cells Initiative.

• GMES, Global Monitoring for Environment and Security (although it has not been implemented as a JTI).

A matter of interest that usually arises is “what is the difference between Joint Technology Initiatives (JTIs) and European Technology Platforms (ETPs)”. The main difference is that ETPs enable the public and private sectors to jointly determine their research needs, while JTIs allow carrying out large-scale industrial research activities that are partially based on the needs pointed out by the Platforms. In addition, JTIs can receive funding from the Framework Programme while ETPs cannot.

In July 0f 2010, the first interim evaluation of the JTIs, ARTEMIS and ENIAC was published2. The evaluation group recognised in this report, as a positive aspect, the value of the tripartite structure of the JTIs in these technological fields due to sharing resources from industry, the EU and the Member States.

However, the experts reported their fear in that ARTEMIS and ENIAC were not paying enough attention to the European strategic objectives. The evaluation group supported a reconsideration of the two JTIs’ strategy that would allow all stakeholders to participate and progress towards a truly joint effort. Within this context, the experts also requested the industry to resort again to high-level intellectual leaders in the industry, public authorities and the scientific community. They also considered that the funding commitment of Member States was significantly below than what was expected, which en-

(2) http://ec.europa.eu/dgs/information_society/evaluation/rtd/jti/index_en.htm 29

dangered the establishment of a critical mass of activity and seriously limited the construction of suitable project portfolios.

3.1.3.3.

Public-Private Partnerships (PPP) As part of the European Economic Recovery Plan, the Commission launched three Public-Private Partnerships in 2009 and a fourth in 2010. These PPPs represent a boost of the research efforts in large industrial sectors (automotive industry, construction, manufacturing, etc.) that have especially suffered the economic recession and where innovation can decisively contribute to building a greener and more sustainable economy.

• Presentation of proposals in a single phase, thus achieving a swifter evaluation and reducing the time to contract”.

3.1.4.

Initiatives led by countries/regions

3.1.4.1.

ERA-NET/ERA-NET Plus It is a fact that national research represents up to 85%3 of the public expenditure allocated to research in Europe; therefore, the purposefulness of national programmes when facing national needs and priorities is an unquestionable factor. However, in order to amplify the impact of national research, the Member States must coordinate their efforts, accept sharing resources, and combine efforts to improve the impact in national investment in certain strategic scopes.

In order to achieve this objective, the Commission expects the FP7 to contribute with 50% of the total R&D budget, while the other half will be provided by the industry.

The ERA-NET scheme, which emerged as a new tool in the FP6 and has been carried through to the FP7, is a key instrument for the promotion of coordination and the coordination of research activities and policies developed by the Member States and Associated Countries through their respective national and/or research programmes.

This cooperation and coordination translates into an exchange of opinions and best practices, strategic planning and the design of joint research programmes, and the development and implementation of joint activities, including joint calls.

The four PPPs that are currently in operation are: • Factories of the Future (FoF): Initiative to help EU manufacturers, in particular SMEs, to adapt to global competitive pressures by increasing the technological base and enabling technologies of the future.

• Energy efficient Buildings (EeB): Initiative to promote green technologies and the creation and use of energy-efficient systems and materials in buildings with a view to radically reducing their energy consumption and CO2.

The owners and managers of national/regional funding programmes started to work in collaboration, and even launched calls for joint proposals with national/regional funds. The experience and the success achieved in the first years proved the need to continue with the ERA-NET scheme in the FP7.

• Green cars (GC): Initiative that puts special emphasis on encouraging renewable and non-polluting energy sources, safety and traffic fluidity. The integration of environmental considerations is required to meet the community and global objectives in the reduction of emissions.

In addition to carrying the classic ERA-NET scheme —nitiated in the FP6— into the FP7, a new scheme was designed called ERA-NET Plus with the aim of further improving trans-national funding for research.

• Future Internet (FI): Initiative funded by 16 European ICT enterprises whose main ambition is that a new approach is adopted to tackle the challenges of future Internet in Europe.

The new dimension provided by this Plus tool is that the Commission gives incentives for organising joint calls, thus increasing trans-national funding for research with community funds.

The main advantages provided by PPPs are: • Assurance when investing in long-term research, even when facing short-term economic problems.

• Industry leadership, including SMEs, in the definition of strategic priorities and the implementation of research.

• Existence of a multi-annual integrated programme with a predetermined budget, guaranteeing continuity and allowing the industry to plan long-term investment.

• A transversal approach starting with basic and implemented research, followed by large-scale demonstration and validation, putting special emphasis on impact and exploitation.

• Further opportunities to support innovation in SMEs. 30

Chapter 6 provides a more complete vision of the ERA-NET and ERANET Plus schemes.

3.1.4.2.

Art. 185 (ex Art. 169) Art. 185 of the Lisbon Treaty (ex Article 169 of the Treaty on the Functioning of the European Union) allows the European Union to

(3) Communication from the Commission to the European Parliament, the Council, the European Committee and Social Committee and the Committee of the Regions, July 15, 2010 called: «Towards joint programming in research: Working together to tackle common challenges more effectively» [COM(2008) 468].

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

participate in research programmes jointly undertaken by several Member States.

According to article 185 of the Treaty: “In implementing the multiannual framework programme, the Union may make provision, in agreement with the Member States concerned, for participation in research and development programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes”.

Several programmes are currently initiated in accordance with the possibilities established in the Article: • AAL (Ambient Assisted Living): This programme is aimed at promoting research in benefit of healthy ageing. As the aging of population is an opportunity for ICTs to improve the quality of life in this population niche, the AAL Programme is aimed at encouraging ICTs to create products and services that meet the needs of the older people, as well as creating a critical mass of research in the ICTs aimed at them, and thus improve the conditions for the industry to take advantage of the research results in this field.

• EUROSTARS: Aimed at encouraging SMEs to conduct research activities in international collaboration and innovation projects by means of simplifying access to the obtainment of support and funding. (Further information in the next section).

KUBIK by Tecnalia: Experimental Building for R&D&i focused on Energy in Buildings.

• BONUS-169: This programme, aimed at research in the Baltic Sea, is fully aligned with the objectives of the European Strategy for Marine and Maritime Research. The Programme is an integral part of the EU Strategy for the Baltic Sea, which seeks to provide both a coordinated and inclusive framework in response to the key challenges facing the Baltic Sea Region, as well as concrete solutions for these challenges.

By implementing a policy-driven, fully integrated, joint research programme based on extensive and on-going stakeholder consultations, BONUS-169 will provide concrete scientific outputs facilitating the implementation of ecosystem-based management of environmental issues in the Baltic Sea. BONUS-169 thereby supports sustainable development in the region while strengthening research collaboration and facilitating the use of common resources and infrastructure in the region.

• EMRP (European Metrology Research Programme): This programme, designed for the field of metrology —the science of measurement—, is undertaken by 22 countries comprised by Member States and Associated Countries of the FP7 and is supported by the European Commission and the European Association of National Metrology Institutes (EURAMET). The main aim of this programme is to expedite innovation and competitiveness in Europe.

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• EDCTP (European Development Clinical Trials Parnership): This programme was created in 2003 and encourages studies fighting against aids, malaria and tuberculosis and aims to expedite the development of new or improved drugs, vaccines, microbicides and diagnostics against these three diseases, with a focus on phase II and III clinical trials in sub-Saharan Africa. The EDCTP supports multicentre projects that combine clinical trials, capacity building and networking. The aim of integrating these three activities is to ensure that the developed capacities developed are optimally used in order to successfully conduct the clinical trials in a sustainable manner.

3.1.4.3.

EUREKA / EUROSTARS EUREKA is an intergovernmental initiative created in 1985 that supports R&D&i and whose goal is to increase the competitiveness of European enterprises by means of encouraging technological projects aimed at developing projects, processes and/or services based on innovative technologies. This initiative has a clear commercial interest in the international market.

Most of the participants of Eureka projects are large enterprises and SMEs, although Eureka is open to other types of entities such as universities and technology centres.

Eureka has no predetermined technological lines; any technology is welcome provided that it is innovative. The content of the projects is promoted by the participants in accordance with the specific needs of each consortium, which does not prevent Eureka from encouraging the development of projects in technological areas considered of strategic importance.

Most of the Member States are involved in the Eureka Programme, and other European countries can also participate in Eureka provided that they do not collaborate with two member states; amongst these countries are Albania, Bosnia Herzegovina and Bulgaria. South Korea can also participate due to its status of State Associated to the Programme.

The projects are funded in a decentralised manner, that is, each Country assumes the funding of the entities in its territory.

Eureka calls are permanently open and require a minimum of bureaucracy, which is performed through the Eureka Office of each Country participating in the project.

The procedure for granting projects is very simple; the Eureka’s National Project Coordinator is who initially examines the suitability of the proposals presented within the programme. Eureka guarantees a quality seal for each project approved which, in addition to being a symbol of recognition and serving as a promotional tool, provides them with access to public funding.

In Spain, the management of the Eureka programme is delegated to the Centre for the Development of Industrial Technology (CDTI), which entails encouraging the participation of Spanish enterprises in this initiative, as well as advising on the preparation of the project’s initial proposal, the search for partners, the preparation of project documentation and the access to sources of funding.

As mentioned above, Eureka projects do not have a preferential technological area, but sometimes, due to their themes, they may be framed within one of the following strategic actions: • Umbrella: Is a facilitating element for the creation of Eureka projects whose theme is focused on a specific technology area or business sector. This strategic action is coordinated and implemented by a work group consisting of EUREKA representatives and industrial experts and it is composed of representatives of the EUREKA network and national experts. Spain is actively participating in the following Umbrella Projects: – EUREKATOURISM: encourages competitiveness in the tourism and leisure sector by means of technological innovation.

– EUREKABUILD 2: promotes and stimulates projects aimed at sustainability in the construction sector.

– EULASNET II: supports projects that imply the creation of new products, processes and services using laser and optical technologies.

– PRO-FACTORY: promotes and stimulates projects related to technological improvement and progress in production.

– EUROAGRI FOODCHAIN: promotes and coordinates projects in the agri-food sector and in other sectors related to animal and vegetable production.

– LOGCHAIN +: specialises in the logistics of freight transport trains, and its main aim is to transfer freight transport by road to train or sea/river transportation.

– ENIWEP: fosters cooperation among industrial enterprises and research organisations in the field of tribology.

• Cluster: Long-term, strategically significant industrial initiatives that usually have a large number of participants and aim to develop generic technologies that cover the entire value chain. Spain is actively participating in the following Clusters:

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– CELTIC: its aim is to strengthen European competitiveness in telecommunications.

– ITEA2: its aim is to create platforms and the use of methods to develop software-intensive systems.

– EURIPIDES: is the continuation of a merge between two previous Clusters: EURIMUS (Industrial Initiative for Microsystems Uses) and PIDEA (Interconnected Embedded Electronic Sub-systems).

– CATRENE: is aimed at creating platforms to develop technologies and processes in microelectronics.

– EUROGIA +: focuses on the combination of all energies, Lowemission technologies, from fossil fuels to renewable resources.

• EUROSTARS: This Programme helps SMEs involved in R&D activities to carry out market-orientated trans-national projects by: – Creating a sustainable European mechanism to support these organisations.

– Encouraging the creation of economic activities based on the results of that R&D and expediting the introduction of products, processes and services in the market.

– Fostering technological and entrepreneurial development and the internationalisation of those enterprises.

– Ensuring the public funding of the participants in the projects.

These projects must represent a separation from the technical stateof-the-art and a commercial challenge that enables these enterprises to take an important qualitative leap in their market position.

The projects approved by EUROSTARS are funded with national funds, and this funding is guaranteed until the budget limits that each country and the European Commission set for each call are exhausted.

With regard to Spain, the funding of EUROSTARS projects is carried out via the “Interempresas Internacional” programme managed by the Centre for the Development of Industrial Technology (CDTI) and, as in Eureka Projects, the calls for funding are permanently open, remaining closed an average of two dates per year..

3.1.5.

New instruments

3.1.5.1.

Joint Programming Initiatives (JPI) Although the ERA-NET scheme was implemented in the FP6 as an instrument aimed at improving the impact of national and regional investments, a new instrument called Joint Programming Initiatives has been created in the FP7.

The European Council of March 2008 called on the Commission and Member States to explore the potential of joint programming. To this end, the Commission made a series of proposals in a Communication entitled “Towards Joint Programming in Research: Working together to tackle common challenges more effectively”. The Council of Ministers endorsed these proposals and agreed to launch the process in December 2008.

In March 2010, the European Commission launched its initiative “Europe 2020 – A European strategy for smart, sustainable and inclusive growth” and the flagship initiative “Innovation Union”. The initiative established that the Commission would work towards completing the European Research Area by seeking to enhance joint programming with Member States and regions.

The aim of Joint Programming (JPI) is to reinforce cross-border cooperation, coordination and the integration of research programmes of the Member States into a limited number of fields, such as food security, health, sustainable development, security in energy supply, etc.

Suitable Joint Programming areas are identified by a High Level Group on Joint Programming (GPC from the French “Groupe de Programmation Conjointe”) consisting of nominees from Member States and the Commission, following a thorough consultation of stakeholders.

Joint Programming consists in defining a common vision of the main socio-economic and environmental challenges with the aim of preparing and initiating strategic research programmes and prospects.

JPIs offer the Member States the possibility of tackling these common challenges, broadening the range of research programmes in Europe and avoiding the waste of resources - thus favouring excellence. They also foster cooperation by sharing the existing knowledge in the different European countries, and allow for a reduction in management expenses thanks to the greater visibility of the programmes.

In practice, it entails sharing resources, selecting suitable instruments, their implementation, monitoring, and the evaluation of common advances. The participation of the Member States is voluntary.

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• Agriculture, food security and climate change.

• Health, food, and prevention of diseases related to the diet.

• Cultural heritage, climate change and security.

3.7. Use and disseminate Research Findings to Society and Governments 3.6. Monitor the projects

IPR

DIS

Stage 3 Research and Innovation

3.5. Protect, manage & share IPR 3.4. Implement the projects

FS

Joint Programming Cycle

PR 3.3. Select the projects 3.2. Launch the call 3.1. Develop the programme call Stage 3

SRA

Stage 2 Programming

FS 2.3. Develop the Strategic Research Agenda - SRA

Phase 1 Identify Grand Challenge Areas whether recognised or disruptive

EV

3.8. Evaluate the programme

Phase 2 Stage 1 1.1. Identify specific Themes within defined Areas 1.2. Prioritise and select Themes within these Areas

Stage 1 Orientation ion Vis sed I on Ba JP m e- = m nc nt Co ide me Ev ocu D

In December 2009, the Council of Ministers adopted a pilot Joint Programming Initiative on Neurodegenerative diseases (including Alzheimer’s disease). In April 2010, the Commission adopted a series of Recommendations to launch new JPIs in the following areas:

Phases of the Cycle of JPIs

Research Output

• Developing a shared vision for the area.

• Defining a Strategic Research Agenda (SRA) and SMART objectives (Specific, Measurable, Achievable, Relevant and Time-Bound).

• Preparing for the implementation of the SRA by analysing the options, assessing expected impacts and defining the best mix of instruments to be used in achieving these goals.

G.3.1

Ch Lis al t o le f G ng r e an Ar d ea s

In each initiative —see graph (G.3.1), the participating countries start by:

FCR 1.3. Develop a common evidence-based vision on selected Themes

FS FCR 2.2. Agree on common modus operandi and funding

Stage 2 2.1. Set the Governance for joint Programming Initiative - JPI

In May 2010, six new themes were identified: • The microbial challenge: an emerging threat to human health.

• Connecting Climate Knowledge for Europe (Clik’EU).

• More years, better lives: the potential and challenges of demographic change.

• Urban Europe: global challenges, local solutions.

• Water challenges for a changing world.

• Healthy and productive seas and oceans.

Framework Conditions of Joint Programming FS Foresight Activities FCR Funding of Cross-border Research by National or Regional Authorities PR Peer Review Procedures IPR Protection, Management and Sharing of Intellectual Property Rights DIS Optimum Dissemination and Use of Research Findings EV Evaluation of Joint Programmes

Source: ESF.

The tools used by the Commission to support these JPIs will be: • Financing support actions.

• Launching possible complementary measures undertaken by participating countries as identified in each JPI Strategic Research Agenda.

• Linking the JPIs to international actions and entities where the Commission represents the EU. • Reporting on the JPIs’ progress to the Council and informing the European Parliament

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3.2.

The Competitiveness and Innovation Framework Programme (CIP)

3.2.1.

Context in which the CIP was created

• Facilitating access to funding for the launch and growth of SMEs and supporting investment in technological development, innovation activities and eco-innovation, technological transfer, and the expansion (cross-border) of its business activities.

• Offering enterprise services through the Enterprise Europe Network (EEN), see Annex 3).

The Lisbon process, whose objective is “to make Europe the most competitive and dynamic knowledge-based economy in the world”, placed competitiveness at the heart of the European political agenda. Particular attention has been given to ensuring coherence among the different programmes participating in the community effort aimed at increasing competitiveness, and in response to the objectives established in the renewed Lisbon Strategy, the European Commission decided to put forward a proposal for the implementation of a Competitiveness and Innovation Framework Programme (CIP).

3.2.2.

• Providing support aimed at improving innovation policies, by supporting the trans-national networking of innovative enterprises and the different actors in the innovation process with the aim of carrying out benchmarking initiatives and the exchange of best practice.

• Supporting pilot projects for commercial purposes, with the aim of encouraging the effective introduction in the market and the exploitation of innovative technology or products which are aimed at reducing environmental impacts, preventing pollution or achieving a more efficient use of natural resources, and whose technical demonstration has been performed successfully but have not been fully marketed.

Characteristics of the CIP With small and medium-sized enterprises (SMEs) as its main target, the Competitiveness and Innovation Framework Programme (CIP) supports innovation activities, provides better access to funding and delivers business support services.

The CIP programme encourages a better take-up and use of information and communication technologies (ICT) and helps in the development of the information society. It also promotes the growing use of renewable energies and energy efficiency.

• Supporting the innovation and SME policy-making through contracts and grants.

3.2.2.2.

The ICT-PSP aims to incorporate and exploit Information and Communication Technologies (ICT). This programme mainly funds pilot actions —involving public and private organisations— with the aim of validating services based on innovative and interoperable ICTs in actual conditions. The ICT-PSP also supports network activity whose aim is to share experiences and prepare the use of innovative solutions based on ICTs, as well as monitoring the information society through comparative studies, analyses and awareness actions.

The CIP program covers the same period as the Framework Programme (FP7) and the Cohesion Funds (2007-2013), has an overall budget of 3,621 MÐ and four objectives which pay special attention to the SMEs. The CIP is divided into three different operational programmes. Each programme has its specific objectives, aimed at contributing to the competitiveness of enterprises and their innovative capacity in their own areas:

3.2.2.3.

• The Entrepreneurship and Innovation Programme (EIP).

• The Intelligent Energy Europe Programme (IEE).

Entrepreneurship and Innovation Programme (EIP) The EIP brings together activities to encourage entrepreneurship, industrial competitiveness and innovation. The programme is aimed expressly at SMEs, focusing on:

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

Intelligent Energy Europe Programme (IEE) The aim of the IEE is to help in attaining the ambitious objectives set by the European Union regarding energy in the framework of the climate change. To this end, the IEE Programme supports concrete projects, initiatives and best practices via annual calls for proposals.

• The Information Communication Technologies Policy Support Programme (ICT-PSP).

3.2.2.1.

ICT Policy Support Programme (Information and Communication Technologies)

3.2.3.

Public consultation on a possible programme to succeed the CIP At the end of 2010, the European Commission opened a public consultation with the aim of establishing the basic ideas that the successor of the CIP should include (the consultation was part of the impact assessment and of a wider reflection on the next multiannual financial framework of the European Union). The consultation, open until 35

February 2011, gathered the opinions of all the stakeholders on the priorities that should be set in the next competitiveness programme.

The survey was aimed at enterprises benefiting from the CIP, bodies supporting innovation, national, regional and local public authorities and financial institutions.

The European Commission, as established in the background document of the public consultation, considers that the CIP should have the potential to highlight the importance of competitiveness-related expenditure outside the research area. Competitiveness-related expenditure in areas which come after the research phase is important for the implementation of the Europe 2020 strategy.

The survey explored the most suitable procedures to face the main challenges: • How to improve the support to enterprises (specifically SMEs) through the programmes of the European Union.

G.3.2

Knowledge triangle

Innovation

THE KNOWLEDGE TRIANGLE

Research

Higher Education

Source: http://eit.europa.eu/fileadmin/Content/Downloads/PDF/Background_Information/ eit_brochure_en.pdf

• How to boost competitiveness and innovation in sectors with great development potential.

• How to encourage a greater incorporation of innovative services based on the ICTs and the use of digital contents in Europe.

• How to promote energy efficiency and the use of renewable energies.

In addition to the public consultation, the Commission has programmed a public conference, meetings with the stakeholders and several evaluations. The services provided by the Commission will release the results obtained in an impact evaluation report.

3.3.

European Institute of Innovation and Technology (EIT) The European Institute of Innovation and Technology (EIT) was established in March 2008. The main objective of the EIT is to contribute to increasing European sustainable economic growth and competitiveness by reinforcing the innovation capacity of the Member States and the EU. It also expects to promote the integration of the three sides of the Knowledge Triangle —higher education, research and innovation— at a high level, see graph (G.3.2). The EIT also intends to facilitate and promote the creation of networks, cooperation, and the establishment of synergies among European innovation communities.

Amongst the most important actions carried out by the EIT, the following are worth mentioning: • The work aimed at the creation of a favourable environment to promote entrepreneurship in Europe. Through its commercial approach and educational component, the EIT helps in the education

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of a new generation of entrepreneurs that have the required qualifications and knowledge to transform ideas into opportunities.

aim of increasing competitiveness in Europe and tackling social challenges.

• Higher education institutions that participate in the EIT must offer renowned Masters and PhDs that include the EIT seal as a guarantee of high quality and innovation.

KICs have substantial overall autonomy to define their legal status, internal organisation and work methods. They are open to new members provided that they bring added value to the association.

The minimum condition to constitute a KIC must involve at least three independent partner organisations. The partners must be established in at least three different Member States and must include at least one higher education institution and one private enterprise.

Organisations from countries which are not members of the European Union must be able to participate in the KICs.

• Give enterprises the chance of commercialising the most relevant and recent discoveries in research.

Since its creation, the EIT is gradually establishing itself, and has been allocated by the European Union 308.7 MÐ until 2013. The main offices of the EIT have been located in Budapest, Hungary, since April of 2010.

The KICs will meet their objectives by means of:

The EIT has created three Knowledge and Innovation Communities, KICs, and more are expected after adopting the Strategic Innovation Agenda, which will include the priorities of future EIT initiatives. In this line of action, the EIT should have the SIA prepared by mid 2011 and it will be renewed every 7 years. The Parliament and the Council are the pertinent bodies to adopt this agenda (SIA) at the Commission’s proposal.

• Improvements of curricula and learning and teaching methods in higher education that give students the knowledge, personal development and the research and entrepreneurship skills consistent with the broad employability demand.

• Entrepreneurial education for top entrepreneurial people that develop entrepreneurial skills, cultures and governances to boost new business creation.

The main elements of the SIA are:

• Exploiting entrepreneurship towards new business creation.

• An overview of the planned higher education, research and innovation activities.

In 2009, a first call was launched and the first three KICs that currently exist were selected —see graph (G.3.3):

• An assessment of its socioeconomic impact and its capacity to generate the best innovation added-value.

• Climate-KIC (climate change): http://www.climate-kic.org/

• An estimate of financial needs and sources in view of the future operation, long-term development and funding of the EIT.

• EIT ICT Labs (Future Information and Communication Society): http://eit.ictlabs.eu/

• An indicative financial plan covering the period of the financial framework.

The Communication from the Commission Europe 2020 commits the EIT to presenting the SIA in order to extend the activities as an example of innovation in Europe. The SIA should map out EIT’s long-term development within the Innovation Union, including the creation of new KICs, close links with the private sector and a stronger role in entrepreneurship.

3.3.1.

Knowledge and Innovation Communities (KIC) Knowledge and Innovation Communities (KICs) are independent associations of higher education institutions, research organisations, enterprises and other participants in the process of innovation (funding agencies for research, regional and national governments, etc.). KICs are constituted as innovative networks of excellence and they aim for the joint planning of innovation in a medium or long-term in order to tackle the challenges of the EIT. KICs are the operating part of the EIT to promote innovation with the

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

• KIC (InnoEnergy: sustainable energy): http://www.kic-innoenergy. com/ (participa Tecnalia).

3.4.

European Innovation Partnership (EIP) The European Innovation Partnership is a new concept within the Innovation Union designed to face the great challenges of society such as ageing or the climate change via the successful diffusion of innovation.

EIPs are designed to launch new challenges, focusing on social benefits and a fast modernisation of associated sectors and markets. To this end, they must act in the entire research and innovation chain, try to rationalise, simplify and coordinate the existing initiatives and instruments, and try to complement the actions with new actions when necessary.

There is already a pilot EIP in the scope of Active and healthy ageing.

This EIP will focus on the implementation of innovation, in a broader scope than today, in areas such as health promotion, prevention, 37

early diagnosis and treatment, integrated and collaborating health and social services, independent life and supporting technologies for the elderly. The objectives set are:

38

G.3.3

Scheme of the EIT and the KICs

• To add two years to the average healthy lifespan in the EU by 2020.

EIT

• To improve older people’s quality of life and to lead to more efficient care solutions.

EUROPEAN INSTITUTE OF INNOVATION & TECHNOLOGY

EIT

EIT

EIT

Climate KIC

EIT ICT Labs

KIC InnoEnergy

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

PORTFASTFLU project “Portable automated test for fast detection and surveillance of influenza”. Biodonostia, Gaiker-IK4 and Ikerlan-IK4 are participating. Project co-funded by the FP7 and the MICINN. BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

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4

BASQUE PARTICIPATION IN THE EU SEVENTH FRAMEWORK PROGRAMME FOR R&D&i (FIRST PERIOD: 2007-2010)

4.1.

Introduction

4.2.

The results of the FP7 on a European level

4.3.

Spanish participation in the FP7 .........................................................

43

4.4.

Basque Participation in European R&D&i Programmes ......

Global results ......................................................................................................

Analysis of the evolution of Basque participation in the FP7 .

Traditional Activities and New Activities .............................................

Analysis by Theme/sub-programme ....................................................

Cooperation Programme ..............................................................................

Health .....................................................................................................................

Food, Agriculture and Fisheries and Biotechnology (KBBE) .....

Information and Communication Technologies (ICT) ...................

Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP) ..................................................

Energy .....................................................................................................................

Environment (including Climate Change) ...........................................

Transport (including Aeronautics and Air Transport) ....................

Other Themes: Socio-economic Sciences and Humanities, Space and Security ..........................................................................................

Research for the Benefit of SMEs ............................................................

Ideas Programme .............................................................................................

People Programme .........................................................................................

Capacities Programme (except Research for the Benefit of SMEs) ......................................................................................................................

Analysis by types of Basque Agents .....................................................

Conclusions ..........................................................................................................

45

4.4.1.

4.4.2.

4.4.2.1.

4.4.2.2.

4.4.2.2.1.

4.4.2.2.2.

4.4.2.2.3.

4.4.2.2.4.

4.4.2.2.5.

4.4.2.3.

4.4.2.4.

....................................................................................................... 42 ................................ 42

45 45 46 48 48 49 50 51 52 54 55 56 59 61 62 64 65 66 68

4.1.

Introduction In order to progress in the internationalisation of R&D&i, a true diagnosis of the current position of our Scientific-Technological and Industrial Agents on an international level is required. One way of performing this diagnosis is to identify the participation of Basque Agents in European R&D&i projects. To this end, the “Observatory of the Participation of Basque Entities in European R&D&i Projects” (referred to as Observatory hereafter) was created in 2005, which was managed by Eurobulegoa in the past and currently by Innobasque.

The Observatory (http://observatorio.innobasque.com) registers projects with the participation of Agents of the Basque Network for Science, Technology and Innovation which are funded by the main support programmes for R&D&i of the European Commission (EC), and first and foremost in the EU Seventh Framework Programme for R&D&i (FP7).

It is a database that has a private registration per Agent (bottom-up validation) and dumps the participation data when the project officially enters the negotiation phase with the EC. Innobasque, the Administrator, contrasts the data with the official information provided by the EC via the CDTI (top-down validation).

The detail of the information provided by our Agents allows for an expedite identification of their participation in Europe, facilitates the analysis of the participation status of the Basque Country in European R&D&i programmes, and permits contrasting the results with the challenges set in this Strategic Book.

The aim of this Chapter is to present the first results of participation in the FP7 during the 2007-2010 period on a European, Spanish and Basque level.

4.2.

The results of the FP7 on a European level According to the latest FP7 monitoring report1 published by the European Commission, the global statistics up to this date on a European level are impressive: 170 calls have been launched in the first three years (2007-2009) and 55,379 project proposals have been presented. Out of these proposals, 41,474 passed the formal eligibility criteria of their respective calls and 21.8% (9,121) were retained to initiate the negotiation process with the EC, which usually indicates that they will be funded. The average number of participants, in projects evaluated and projects in negotiation, is of 5.6. Around

(1) European Commission (2010): Third FP7 Monitoring Report (Monitoring Report 2009).

Brussels 13.07.2010.

42

13,300 participations in the negotiation process (32.7%) correspond to profit-based private organisations.

The success rates2 have slightly grown between 2007 and 2009, from just below a fifth to almost below a fourth, but there is an upward trend towards 25% mainly due to the slight drop in applications. The success rates vary significantly from one programme to another. The highest success rate is recorded by the People programme (32.2% of the average), followed by the Capacities (18%), Cooperation (16%) and Ideas (13%) programmes.

According to the information provided by the Commission, in these first three years SMEs represent 14.5% of all the participants that have signed Grant Agreements, 11% (1.8 billion euros) of the budget for projects and 11.3% (1.3 billion de euros) of the contribution requested by the EC. Almost two-thirds (63.6%) of the participation of SMEs are carried out in the Cooperation Programme and 27.4% in the Capacities programme, but there is almost no participation in the Ideas programme (3 out of 903). The participation of SMEs in the People Programme is, in general, low although it varies significantly between the different Marie Curie actions.

All Member States participate in the FP7 with different intensity. In terms of number of applications, the list is led by Germany, the United Kingdom, France, Italy and Spain. In terms of returns, Spain is sixth behind Germany, the United Kingdom, France, Italy and the Netherlands. The participation of candidate and associated countries is very heterogeneous, led by Switzerland, Norway and Israel.

It is worth mentioning that the aggregate public investment in research is similar in both sides of the Atlantic. In 2008, the government budget and appropriations or outlays for R&D ( GBAORD )3 in the EU reached 89.8 billion, which is slightly below the 96.8 billion euros reached by the USA. However, if the expense in Framework Programmes (the entire FP7 and the later stages of the FP6) of 6.4 billion euros is added, the EU budget of 96.2 billion is fairly close to the USA’s budget.

Another significant fact is that in spite of the Framework Programmes representing 6.7% of the total effort in public research (the increase in budget in the last years are closer to 10%), the annual budget of the FP7 exceeds the annual expense in research of all the Member States except for the largest five. In addition, the change in the dura-

(2) Success rate: percentage of projects that reach the negotiation phase with the EC, which is the ratio between the number of project proposals presented and those considered eligible in their respective call.

(3) The Statistics regarding Government budget and appropriations or outlays for R&D (GBAORD) intend to determine the financial resources that Public Authorities —central and autonomous— allocate to R&D activities by means of identifying the information in two stages: budgets approved by the Parliaments at the beginning of the budget year (initial credits) and final budgets revised and approved during the budget year (final credits). Source: Micinn.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.4.1

tion experienced in the FP7 has aligned the Framework Programmes with the duration of the Multi-annual Financial Framework (MFF), thus positioning research in a more explicit way in the centre of EU activity. A further strategic approach is also achieved by providing it a longer duration than previous Framework Programmes —from four to five years.

Spanish return in the FP7 by Theme/Programme (size according to the total budget for 2007-2013)

%UE-27 18 16 PYM

REG

14

The Community budget also supports research via Structural Funds, although an estimate of this complimentary funding cannot be carried out due to the regional and national differences in the use of these resources. Data obtained from the REGIO Directorate General suggests that around 50 billion euros were allocated to the support of research in the 2007-2013 period, which is comparable to FP7’s amount. Therefore, for some recipients it is a significant additional amount to the national funding of R&D.

ENE

12

NMP

10

POL

SEG

CYS ESP

6 INC 4

CSH

PER

BIO

8 MA IIN

7ICT

IDE TRS

SAL

POT

2 0 0

50

100

150

200

250

M€ 300

Source: CDTI.

4.3.

Spanish participation in the FP7 According to the latest information published in September 2011 by the Centre for Industrial Technological Development (CDTI)4, Spanish entities have obtained a return of 1,325.7 M€5 in the FP7. This return corresponds to 6.5% of the EU-27 in 2007, 7% in 2008, 8.2% in 2009 and 8.3% in 2010. Up to this date, 1,393 Spanish entities participate in 2,877 funded activities, out of which 806 are enterprises (76.2% SMEs). Enterprises, with 31% of the return, have obtained the best results, followed by Universities (21.9%) and Innovation and Technology Centres (10.5%) By priority in themes, the highest returns in absolute values are obtained in ICT (263.3 M€), People (157 M€), NMP (145.3 M€), Ideas (131.6 M€), Health (115.9 M€) and Energy (104 M€). Graph (G.4.1) reflects, in relative terms, the Spanish return by Theme/ Programme of the FP7 and compares the results to the total budget that the EC allocates to each Theme/Programme (2007-2013); it also shows (y-axis) the percentage of Spanish return with respect to the EU-27.

When analysing the graph, we can see how Themes/sub-programmes such as Regions of Knowledge, Research for the Benefit of SMEs and Energy represent over 12% of the total return of the EU-27.

ICT is the Theme with the highest return in Spain and it also represents the Theme, on a national level, with the highest percentage of the total budget allocated by the EC, despite being only 8% of the

(4) Global Report on the Seventh Framework Programme. Provisional results of Spanish participation (2007-2010). Update of Results. September of 2011.

(5) In addition, 10 Spanish entities would have obtained over 980 M€ (22.8%) in credits from the Investment Bank Group through the RSFF funded by the FP7.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

43

total return allocated by the EU-27. The same occurs with the Ideas Programme, which has a similar percentage than the ICT with respect to the EU-27 and the total budget allocated by the EC.

G.4.2

Results of the Autonomous Communities in the FP6 and FP7 FP6 Participation 2003-2006

Health and Transport are the fifth and seventh Theme in terms of return on a national level, respectively, but they only represent approximately 6% of the return of the EU-27.

It is worth mentioning that the SMEs sub-programme represents almost 14% of the total return allocated to the EU-27 in spite of not being one of the programmes with the highest return on a national level. The same occurs with the Regions of Knowledge sub-programme, which has a low budget in the FP7 but in which Spain has achieved extraordinary results representing 15% of the total return obtained by the EU-27.

Finally, NMP and Energy, third and sixth place in terms of return on a national level respectively, represent 10% and 13% of the total return allocated to the EU-27.

The Basque Country is still third in the ranking of regional participation in the FP7. By Autonomous Communities, Madrid (31%), Catalonia (28.9%) and the Basque Country (13.3%) stand out for their level of participation, globally representing over 73% of Spanish participations —see graph (G.4.2).

Rest 16.5% Andalusia 5.6%

Madrid 34.1%

A.C. of Valencia 8.4%

Basque Country 12% Catalonia 23.5%

FP7 Participation 2007-2009 Andalusia 6.1% A.C. of Valencia 6.3%

Galicia 2.3%

Basque Country 13.3%

With regard to the most representative entities, according to information of May of 2010, Tecnalia and IK-4 were ranked second and fourth, while the CSIC and the Instituto de Salud Carlos III were first and third, respectively. In the ranking of enterprises, Iberdrola was the sixth in terms of highest return. Lastly, there is no Basque University in the Top 10 ranking of Spanish Universities with highest return in the FP7.

Catalonia 28.9%

Madrid 31%

Others 12.2%

Navarra: 1.8% Castilla y Leon: 1.7% Aragon: 1.7% Cantabria: 1.6% Murcia: 1.4% Asturias: 1.4% Castilla-La Mancha: 0.8% The Canary Islands: 0.6% La Rioja: 0.6% Balearic Islands: 0.5% Extremadura: 0.1%

Source: CDTI.

44

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.4.3

Comparison between results and objectives in the FP7

195.8

200

180

180

Basque Participation in European R&D&i Programmes

4.4.1.

Global results During the first quarter of 2011, Innobasque consolidated —through the Observatory— the information on the participation of Basque Agents in the following European Programmes:

49.4%

160 140

195.8

8.8%

4.4.

131

120

• • • • •

100 80 60 40 20

EU Seventh Framework Programme for R&D&i (FP7).

Competitiveness and Innovation Framework Programme (CIP).

Research Fund for Coal and Steel (RFCS).

Ambient Assisted Living (AAL).

Research programmes in the Directorate General for Health & Consumers (DG SANCO).

0 FP6

FP7 (2007-2010) With respect to the FP6

FP7 Objective (2007-2010)

FP7 (2007-2010)

According to the Observatory, the global return obtained from 2007 to 2010 by Basque Agents in these programmes has amounted to 198.80 Million euros, out of which 96% corresponds to the returns obtained in the FP7 (190.74 M€); 5.03 M€ to the CIP; 2.31 M€ to the RFCS; 0.14 M€ to the AAL; and 0.58 M€ to the DG SANCO.

With respect to the Strategic Book

This return corresponds to a total of 661 participations by Basque entities in funded projects: 606 participations in the FP7, 34 participations in the CIP, 12 participations in the RFCS, 2 in the AAL and 7 in the DG SANCO. With a return of 195.77 Million euros obtained for the FP7 and the CIP, Basque Participation considerably surpasses the participation objectives set in the Strategic Book (180 M€) for the 2007-2010 period.

4.4.2.

Analysis of the evolution of Basque participation in the FP7 This section presents a detailed analysis by theme and type of entity of the participation results of the Basque Country in the FP7 during the 2007-2010 period.

Basque participation during the first period of the FP7 has improved with respect to the previous Framework Programme. When comparing the FP6 to the first period of the FP7, which both cover 4 years and have a similar budget (approximately 18,000 M€), we can see a significant increase in return, from 131 M€ to 190,74 M€. The number of participations is practically the same —from 632 participations in the FP6 to 606 in the FP7.

It is also worth highlighting that the aim set in 2006 for the FP7 and CIP in the Strategic Book for 2007-2010 has been exceeded in terms of return. The global return for this period has been of 195.77 M€, resulting in an 8.8% growth with respect to the objective of 180 M€.

The results obtained in this first period of the FP7 represent a growth

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

45

of 49.4% when compared to the results obtained during the FP6 —see graph (G.4.3).

The quantitative planning of the Basque Country’s activity in the FP7 was based on the obtainment of returns, the number of participations and leaderships in projects, and it differentiated between two periods (2007-2010 and 2011-2013). In addition to all this, it was structured in accordance with the tradition of participation of the most relevant technological sectors/areas for the Basque Country (classification Traditional Activities and New Activities); it established objectives in accordance with the Themes in the FP7 (classification

by Themes/sub-programmes); and it differentiated between objectives in accordance with the types of Agents (classification Sectorial /Technological). The following sections provide a detailed analysis in terms of these classifications.

4.4.2.1.

Traditional Activities and New Activities

G.4.4

FP6 and FP7 results against planning by type of Activity

195.77

200

180

180

157

160

152.81

140 120

131

121

100 80 60

42.96

40

10

20

23

0 FP6

FP7 Objective FP7 (2007-2010) (2007-2010)

FP6

Traditional Activities

FP7 Objective FP7 (2007-2010) (2007-2010) New Activities

FP6

FP7 Objective FP7 (2007-2010) (2007-2010)

Global Results 2007-2010

The global planning for participation in the FP7 and CIP of the Strategic Book differentiates Basque activity in two types: • Traditional Activities: areas in the Framework Programme in which the Basque Country traditionally participates, such as the Cooperation programme and the Research for the Benefit of SMEs sub-programme.

• New Activities: áreas nuevas como el programa Ideas en el FP7 y aquellos programasnew areas such as the Ideas programme in the FP7 and programmes with little participation up to now by the Basque Country such as the CIP programme, People programme or some sub-programmes within the Capacities programme.

Traditionally, the participation of the Basque Country in the Framework Programmes has been aimed mainly at carrying out cooperation projects in the scientific and technological scopes specified in Thematic Areas. Therefore, 86% of Basque participation during the FP6 was involved in cooperation projects in the Thematic Areas and in projects of Horizontal Research Activities Involving SMEs (Traditional Activities). It is obvious that the opportunities offered by areas in the FP6 different from these were not sufficiently exploited (the total return obtained by the Basque Country in these areas corresponds to 0.32% of the budget allocated to them by the EC). Some of these opportunities, such as the Marie Curie Programme, which encourages the mobility of researchers, could have received special involvement from Basque Science and Technology Agents.

For this reason, the main objective planned for the Basque Country’s activity in the FP7 regarding the Traditional Activities was to continue growing in the participation of projects, while putting special emphasis on consolidating the participation in emerging strategic areas for the Basque Country, such as Health, and growing significantly in all the Themes of the New Activities.

46

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

In this sense, although the global results obtained in the 2007-2010 period considerably exceed the objectives set and the New Activities experienced a significant growth in participation, the same cannot be said for the Traditional Activities (G.4.4).

As detailed in the following section, the return obtained in Traditional Activities is the result of the excellent participation of Basque Agents in most of the ten Themes of the Cooperation programme within the FP7, in spite of the results registered in the Research for the Benefit of SMEs sub-programme not reaching the objective set.

The most impressive growth has been achieved by some programmes within the New Activities, such as those whose participation was very low or almost inexistent: the People programme (returned in 2007-2010 over three times the objective set), Regions of Knowledge and Research Infrastructures. Basque Agents have also registered a very positive participation in newly created programmes within the FP7, such as the Ideas programmes, whose results double the objectives set.

such as the opportunities provided by carrying out of basic research programmes in the Ideas programme or the mobility of researchers to other European research centres through the People programme.

And the objective has been achieved: the return obtained in the Ideas programme (9.13 M€) is double the objective set (4 M€) and the People programme obtained a return of 20.35 M€ instead of the 6 M€ planned.

Likewise, the new CIP was presented in the Strategic Book as another great challenge of participation for Enterprises and Technology Centres in the development of projects related to enterprise innovation, ICTs and the Intelligent Energy Europe Programme. Although it has not yet reached the objective set for the first period (9 M€), participation has been positive (5.03 M€) especially in the ICT Policy Support Programme and the Entrepreneurship and Innovation programme. However, it is the Science and Technology Agents who mainly participate in projects funded by the CIP, with still very few Basque enterprises involved in funded projects.

The Strategic Book also suggested a growth in participation in these two types of Activities in accordance with the type of Actor.

The strategic objective set for Traditional Activities suggested that the enterprises recover their lost participation share in the previous Framework Programme. On the other hand, the strategy followed by Agents of the RVCTI should be based on consolidating the driving role of Technology Centres in the participation of enterprises, as well as the inclusion of new Science and Technology Agents that have not yet participated in European R&D&i. Lastly, an important challenge set for the FP7 was to achieve a significant increase in activity by the Basque Universities in projects.

In this sense, the results show the good performance of Technology Centres, whose participation in Traditional Activities (90,81 M€) has increased with respect to its already excellent participation in the FP6 (70 M€). Enterprises continue without recovering any participation share (33,73 M€ in the FP7 compared to the 44 M€ in the FP6 and an objective set at 56 M€).Lastly, the level of cooperation between Technology Centres and Enterprises6 in the FP7 is set at 26.16%, which means that a Basque Technology Centre and a Basque enterprise participate in approximately one out of each four projects approved.

With regard to the New Activities, the objective set was to significantly increase participation in these activities and that this action would focus especially on the role that Technology Centres and Basque Universities could play in programmes of strategic interest, (6) Percentage of TC-enterprise cooperation: number of projects funded in which a Technology Centre and a Basque enterprise participate with respect to the total number of participations

by Technology Centres.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

47

4.4.2.2.

Analysis by Theme/sub-programme In addition to the global objectives set for the participation of the Basque Country, the Strategic Book also establishes specific objectives in the FP7 by Theme and sub-programme. The results, in terms of return, during the 2007-2010 period and their comparison to the results in the FP6 and the objectives set in the Strategic Book for this period are detailed in graph (G.4.5).

In the Cooperación programme, 4 out of 10 Themes exceed the return objectives set: NMP, Energy, Environment and Space. ICT and Transport almost reach the objective (they obtain a return of 88% and 93% the objectives set, respectively). The KBBE and Security Themes are above 50% of the return planned (62% and 57%, respectively). Below 50% of the objectives set are two Themes: Socioeconomic Sciences and Humanities (36%) and Health (34%) With regard to the Capacities programme, the Research for the Benefit of SMEs sub-programme obtained a return of almost 60% of the objectives set in the Strategic Book. The positive Basque participation in the Research Infrastructures and Regions of Knowledge subprogrammes have helped surpass the objective set for the Capacities programme (except the objective set for Research for the Benefit of SMEs).

4.4.2.2.1.

G.4.5

Evolution of the Basque Participation in the FP7 by Theme/sub-programme

4.50 13

Health

4.43 1.77 6 3.74

KBBE

24.01 29 25.51

ICT

34.75 40

NMP

53.23 12.72 13

Energy

18.79 0.56 4

Environment

5.95 18.07 24 22.34

Transport

0.75 3 1.09

SCH

The positive results in the Ideas and People programmes are especially significant, and they considerably exceed the objectives set.

Space

The participation of the Basque Country in Programmes, Themes and sub-programmes in the FP7 are detailed below.

2 2.41

Security

5 2.86

Cooperation Programme This Specific Programme supports trans-national cooperation on all levels, in and out of the European Union, in a series of Themes that correspond to the main scopes of progress in knowledge and technologies and where it is convenient to support and strengthen research in order to overcome the social, economic, public health, environmental and industrial challenges that Europe faces.

17.25 18

SMEs

10.70 2.70 6

People

20.35 4

Ideas

9.13 14.18

Others (in FP7)

4 10.21 9

CIP

5.03 0

10

20

30 Return FP6

48

40 Objectives FP7

50

60 Return FP7

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

4.4.2.2.1.1.

G.4.6

Participation in the Health Theme Biotechnology, generic tools and technologies for human health

1.37

Research transferable in benefit of human health

0.69

Optimisation of health care services for European citizens

0.93

The main objectives of research in this Theme under the FP7 are the improvement of the European citizen’s health and the increase of competitiveness of industries and businesses related to health. The Health Theme is one of the main themes in the EC within the Cooperation programme and it is ranked second in terms of budget with a total of 6,100 M€ for the 2007-2013 period.

0.25

0.18 0.46

0.30

Other actions in the Health Theme

0.25

JTI.IMI Innovative Medicines Initiative 0

0.5

1

1.5

Enterprises

2 RVCTI

2.5

Health

3

Universities

The Basque Country obtains a return of 4.43 M€ for the 2007-2010 period (18 participations by Basque Agents in funded projects), which is a result very similar to that obtained during the FP6 (4.5 M€). However, it is the Theme whose results are furthest to the objectives set in the Strategic Book (13 M€ and 50 participations).

70% of the projects approved focus on 2 Sub-themes: Biotechnology, Generic Tools and Technologies for Human Health and Translating Research for Human Health —see graph (G.4.6).

>>

INFORMATION TO CONSIDER (Health Theme)

• There is a collaboration in projects between Agents of the RVCTI, although there has been no enterprise-RVCTI cooperation.

The Basque Agents participating in Health projects are varied. Most of the participation is carried out by Agents of the RVCTI (22.31% of the total return is obtained by Technology Centres, 9.80% by Universities, 18.93% by CRCs and 12.40% by hospitals), and there is a reduced participation by Enterprises (36.56% of the total return, thanks to the participation of 4 SMEs and a large enterprise).

• The leadership performed by Basque entities in project proposals is around 15%, a percentage that is lower in funded projects (2 RVCTI entities lead funded projects).

In addition, regarding ordinary calls in Health, the Innovative Medicines Initiative JTI has launched 3 calls in the past three years, in which 1 Basque SME has had success.

• In addition to the FP7, the participation of the Basque Health System in projects funded by the Directorate General for Health & Consumers (DG SANCO) is also worth mentioning with a global return of 0.58 M€ in European projects.

The return obtained by the Basque Country is 0.18% of the budget that the EC had already allocated to calls for the 2007-2010 period. It also represents 3.91% of the total obtained by Spain (115.9 M€). On the other hand, the total Spanish return in this Theme is 5.3% of the budget of the EC in Health, thus positioning it in seventh place among the countries that receive most funds (with the United Kingdom, Germany and France leading this ranking).

• Most of the Basque Agents whose projects are approved play a relevant role in them, something that can be inferred from the large amount of funding granted to each entity.

• The Basque success rate in Health is 18.18%.

Lastly, the CDTI7 has registered 99 participations by Basque Agents in project proposals presented during the 2007-2010 period, out of which 18 have received funding. The success rate of 18.18% places it below the average success rate for the Cooperation programme (24%)8. Out of the 75 project proposals with Basque participation accounted for by the CDTI, 11 were led by Basque entities (3 by Technology Centres, 4 by SMEs, 2 by Universities and 2 by Associations).

(7) The information provided by the CDTI in this and the remaining Themes dates back to June 2011.

(8) In the third monitoring report, the EC based the calculation of the Success rate on the number of eligible proposals, which are those that have met the eligibility requirements in their respective calls. Duplicated or rejected proposals of eligible proposals in the first stage of calls with two phases have not been considered.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

49

4.4.2.2.1.2.

Food, Agriculture and Fisheries and Biotechnology (KBBE)

G.4.7

KBBE has an allocated budget of 1,935 M€ in the Cooperation programme. The objective of this Theme focuses on creating a bioeconomy in Europe based on knowledge by bringing together scientists, industrialists and others interested parties in exploiting new and emerging research opportunities that tackle economic, environmental and social challenges.

Sustainable Production and Management of Biological Resources

The return obtained by the Basque Country in this theme represents 7.47% of the national return and 0.47% of the budget allocated by the EC. On the other hand, the total return of Spain (50 M€) represents 7.2% of the total budget allocated by the EC, placing it in sixth position in terms of return (the United Kingdom, the Netherlands and Germany are the leaders).

Basque participation is distributed among projects related to the sub-themes Life Sciences, Biotechnology and Biochemistry for Sustainable Non-food Products and in Processes and Sustainable Production and Management of Biological Resources from Land, Forest and Aquatic Environments —see graph (G.4.7).

2.27

Food (including seafood), Health and Well-being (farm to fork)

0.12

Life Sciences, Biotechnology and Biochemistry for Sustainable Non-food Products and Processes

KBBE is structured on three thematic pillars: Sustainable Production and Management of Biological Resources from Land, Forest and Aquatic Environments; Food (including seafood), Health and Wellbeing (farm to fork); and Life Sciences, Biotechnology and Biochemistry for Sustainable Non-food Products and Processes.

The Basque Country returns 3.74 M€ with 14 participations from Basque Agents in funded projects. These figures are far from the objectives set in the first edition of the Strategic Book for the 20072010 period (6 M€ and 35 participations).

Participation in the KBBE Theme

0.35

Other activities

0.8

0.20 0

0.5

1

1.5

2

2.5

Enterprises

>>

3 RVCTI

INFORMATION TO CONSIDER (KBBE Theme) • The Basque return obtained in 2007-2010 (3.74 M€) accounts for 60% of the return set in the Strategic Book (6 M€).

• The participation of Enterprises in project proposals presented stands out (37 participations by Enterprises, 33 are SMEs, 43.53% of the total participations), which however is lower than the proposals funded (2 participations by SMEs, 21.43% of the total participations).

• There is no enterprise-RVCTI collaboration.

• There is only 1 leadership in spite of 18.82% of the proposals presented with Basque participation were led by Basque Agents.

• The Basque success rate is 13.46%.

Most of the Basque participation is carried out by Technology Centres (11 participations with a return of 3,19 M€). Enterprise participation is very low. Only 2 Basque SMEs participate in 3 funded projects.

Lastly, the CDTI has registered 104 participations by Basque Agents in project proposals presented during the 2007-2010 period, out of which 14 have received funding. As a result, its success rate of 13.46% places it below the average success rate for the Cooperation programme (24%).

Out of the 85 project proposals with Basque participation accounted for by the CDTI, 16 were led by Basque entities (9 by Technology Centres and 7 by Enterprises, 6 of them SMEs). Out of the project proposals funded, only one is led by a Technology Centre.

50

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.4.8

4.4.2.2.1.3.

Participation in the ICT Theme

1

Components, systems and engineering Libraries and Digital Content 0.13

Mobility, environmental sustainability and energy efficiency

0.59 0.31

1.17

JTI. ARTEMIS, Embedded Computing Systems

3.18

1.75

• Production and innovation, by facilitating creativity and management.

• Modernisation of public services, such as health, education and transport.

• Progress in science and technology, by supporting cooperation and the access to information.

0.27

2.74

Pervasive and trustworthy network and 0.42 service infrastructures

0.32

3.33

Cognitive systems, Interaction and Robotics 0.55

Basque participation during the 2007-2010 period has increased (25.51 M€ and 103 participations). The total return exceeds the amount obtained in the FP6 (24.01 M€) and the participation objective set in the first version of the Strategic Book (100 participations), but it has not reached the objective established for return (29 M€).

1.24 0.62

Horizontal Support Actions

3.06

ICT for independent living and inclusion

The Basque return in ICT is 7.18% of the funding obtained by Spain (241.8 M€) and 0.47% of the total funding allocated by the EC during this period. On a national level, it is the Theme with the highest return in the FP7.

0.27

JTI. ENIAC, Nano-electronics Technologies Towards a Sustainable and Personalised Health Care

0.65 0

1

2 Enterprises

>>

With the largest budget in the FP7 (9,050 M€), the EC states that Information and Communication Technologies (ICTs) are key to improve the competitiveness of the European industry and to face the demands of society and the economy. Therefore, the ICTs must be a catalyst in 3 key areas:

3.36

Future and emerging technologies 0.54

Information and Communication Technologies (ICT)

3

4 RVCTI

5

6

Universities

INFORMATION TO CONSIDER (ICT Theme) • Basque participation in ICT has been growing throughout the first 4 years of the FP7, and with 103 participations and a return of 25.51 M€ it is close to reaching the objectives set in the Strategic Book (100 participations, 29 M€).

• The participation results of Agents of the RVCTI and Enterprises are positive.

• There are good results in leadership in both proposals presented (18.80%) and proposals approved.

• There is a good participation of Basque Agents in ARTEMIS and a notable collaboration between Basque Agents in projects funded by this JTI.

Something worth mentioning is the notable participation in the ARTEMIS JTI (Advanced Research and Technology for Embedded Intelligence and Systems). There are 31 participations by Basque entities in 19 projects approved by this JTI, and 2 of them are led by a large enterprise and a Technology Centre —both Basque.

With respect to sub-themes within the ICT Theme, the projects with Basque participation are distributed among very diverse sub-themes, mainly: Cognitive systems, Interaction and Robotics, Components, systems and engineering, Mobility, environmental sustainability and energy efficiency, Pervasive and trustworthy network and service infrastructures and ICT for Independent Living and Inclusion.

76.70% of Basque participation (70.21% return) is carried out by Agents of the RVCTI. Enterprises (7 SMEs, 6 large enterprises, 1 Business R&D Unit and a cluster) in funded proposals represent 17.48% of participation and 19.63% of return.

A positive aspect is the leadership in 15 projects by 8 Agents of the RVCTI and 3 enterprises.

According to the CDTI, 638 Basque participations have been accounted for in project proposals for the 2007-2010 period, which translates into a success rate of 20.6% for the ICT. Out of the 500 proposals with Basque participation that have been presented, 94 were led by Basque entities: 61 by Technology Centres, 19 by Enterprises (11 SMEs), 9 by Universities and 5 by Associations.

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4.4.2.2.1.4.

Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP) With a total budget of 3,475 M€, the research in NMP in the FP7 aims to improve the competitiveness of the European industry and create knowledge to guarantee a transformation from an industry that uses resources intensively to an industry that uses knowledge intensively through the creation of radical changes in knowledge and by applying decisive knowledge that allows for new applications in the dilemma between different technologies and disciplines. This will benefit both the new industries with higher added value in cutting-edge technology and the traditional knowledge-based industries, paying special attention to the suitable circulation of the research results and the technological development of the SMEs. These activities are mainly related to support technologies that have an effect on all the industrial sectors and in many other themes of the Seventh Framework Programme.

G.4.9

Participation in the NMP Theme Integration of technologies for industrial 1.05 applications

6.02

Materials 1.78

1 7.52

4.88

Nanosciences and Nanotechnologies

7.88 9.72

New Production 1.74

5.60

PPP Factories of the Future (FoF) 1.01

3

PPP Energy Efficient Buildings (EeB) 0.84 0

1.21

2

4

6 Enterprises

8

10 RVCTI

12

14

16

Universities

is the Theme which historically has had more Basque participation and returns in the Framework Programmes, and it continues to be this way in the FP7. Its return has grown in 33% (53.23 M€) with respect to the objective set in the Strategic Book for 2007-2010 (40 M€) and 53.18% with respect to the return in the FP6 (34,75 M€).

With regard to the number of participations, 146 Basque Agents have participated in funded projects when the objective set was to reach 135 participations, which is also a significant increase with respect to the 124 in the FP6.

NMP is the Theme with the highest participation of Basque enterprises in the FP7. From 2007 to 2010, there has been 52 enterprise participations, obtaining a total return of 11.28 M€. The participation of 34 SMEs and 10 large enterprises is also worth mentioning.

The participation of Agents of the RVCTI represents over 78% of the return obtained in NMP. Technology Centres obtain 87% of the total RVCTI return, and Tecnalia and IK-4 achieve basically the same proportion in participation and return.

With regard to participation by sub-themes, the number of participations is led by Production (36 participations, 11.5 M€) followed by Nanosciences and Nanotechnologies (37 participations, 14 M€), Materials (23 participations, 9.3 M€) and Integration of Technologies for Industrial Applications (21 participations, 8 M€).

There is a clear trend of participation of Technology Centres in the New Production sub-theme (23 participations, 9.41 M€), while in the other three main NMP sub-themes the participation is similar (Nanosciences and Nanotechnologies: 14 participations, 6.16 M€), Materials (12 participations, 7.25 M€), Integration of Technologies for Industrial Applications (11 participations, 5.09 M€). With regard to enterprise participation, there is also a higher participation in 52

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INFORMATION TO CONSIDER (NMP Theme) • This Theme registers the highest return and participation in the Basque Country. In 2007-2010, the return grew in 33% with respect to the objective set and 53% with respect to the FP6.

• The participation of Agents of the RVCTI represents over 78% of the return obtained in NMP. • It is the Theme with the highest participation of Basque enterprises (mainly SMEs).

• The leadership of projects is especially important (18% of the proposals, mainly led by Technology Centres).

• It is the Theme with the highest cooperation between Enterprises and Agents of the RVCTI. • There is a good positioning of Basque Agents in the Factories of the Future and Energy Efficient Buildings PPPs. • The success rate is 64.22%.

projects within the New Production sub-theme with 12 participations, out of which 8 are SMEs with a funding of 1.74 M€, followed by 15 participations (11 of them SMEs) in the Nanosciences and Nanotechnologies sub-theme (4.88 M€).

The positioning of our Agents in two Public-Private Partnerships (PPPs) is very important. The Factories of the Future PPP has had 19 participations by Basque entities in the first calls, obtaining a total return of 6.61 M€. The Energy Efficient Buildings PPP had 10 participations with a return of 3.84 M€.

Especially important is the leadership in this Theme. Out of the 146 participations, 27 are coordinated by Basque Agents (18%): 18 projects are led by members of the RVCTI (14 by Technology Centres) and 7 projects are led by Enterprises (6 SMEs) or Business R&D Units.

Another positive aspect is the cooperation between Enterprises and Agents of the RVCTI. NMP is the Theme in which there has been most collaboration between Basque Agents. Out of the 149 participations, Basque enterprises and Network Agents have cooperated on 30 occasions (20.13%).

The return obtained by the Basque Country with respect to the State is excellent; it represents 32.68% of the total return obtained by Spain for NMP. Spain obtains a return of 145.3 M€, which represents 9.5% of the budget allocated by the EC in this Theme and positions it in fifth place among the countries that receive most returns in NMP (Germany, the United Kingdom and Italy lead the ranking). Basque return, on the other hand, represents 2.75% of the total budget allocated by the EC to this date.

Lastly, the success rate is also impressive (64.22%). Out of the 232 project proposals presented with Basque participation, 149 participations have been approved.

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4.4.2.2.1.5.

Energy

G.4.10

With a total budget of 2,350 M€, the main aim of the research in Energy within the FP7 is to create and establish technologies to adapt the current energy system to a more sustainable, competitive and secure system that is less dependant on foreign fossil fuels and uses sources of renewable energy.

Participation in the Energy Theme

Energy saving and efficiency 0.37

0.97

Hydrogen and fuel cells Initiative

Knowledge aimed at preparing the energy policy

0.75

0.08

Generation of electricity from renewable sources

1.32

Renewable energy sources for heating and cooling

1.79

0.26 1.25

2.90

Smartgrids

Despite these positive results, there is a slight downward trend in participation throughout the 4-year period (2007: 15 participations and 7.12 M€; 2008: 6 participations and 0.84 M€; 2009: 14 participations and 6.54 M€; 2010: 9 participations and 4.29 M€).

1.86

0.42

JTI. FCH - Hydrogen and Fuel Cells Initiative 0.44

This return represents 17.15% of the national return. The Basque return, on the other hand, represents 1.88% of the total budget allocated by the EC to this date. Spain obtains a return of 104.2 M€, which represents 12.5% of the budget allocated by the EC and positions it in second place among the countries that receive most returns in Energy (Germany in first place and Denmark in third).

3.15

0.25

1.25

Horizontal Actions

The return of the Basque Country in Energy (18.79 M€) in the 20072010 exceeds the objective set in the Strategic Book (13 M€) and the return obtained in the FP6 (12.72 M€).

1.75

Production of fuel from renewable sources CO2 capture technologies and storage to generate electricity with close to no emission Clean carbon technologies

It is important to mention that Energy is the only Theme whose data on enterprise participation (19 participations, 7.06 M€) is practically equal to the participation of Agents of the RVCTI (19 participations, 6.54 M€). However, the collaboration between the Basque enterprise sector and the RVCTI is low.

With regard to enterprise participation, it is the large enterprises that mainly participate in funded projects (8 large enterprises with 17 participations in approved projects), obtaining 34.73% of the total return in Energy. The joint presence between these large enterprises in funded projects stands out.

With regard to the Agents of the RVCTI, the Technology Centres register 18 participations —obtaining 33.53% of the total return— and the Universities one participation.

The participation of 3 public entities in 5 projects with a return of 26.61% of the total projects related to energy efficiency in transport and SmartGrids in construction is worth mentioning.

The success rate is excellent —around 47%— and 44 Basque entities out of 93 participations have obtained funding. Out of the 64 proposals presented, Technology Centres have participated in 40 and Enterprises in 40 too. Despite these good results in participation, only 4 projects are led by Basque Agents. However, out of the 93 Basque participations, 15 were led by Basque entities.

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Transversal Actions

PPP Energy efficient Buildings (EeB) 0

1 Enterprises

>>

2 RVCTI

3 Universities

4

5

6

Others

INFORMATION TO CONSIDER (Energy Theme) • The return obtained by Basque Agents in Energy (18.79 M€) exceeds the objective set in the Strategic Book (13 M€).

• The participation of large enterprises and public institutions in this Theme stands out.

• There is an evident collaboration between Basque enterprises in large-scale projects.

• High success rate of 47%.

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4.4.2.2.1.6.

G.4.11

Participation in the Environment Theme

Observation of the Planet and evaluation aimed at a sustainable development 0.12

1.91

Sustainable management of natural 0.21 resources

0.19

2.04

0.10

Horizontal Actions

0.61

Climate change, pollution and risks 0

0,5

1

1,5 Enterprises

>>

The main objective of this Theme in the FP7 is to promote the sustainable management of natural resources by means of increasing the knowledge on the climate, biosphere, ecosystems and human activities, as well as the development of environmental services, technologies and tools. The EC has allocated a budget of 1,890 M€ for the entire duration of the FP7.

0.41

Environmental technologies 0.35

2 RVCTI

2,5

Environment (including Climate Change)

3

Others

INFORMATION TO CONSIDER (Environment Theme) • Interesting growth with respect to the participation in the FP6.

The participation from 2007 to 2010 exceeds the objectives set in the Strategic Book for this period.

• The higher participation in projects is carried out by Technology Centres.

• The few enterprises that have participated collaborate in all cases with Agents of the RVCTI

This Theme has experienced an interesting growth in comparison to the Basque participation obtained in the FP6. While participation in the FP6 was rather low (6 participations, 0.56 M€), the participation has increased during the 2007-2010 period of the FP7, reaching a total return of 5.95 M€ with 26 participations by Basque Agents.

These results exceed the objectives set in the Strategic Book (25 participations, 4 M€).

The highest participation in projects (18) has been carried out by Agents of the RVCTI, with a return of 85% in this Theme and an 88% participation by Technology Centres. From the enterprise sector, 4 SMEs, a large enterprise and a cluster have participated. It is worth mentioning that these enterprise organisations participate in all the cases with Technology Centres. Lastly, two public institutions participated in the development of a project.

The themes of the projects approved focus on 2 areas: sustainable management of natural resources (water, waste and soils) and environmental technologies (water, air, waste and construction materials).

The return obtained by the Basque Country with respect to the State is 12.20% and 0.72% of the budget allocated by the EC from 2007 to 2010. Spain obtained a return of 49.9 M€, which represents 6.9% of the total budget allocated by the EC and positions it in sixth place among the countries that receive most returns (Germany, the United Kingdom and the Netherlands lead the ranking).

The success rate in this Theme is 20.63% (126 participations by Basque entities in project proposals presented against 26 participations in funded projects). In 20 cases, the project proposals presented were led by Basque Agents (15 by Technology Centres and 3

by SMEs). Out of the 26 participations by Basque entities in funded projects, two are led by a Technology Centre.

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4.4.2.2.1.7.

Transport (including Aeronautics and Air Transport) The European transport system is an essential element in European social and economic prosperity. Its role is crucial when it comes to the transport of people and goods in an international, European, national, regional and local context. This Theme will cover some of the current challenges recognised in the Transport White Paper, and it is aimed at enhancing the contribution of the transport systems to society and industrial competitiveness within the broadened European Union and minimising the negative consequences and effects of transport in regards to the environment, energy consumption, security and public health.

Based on the operative and technological progress and the European policy on transport, the aim of this Theme is: i) to develop safer, more ecological and more intelligent pan-European integrated transport systems —for the benefit of the citizens, society and climate policy— that respect the environment and natural resources; and ii) to maintain and further the competitiveness reached by the European industry in the worldwide market.

G.4.12

Participation in the Transport Theme

6.88

3.07

Aeronautics and space

1.41

PPP. Green Cars

Sustainable surface transport (ROAD) 0.45

0.31

1.19 1.28

Horizontal activities for implementation of the transport programme 0.50 0.17

1.52

JTI. Clean Sky 0.80

2.72

Sustainable surface transport (RAIL) 0.38

1.26

Support to the European system of satellite navigation (Galileo and EGNOS) 0.24 0.15 Sustainable surface transport (WATERBORNE) 0

2 Enterprises

4 RVCTI

6 Universities

8

10

12

Others

The main objective of the research on Transport in the FP7 is to develop safer, more ecological and more intelligent transport systems for Europe that will benefit the citizens, respect the environment, and increase the competitiveness of the European industry in the worldwide market. The budget allocated by the EC for this Theme is the third highest amount (4,160 M€).

The results of Basque participation in Transport are positive (76 participations, 22.34 M€), and improve on the results of participation obtained in the FP6 (67 participations, 18.07 M€), although they do not reach the objectives set in the Strategic Book for the 2007-2010 period (87 participations, 24 M€).

The participation of enterprises in Transport is notable (37% of the total participations and 29.63% of the total return in this theme), especially due to the presence of 5 large enterprises in Aeronautics projects, the Green Cars PPP and the Clean Sky JTI. The highest number of participations by Basque Agents is concentrated in Aeronautics projects (33 participations, 10.25 M€), followed by Road (8 participations, 1.73 M€), Rail (8 participations, 1.65 M€) and Horizontal Activities for implementation of the Transport programme (5 participations, 2.19 M€). There are no participations in Waterborne Transport. In addition, the participation in the Clean Sky JTI (13 participations, 3.52 M€) and the Green Cars PPP (7 participations, 2.6 M€) is worth highlighting. Two participations correspond to the Galileo Programme (0.39 M€).

The Technology Centres have the highest participation in Aeronautics with 16 participations and a return of 6.9 M€. The cooperation between Basque enterprises and Technology Centres in Aeronautics 56

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CIVITAS-ARCHIMEDES project: “Achieving Real Change with Innovative Transport Measures Demonstrating Energy Savings”. The Tram Company of San Sebastian, the City Hall of San Sebastian and the University of the Basque Country are participating.

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projects is clear. The collaboration of two large enterprises in most of their projects with Technology Centres stands out.

Out of the 33 participations in Aeronautics projects, the positive participation of Basque entities in the Clean Sky JTI with 5 Technology Centres and two large enterprises participating in 9 projects funded via this initiative (return of 3.52 M€) is also worth highlighting.

The Basque participation in land Transport is lower, with 3 Technology Centres and 4 enterprises participating in the Road project and 4 Technology Centres and a large enterprise participating in the Rail project.

Lastly, the significant participation of Basque Agents in the Green Cars PPP with 3 Enterprises and 3 Technology Centres participating in 6 projects funded by this initiative and a total return of 2.6 M€ is worth mentioning.

The return obtained by the Basque Country with respect to the total return of Spain in Transport is one of the highest (26.98%), together with NMP and Energy. The Basque return, on the other hand, represents 1.46% of the total budget allocated by the EC to this date.

Spain obtains a return of 85.7 M€ in Transport, which represents 6% of the budget allocated by the EC and positions it in seventh place among the countries with most return (Germany, France and the United Kingdom lead the ranking).

>>

INFORMATION TO CONSIDER (Transport Theme) • The results of Basque participation in Transport are positive (76 participations, 22.34 M€) and are better than the results of participation obtained in the FP6, although they do not reach the objectives set for the 2007-2010 period (87 participations, 24 M€).

• The highest number of participations by Basque Agents is concentrated in Aeronautics projects and the Clean Sky JTI, followed by the Green Cars PPP, Road and Rail. There are no projects approved in the Waterborne Transport sub-theme.

• Enterprise participation in Transport is notable especially due to the presence of large enterprises in Aeronautics projects, the Green Cars PPP and the Clean Sky JTI. • The cooperation between large enterprises and Technology Centres in most of the Aeronautics projects is clear.

• High success rate of 41.19%

The success rate of Basque proposals presented is of 41.19%, where 39 participations by Basque Agents were funded against 93 participations of projects presented.

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4.4.2.2.1.8.

G.4.13

Participation in the SSH Theme

Growth, employment and competitiveness in a knowledge-based society

These are 3 themes within the Cooperation programme of the FP7 with the lowest budget and whose Basque participation has been low too.

0.43

The main tendencies of society and their implications

Other Themes: Socio-economic Sciences and Humanities, Space and Security

0.41

• Socio-economic Sciences and Humanities (SSH)

The citizen in the European Union 0.03

0.21

The Socio-economic Sciences and Humanities Theme has been a scope in which many entities have expressed their interest in participating. In fact, the number of project proposals presented with Basque participation is high (69 participations) with respect to the low number of Basque participations in projects approved (5). On the other hand, it is a Theme with a low budget (623 M€) and very few topics which are very restricted, thus making it difficult to fit the ideas of many of these entities.

The combination of economic, social and environmental objectives with a European perspective Europe in the world

Socio-economical and scientific indicators

Prospective activities

Strategic Activities 0

0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.50 Enterprises

Universities

The aim of this Theme in the FP7 is the creation of a shared and deep knowledge of the socio-economic and interrelated challenges that Europe faces. The research in this Theme will help study and obtain answers to questions related to: • Growth, employment and competitiveness.

• The challenges regarding social, cultural and educational cohesion in a broadened European Union.

• The challenges of sustainability, the environment, demographic change, migration and integration, quality of life and interdependence.

Compared to the participation results in the FP6 (9 participations, 0.75 M€) we could say that it is a Theme where participation does not improve (5 participations and a return of 1.09 M€, while the objectives set for 2007-2010 in the Strategic Book were 24 participations and 3 M€).

Two Universities and an association are benefiting from the projects approved in this Socio-economic Sciences and Humanities Theme in the 2007-2010 period.

The Basque return represents 7.33% of the total national return for this Theme and 0.31% of the total budget allocated by the EC up to this moment. Spain obtains a return of 11.6 M€, which represents 4.7% of the budget allocated by the EC in this Theme and positions it in seventh place among the countries that receive most returns (the United Kingdom, Germany and Italy lead the ranking).

• Space It is a new Theme in the FP7 which had been included in Transport in previous Framework Programmes. The total budget in the FP7 for this Theme is 1,430 M€. The aim of this Theme in the FP7 is to support the European Space Programme by focusing on applications such as the Global Monitoring for Environment and Security (GMES) in the interest of the citizens and in view of the competitiveness of the European

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space industry This activity intends to contribute to the development of a European Space Programme, complementing the effort of the Member States and other key actors, including the European Space Agency (ESA).

G.4.14

Participation in the Space Theme

Transversal Activities 0.22

With 8 participations by Basque entities and a total funding of 2.41 M€, the objectives set in the Strategic Book for the 2007-2010 period (7 participations, 2 M€) have been achieved. These results are due to the excellent participation of two Technology Centres.

Space applications for the benefit of the European society

0.47

RTD to strengthen the bases of the space sector

1.73 0

0.20 0.40 0.60 0.80 1.00 1.20 1.40 1.60 1.80 2.00

The return in this Theme is 12.07% of the total funding of Spain in this period. In addition, it represents 0.79% of the budget allocated by the EC.

RVCTI

Out of the 16 Basque participations in project proposals, 8 have been approved (success rate of 50%).

• Security This is a new Theme in the FP7 and it has a total budget of 1,400 M€.

The objectives of this Theme in the FP7 are:

G.4.15

Participation in the Security Theme

The participation of Basque Agents are beginning to become present in this Theme in spite of the results for 2007-2010 (13 participations, 2.86 M€) not reaching the objectives set in the Strategic Book (20 participations, 5 M€).

0.18

0.61

Citizen security

• To develop the technologies and knowledge for building the capabilities needed to ensure the security of citizens from threats such as terrorism, natural disasters, and crime, while respecting fundamental human rights and 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, improving the competitiveness of the European security industry and delivering mission-oriented research results to reduce security gaps.

Security of infrastructures and public 0.09 enterprises Security system integration, interconnectivity and interoperability

0.09

1.17

0.05 0.07

Smart monitoring and border security

0.59

Science in society Coordination and structuring of the research on security

0.01

Re-establishing security and the protection in cases of crisis 0

0.20

0.40

0.60

Enterprises

0.80 RVCTI

1.00

1.20

1.40

Universities

Technology Centres register most of the participations (9 participations, 2.07 M€) and in different sub-themes: security of citizens; security of infrastructures; border security; improving security systems integration, interconnectivity and interoperability; and security and society. 2 SMEs and a large enterprise also obtain funding for their projects —see graph (G.4.15).

The return obtained by the Basque Country represents 6.6% of the total national return and 0.55% of the total budget allocated by the EC. Spain obtains a return of 43.5 M€ , which represents 5.3% of the total budget allocated by the EC and positions it in fifth place among the countries that receive most returns (France, the United Kingdom and Italy lead the ranking).

The success rate is 20%, where 13 participations by Basque Agents were funded against 65 participations of projects presented.

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INFORMATION TO CONSIDER (Research for the Benefit of SMEs) • Basque participation in the FP7 drops with respect to the FP6 and it does not meet the objectives set in the Strategic Book.

• Spain is the second country of the EU-27 that obtains the highest return in this programme (43.5 M€). Basque return represents 9.08% of the total obtained by Spain.

• This programme allows enterprises without the capacity for carrying out their own R&D&i to subcontract the so-called RTD performers (usually research centres or universities). In this sense, there is collaboration between Basque enterprises and Technology Centres in 33% of the cases.

• The success rate is almost 17%.

4.4.2.2.2.

Research for the Benefit of SMEs This programme is aimed at those SMEs without the capacity for carrying out their own R&D&i and that need to subcontract third parties; it has a very interesting funding scheme both for enterprises and for the so-called RTD performers.

The aim of this programme in the FP7 is to reinforce the innovative capacity of SMEs in Europe and their contribution to the development of technology-based new products and markets. This programme is allocated a total budget of 1,336 M€. The programme will help them outsource research, increase their efforts in research, expand their networks, exploit the research results in a better way and acquire technological Know-how, thus bringing research closer to innovation. The SMEs represent 99% of the enterprises in Europe and contribute in over two thirds of the European GDP, providing 75 million job positions in the private sector. Therefore, the SMEs are key in the implementation of the renewed Lisbon Strategy for economical and employment growth.

Despite the expectations of high Basque participation in this programme, as it already happened in the FP6, Basque participation for the 2007-2010 has not met these expectations. Participation results (55 participations, 10.70 M€) do not reach the results obtained in the FP6 (116 participations, 17.25 M€) or the objectives set in the Strategic Book (122 participations,18 M€).

There are 24 participations by Basque SMEs (4.23 M€), two large enterprises (0.31 M€), one Business R&D Unit (0.17 M€) and 3 participations by a cluster (0.85 M€).

A significant fact when analysing the participation in this programme is the degree of local cooperation between SMEs and the so-called RTD performers. Out of the 24 participations by SMEs, 8 subcontract Basque Technology Centres as RTD performers. The remaining Enterprises with approved projects in this programme collaborate with Agents which are not in the Basque Country. On the other hand, there are 14 participations from Technology Centres in projects where there is no collaboration with Basque enterprises.

The return in the SMEs programme is 9.08% of the total funding of Spain in this period. In addition, it represents 1.12% of the budget allocated by the EC. Spain obtains a return of 43.5 M€ in this programme, which represents 13.8% of the budget allocated by the EC and positions it in second place among the countries that receive most returns (the United Kingdom leads and Italy is third).

Out of the 325 Basque participations in project proposals, 55 have obtained funding from the EC (success rate of 16.92%). 22 project proposals were led by Enterprises and 49 by Technology Centres. Out of all of them, 10 projects led by Basque entities were approved.

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4.4.2.2.3.

Ideas Programme The investigator-driven frontier research carried out by the initiative of the researchers within the framework of activities known commonly as fundamental research is a key driving force of wealth and social progress as it opens new opportunities for scientific and technological progress, and it can be used to produce new knowledge in future applications and markets.

>>

INFORMATION TO CONSIDER (Ideas Programme) • This programme has been newly created in the FP7 and its Basque participation has been most impressive. The Basque Country obtains over double the objective set for return in the 2007-2010 period in the Strategic Book.

Despite the achievements and the high level of performance reached in many fields, Europe does not take maximum advantage of its research resources and potential, and it urgently needs to reach a greater capacity for generating knowledge and turn this knowledge into economic and social value and into growth.

The aim of the Ideas programme is to enhance the dynamism, creativity and excellence of 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, providing a competitive funding structure on a European level (that complements and does not replace national funding) for the investigator-driven frontier research carried out by independent teams. The communication and circulation of the results from the research are important aspects of this programme. To meet these objectives, the EC has allocated a budget of 7,510 M€ for the entire duration of the FP7.

Basque Participation in this Programme is excellent. The Basque Country obtains over double the objective set for return in the 20072010 period in the Strategic Book; the total funding obtained is 9.13 M€, while the objective set was 4 M€. The participation has also grown throughout these 4 years.

Out of the 16 participations by Basque entities in project proposals presented, 6 have been funded (success rate of 37.50%). The entities that participate in approved projects are Agents of the RVCTI (University, CRC and BERC).

The return obtained by the Basque Country represents 1.72% of the national return and 0.10% of the budget allocated by the EC up to this date. Spain obtains a return of 96.7 M€, which represents 6.9% of the total budget allocated by the EC and positions it in seventh place among the countries that receive most returns (the United Kingdom, France and Germany lead the ranking).

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CHAMALEON project: “Production Dependent Adaptive Machine-Tool”. Ideko-IK4, Soraluce, Fagor-Aotek, Goialde and Tekniker-IK4 are participating.

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4.4.2.2.4.

People Programme The Marie Curie Actions have been one of the most popular and valued mechanisms of the community Framework Programmes for technological and research development. The aim of these actions has developed significantly in time, what started as a mere grant programme to facilitate mobility is now a programme aimed at promoting the professional development of researchers. Marie Curie Actions base their success on the response given to the needs of the European scientific community regarding matters such as training, mobility and their professional development. The total budget allocated by the EC for the FP7 is 4,750 M€.

>>

INFORMATION TO CONSIDER (People Programme) • Basque participation in the People Programme is also excellent.

Following a low participation in the FP6, Basque participation in the FP7 exceeds three times the objective set in the Strategic Book.

The objective of the People programme is to consolidate, both quantitatively and qualitatively, the human potential in research and technology in Europe. The programme aims to stimulate research training for young people, encourage European researchers to stay in Europe and attract researchers from the entire world to Europe; in other words, make Europe more attractive for the best researchers.

The programme plans to achieve this objective by implementing a significant amount of Marie Curie actions while especially considering the European added value with respect to its positive effect in the structuring of the European research area.

Basque participation in the People Programme is also excellent. Despite a low participation in the Marie Curie programme included in the FP6 (2.7 M€), Basque participation in the first period of the FP7 (2007-2010) is three times (20.35 M€) the objective planned in the Strategic Book (6 M€), thanks to the 36 participations by Basque entities. The considerable participation of some Agents of the RVCTI in this programme is noteworthy.

Most of the projects approved belong to the Marie Curie Actions for the Initial Training Networks (ITN), Intra-European Fellowships for Career Development (IEF), Industry-Academia Partnerships and Pathways (IAPP) and International Research Staff Exchange Scheme (IRSES).

The return obtained by the Basque Country represents 16.72% of the national return and 1.44% of the budget allocated by the EC up to this date. Spain obtains a return of 117.5 M€, which represents 9.5% of the total budget allocated by the EC and positions it in fourth place among the countries that receive most returns (the United Kingdom, Germany and France lead the ranking).

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

4.4.2.2.5.

Capacities Programme (except Research for the Benefit of SMEs) The Strategic Book set a global objective for return of 4 M€ in the 2007-2010 period for all the sub-programmes of the Capacities programme, bar the sub-programme Research for the Benefit of SMEs. The results in this period have considerably exceeded the expectations —a total return of 7.10 M€ with 51 participations by Basque Agents. The total budget allocated by the EC to carry out these sub-programmes within the Capacities programme amounts to 2,761 M€. The results of each programme are detailed below:

There are no Basque participations in the Research potential (340 M€) and Support to the Coherent Development of Research Policies (70 M€) sub-programmes.

• Research infrastructures The main objective of this programme in the FP7 (1,715 M€) is to optimise the use and development of the existing research infrastructures in Europe. It is also aimed at creating new research infrastructures of pan-European interest in all fields of science and technology. The European scientific community needs them to face the progress of technology, and they will help the industry strengthen its technological knowledge base and knowhow.

With a return of 3.5 M€, there is 12 Basque participations among the projects approved.

Out of the 20 participations by Basque entities in project proposals presented, 12 have been funded (success rate of 60%).

• Regions of Knowledge Spain is the country in the EU-27 that obtains the highest return (4.6 M€) in this low budget sub-programme (126 M€).

The cooperation between the 18 Basque participations in all the approved projects stands out.

Out of the 48 participations by Basque entities in project proposals presented, 18 have been funded (success rate of 37.5%).

• Other sub-programmes: Science in Society, Research potential and International Cooperation Actions Within the Science in Society sub-programme (330 M€) there are 6 participations (0.51 M€) in 4 projects.

Within the International Cooperation Actions sub-programme (180 M€) there are 2 participations by Basque entities.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

65

4.4.2.3.

Analysis by types of Basque Agents In this section, an analysis is carried out of Basque participation by types of Agent. To this end, the participation information has been classified according to the following groups:

T.4.1

The 20 most representative Basque entities in the FP7 (listed by amount of return) No. of particip.

• Enterprises: this term groups SMEs, Large Enterprises and Business R&D Units.

IK-4

97

18

• Universities: this term groups the University of the Basque Country (UPV/EHU), the University of Deusto and the University of Mondragon. The Higher School of Engineering of Navarra located in Guipuzcoa has no participation in 2007-2010.

UPV/EHU

48

25

Ikerbasque

2

2

CIC Nanogune

12

9

Grupo Iberdrola

15

1

• Science and Technology Agents (STAs): this term groups all the organisations belonging to the Basque Science, Technology and Innovation Network, except Universities and Business R&D Units.

Grupo Mondragón

13

1

ITP - Industria de Turbo Propulsores

9

0

VISESA - Vivienda y Suelo de Euskadi

2

0

CIC biomaGUNE

8

3

Grupo Innovalia

8

5

In addition to these three groups, this section also includes the participation results of Basque Public Institutions that participate in FP7 projects.

In general terms, 58% of the participation corresponds to Agents of the RVCTI (63.7% return). The enterprise sector represents 29% of the participations (22.7% of the total return), the Universities 10% of the participations (8.7% of the returns) and Public Institutions 3% (4.9% of the returns).

The strategy followed by the Agents of the RVCTI and set in the Strategic Book was based on continuing the excellent participation of Technology Centres, in consolidating their driving role in the participation of Enterprises, and the inclusion of new Science and Technology Agents that have not yet participated in European R&D&i.

192

Leaderships

Tecnalia

39

CTA - Centro de Tecnologías Aeronáuticas

6

0

Bizkaia Xede

1

0

Ibermatica

3

2

Donostiako Udala - Ayuntamiento de San Sebastián

1

0

BCAM - Basque Center for Applied Mathematics

1

1

Ayuntamiento de Vitoria-Gasteiz

2

0

Progenika

3

0

CEGASA - Celaya, Emparanza y Galdós

5

1

INGEMA

6

0

Agents of the RVCTI obtained a total return of 121.55 M€, thus improving the objective set for this first period (90 M€) and surpassing the supremacy set in the Strategic Book of maintaining a share of 50% of the results obtained by all the Basque Agents.

The Technology Centres of Technology Corporations IK-4 and Tecnalia are the main participants. The participation of Tecnalia in FP7 projects represents 31.7% of the total participations in the Basque Country and 33.7% of the global return obtained. The technology corporation IK-4 represents 16% of the participations and 17.2% of the global return obtained in the Basque Country.

The strategy of consolidating the driving role of Technology Centres in the participation of enterprises is becoming evident, at least in the projects finally funded by the EC. Lastly, the level of cooperation between Technology Centres and Enterprises9 is currently set in the

(9) Percentage of TC-enterprise cooperation: number of projects funded in which a Technology Centre and a Basque enterprise participate with respect to the total number of participations

by Technology Centres.

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

T.4.2

No. of particip.

T.4.3

FP7 at 26.16%, which means that a Basque Technology Centre and a Basque enterprise participate in approximately one out of each four approved projects.

The 15 most representative Agents of the RVCTI in the FP7 (listed by amount of return) Leaderships

UPV/EHU

48

25

Inasmet

35

13

Labein

37

9

Fatronik

29

5

Tekniker

23

4

Ikerbasque

2

2

Robotiker

27

3

Tecnalia Corporación Tecnológica, A.I.E.

4

1

CIDETEC

16

3

IKERLAN

15

3

GAIKER

15

1

CIC Nanogune

12

6

ESI - European Software Institute

22

2

CEIT

13

2

AZTI

14

1

The 15 most representative Basque enterprises* in the FP7 (listed by amount of return) No. of particip.

Leaderships

Iberdrola Distribución Eléctrica

8

1

ITP - Industria de Turbo Propulsores

9

0

Ibermatica

3

2

Progenika

3

0

CEGASA

5

1

Gaia

8

0

Asociación Innovalia

3

0

Fagor Electrodomésticos

3

0

Innoprot

2

0

Aernnova Engineering Solutions

3

0

Estarta Rectificadora

2

0

Dominion Pharmakine

1

0

Proteomika

2

0

Noray Bioinformatics

2

0

Microliquid

2

0

* SMEs, large enterprises, Business R&D Units, clusters.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

The objective set of new Agents of the RVCTI starting to participate in the FP7 during this period has been met. Clear evidence of this is the positive launch of some CRCs (representing 3.80% of the participations and 4.20% of the return). The participation of some BERCs is also taking place in the FP7 (3% of the participations and 1.38% of the total return). Lastly, it is worth noting how the Basque Health System is starting to internationalise its research by participating in 5 projects funded by the FP7 and 6 by the programmes in the DG SANCO. The objective set for Basque Universities was focused on achieving a significant increase of its activity in the FP7. An objective of 22 M€ of return was set, which was not reached (16.59 M€), but a significant rise in activity has been noticed with respect to the FP6 (10 M€), especially in the Ideas and People programmes (the objective for New Activities of 7 M€ has been exceeded by obtaining a return of 9.09 M€). It is worth mentioning that 83% of the participations in funded projects are carried out by the University of the Basque Country (UPV/EHU).

As in Europe, the presence of Basque enterprises in the latest Framework Programmes has suffered a progressive downturn, from a participation of 61.6% during the FP4 (48% in return) to 34% during the FP6 (32% in return). It is therefore that one of the main challenges set in the Strategic Book for the FP7 was that Enterprises recovered their share of participation.

However, the information for the 2007-2010 period establishes that the participation of Enterprises continues to drop in the FP7. The participation of Enterprises is 22.7% of the global return in the Basque Country (43.22 M€) while the objective set for 2007-2010 was of 33% (56 M€).

Despite the number of participations by Enterprises in the FP7 (177 participations) has been lower than in the FP6 (223 participations), the return for the 2007-2010 period (43.05 M€) is slightly higher than the return obtained in the FP6 (42.73 M€).

The participation of Public Institutions represents a significant 3% of the total (4.9% of return), and they are involved in many different programmes such as ERA-NETs, projects with themes related to sustainable construction or energy efficiency in transport, projects within the Regions of Knowledge or initiatives related to the mobility of researchers via the People programme.

Finally, another interesting indicator is knowing which Agents coordinate or lead projects in the FP7. The general data indicates that the leadership is of 19.80%, which is an improvement compared to the 67

leadership results in the FP6 (13%), but it has still not reached the percentage achieved in the FP5 (25%). Out of the 606 participations

by Basque Agents during the first period, 120 projects are led by Basque Agents —mainly led by Technology Centres belonging to the Technology Corporations IK-4 and Tecnalia and the University of the Basque Country (UPV/EHU).

4.4.2.4.

Conclusions The participation of Basque Agents in projects funded by the EU Seventh Framework Programme for R&D&i (FP7) during the 2007-2010 period exceeds the expectations set in the Strategic Book of Basque R&D&i in Europe.

The Basque Country obtained a total return in the FP7 and CIP of 195.77 M€, out of which 5.03 M€ correspond to the CIP. Basque entities obtained returns amounting to 190.74 M€ in the FP7, with 606 participations in funded projects. Therefore, Basque participation has grown 49.4% with respect to the return obtained during the Sixth Framework Programme (131 M€), exceeding in 8.8% the objective set at 180 M€ in the Strategic Book for the entire FP7 and CIP. The partial objectives for participation set in the Strategic Book by Theme/sub-programme are met for NMP, Energy, Environment, Space, Ideas, People and Capacities (bar the Research for the Benefit of SMEs sub-programme). The objectives set for ICT and Transport have almost been achieved. The Themes KBBE and Security are above 50% of the return established, and below 50% of the objectives set are two Themes: Socio-economic Sciences and Humanities and Health. The Research for the Benefit of SMEs programme is the only programme that has suffered a downturn in Basque participation with respect to the FP6.

The highest growth registered in Basque participation has been achieved in the Themes/sub-programmes: People (exceeding in three times the objectives set), Ideas (double the objectives set), NMP (growing 33% in return), Research infrastructures and Regions of Knowledge.

The positioning of Basque Agents, especially of Technology Centres, in new initiatives such as the Joint Tecnology Initiatives (JTIs) and the Public-Private Partnerships (PPPs) stands out. The participation in projects related to Factories of the Future and Energy Efficient Buildings PPPs and the ARTEMIS JTI is also noteworthy.

Enterprise participation (50% of the participations are carried out

by SMEs) focuses mainly on NMP, Aeronautics, ICT and Research for the Benefit of SMEs. However, the return obtained by Basque enterprises (43.05 M€) does not reach the objectives set in the Strategic Book (60 M€). Encouraging the participation of new enterprises is

68

essential, especially those with a background in R&D projects, which are local, national or even those that have participated in trans-national cooperation projects (ERA-NET, EKAs, etc.), via new actions such as: • Supporting enterprises in the internationalisation of their research and innovation activities (from local individual/cooperation projects —> to trans-national projects in the ERA-NET —> to international cooperation projects in the FP7).

• Launching training Courses of European R&D&i project managers.

• Encouraging Enterprise-RVCTI cooperation.

• Enterprises with high participation in the FP7 serving as a driving force for SMEs. With regard to the strategy of consolidating the driving role of Technology Centres in the participation of Enterprises, this fact is becoming evident. The percentage of cooperation between Technology Centres and Enterprises10 is currently set in the FP7 at 26.16%, which means that a Basque Technology Centre and a Basque enterprise participate in approximately one out of each four approved projects.

With regard to the RVCTI, the participation of Technology Centres represents 48% of the total return and 50% of the Basque participations obtained during this period. It is worth mentioning that the University of the Basque Country (UPV/EHU) has experienced a significant growth in its participation in the FP7 (7.85% of the total return) with respect to the FP6. Some CRCs are already starting to participate in projects within the FP7, highlighting the participation of the nanoGUNE and biomaGUNE CRCs. It is also worth mentioning how the Basque Health System internationalises its research by participating in 5 projects funded by the FP7 and 6 by the programmes in the DG SANCO. Finally, another interesting indicator is knowing which Agents lead projects in the FP7. The general data indicates that the percentage of leadership is of 19.80%, which is an improvement compared to the leadership results in the FP6 (13%), but it has still not reached the percentage achieved in the FP5 (25%). Out of the 606 participations by Basque Agents during the first period, 120 projects are led

by Basque Agents —mainly led by Technology Centres belonging to the Technology Corporations IK-4 and Tecnalia and the University of the Basque Country (UPV/EHU). Basque SMEs lead 11% of the projects they participate in —mainly in the NMP Theme.

(10) Percentage of TC-enterprise cooperation: number of projects funded in which a Technology Centre and a Basque enterprise participate with respect to the total number of participations by Technology Centres.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

LAUNCH-MICRO project: “MicroTechnologies for Re-launching European Machine Manufacturing SMEs”. Soraluce, Ideko-IK4, Kendu, ONA Electroerosión, Mondragon Assembly and Mondragon Unibertsitatea are participating.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

5

REVISION OF THE OBJECTIVES OF BASQUE PARTICIPATION IN THE EU SEVENTH FRAMEWORK PROGRAMME FOR R&D&I (SECOND PERIOD: 2011-2013)

5.1.

Introduction

5.2.

Methodology

5.3.

Revision of the Basque Country’s Activity in the FP7 and CIP by Theme .........................................................................................

Cooperation .........................................................................................................

Health .....................................................................................................................

Food, Agriculture and Fisheries and Biotechnology (KBBE) .....

Information and Communication Technologies (ICT) ...................

Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP) ..............................................................

Energy .....................................................................................................................

Environment (including Climate Change) ...........................................

Transport (including Aeronautics and Air Transport) ....................

Socio-economic Sciences and Humanities .........................................

Space .......................................................................................................................

Security ..................................................................................................................

Capacities ..............................................................................................................

Research for the Benefit of SMEs ............................................................

Rest of Themes included in the Capacities Programme ............

Ideas ........................................................................................................................

People ....................................................................................................................

Competitiveness and Innovation Framework Programme (CIP) .........................................................................................................................

5.3.1.

5.3.1.1.

5.3.1.2.

5.3.1.3.

5.3.1.4.

5.3.1.5.

5.3.1.6.

5.3.1.7.

5.3.1.8.

5.3.1.9.

5.3.1.10.

5.3.2.

5.3.2.1.

5.3.2.2.

5.3.3.

5.3.4.

5.3.5.

5.4.

5.4.1.

5.4.2.

5.4.3.

5.5.

....................................................................................................... 72 .................................................................................................... 73

Revision of the Basque Country’s activity in the FP7 and CIP by agent ..........................................................................................

Science and Technology Agents ..............................................................

University System ............................................................................................

Enterprises ............................................................................................................

Global Revision of the Basque Country’s Activity in the FP7 and CIP ...............................................................................................

74 76 78 79 80 81 82 83 84 85 86 86 87 88 89 89 90 90

91 93 95 96

97

5.1.

Introduction The Seventh Framework Programme for Research and Technological Development (FP7) focuses its performance on achieving the objective of Lisbon to turn Europe into the most competitive and dynamic economy in the world for the year 2013. The trinomial knowledgeeducation, research and innovation is the main tool used to achieve this objective. The results obtained by the Basque Agents in the Sixth Framework Programme (FP6) were summarised in a financial return from the European Commission of 131.26 M€1. This figure has been exceeded in the first period of the Seventh Framework Programme (2007-2010) with a total return of 190.74 M€ (the objective set in 2006 for this period was 171 M€).

In the first period of the FP7, the return has grown in 45% with respect to the FP6, which shows the effort invested by the entities involved in maintaining and improving Basque participation in the European R&D&i Programmes, thus reinforcing the presence of the Basque Country in the European Research Area (ERA).

However, the returns obtained by Basque enterprises during their participation in the aforementioned Framework Programmes have lost relative weight in global Basque participation despite similar absolute values between the FP6 and FP7. This is due to the presence of enterprises having dropped with respect to the rest of agents from 33% in the FP6 to 21% in the first period of the Seventh Framework Programme.

The University has been characterised by its low participation in European R&D&i Programmes which, in spite of having increased its presence, it can be reasonably improved.

This context demands an energising effort aimed at the different agents involved in the European R&D&i (Enterprises, SMEs, CRCs, Technology Corporations, Universities, etc.), in the same way as in the first period of the FP7 (2007-2010), to face the second period of the FP7 (2011-2013) with a desire for improvement and taking further advantage of the opportunities that the participation in the European R&D&i Programmes involve.

A replanification of the Basque activity in Europe required for the second period of the FP7 in order to carry out this action; this is achieved by setting objectives that establish coherent participation perspectives involving all the actors implicated in the Basque Country’s R&D&i. This replanification will be carried out in tune with the Basque Policy for the Internationalisation of R&D&i promoted by the Basque Government and with the objectives set by the European Commission in the FP7.

In addition to the FP7, the Basque Agents involved in R&D&i activities also participate in the Competitiveness and Innovation Framework Programme (CIP), which is a programme managed by the European Commission’s Directorate General for Enterprise and Industry.

To this effect, a series of objectives will be set for the Basque Agents and for both programmes, that is, the FP7 and the CIP. The first period of the FP7 (2007-2010) has been characterised by a new setting that is conditioned by two significantly important factors: • The impact produced by the global crisis since 2007.

• The drop in public funding on a national and regional level in the Member States.

These factors, which induce to participate in European R&D&i programmes, together with the evolution of the structure of the Basque Science, Technology and Innovation Network lead to the need of revising the objectives of Basque participation set in the R&D&i programmes at the end of the FP6 (2006). As a result, the participation objectives of the Basque Country are updated in this document for the second period of the FP7 and CIP (2011-2013).

The aim of this revision is to obtain a clearer and updated forecast of the participation of Basque entities in European projects for the second period of the FP7 and CIP that will allow these entities to plan, in the short-term, the Basque R&D&i activity in Europe.

With this aim, the Department of Industry, Innovation, Trade and Tourism of the Basque Government has carried out a revision of the objectives of Basque participation in R&D&i in the Basque Country for the 2011-2013 period. Basque participation in R&D&i activities in the Seventh Framework Programme (FP7) and the Competitiveness and Innovation Framework Programme within the 2011-2013 period has to be suitably structured in order to achieve the greatest possible impact in involving the Basque enterprise and technological sectors within the European Research Area (ERA).

The planning of these activities framed within the FP7 are organised in four different Programmes: Cooperation, Capacities, Ideas and People. The global budget allocated by the European Commission for all the programmes included in the FP7 (2007-2013) amounts to 50,521 M€. The Competitiveness and Innovation Framework Programme (CIP), with a budget of 3,621 M€ is characterised by being a transversal programme that covers different Themes in the FP7, thus simplifying its operation. The budget allocations for the Seventh Framework Programme and the CIP are included in the table (T.5.1).

(1) The figures included in this Chapter are expressed in Millions of Euros (M€).

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

T.5.1

EC budget for the FP7 and CIP

5.2.

Methodology

NMP

3,475

A methodology has been designed for the planning of activities during the period 2011-2013 based on the participation perspectives of enterprises, associations, clusters, Technology Centres and Universities which realistically establishes a series of objectives that can be reached by the different agents of the Basque Network for Science, Technology and Innovation. The steps that have been followed to complete the revision process of the objectives are described below.

Energy

2,350

Step 1

Environment

1,890

Transport

4,160

With the aim of knowing the expectations of the Basque Agents involved in European R&D&i activities, as in the first period of the FP7 (2007-2010), a series of Questionnaires on the Planification of the Activity during 2011-2013 in the FP7 have been prepared. These questionnaires included, individually, the forecast carried out in 2006, which is the year when the “Revision of the Strategic Book of Basque R&D&i in Europe” was drafted, therefore simplifying the forecast for the 2011-2013 period.

Seventh Framework Programme for R&D&i

50,521

Cooperation Programme

32,413

Health

6,100

Food, Agriculture and Fisheries and Biotechnology

1,935

ICT

9,050

Socio-economic Sciences and the Humanities

623

Space

1,430

Security

1,400

Capacities Programme

4,097

Research for the Benefit of SMEs

1,336

Rest of Themes

2,761

Ideas Programme

7,510

People Programme

4,750

JRC - Joint Research Centre

1,751

Competitiveness and Innovation Framework Programme (CIP)

3,621

These Questionnaires on the Planification of the Activity during 20112013 in the FP7 consisted of four tables including the following information: • Table I showed the objectives planned in 2006 for the first period of the FP7 (2007-2010).

• Table II contained the results obtained by the agents in this first period (2007-2010).

• Table III detailed the objectives planned in 2006 for the second period of the FP7 (2011-2013).

• Table IV was empty and was designed so the agents could include their respective estimates for the second period of the FP7 (20112013) following their experience in the first period.

These Questionnaires were distributed to all the agents that had already participated in the survey conducted in 2006 and that had been involved in projects, in some way or another, during the first period of the FP7.

Step 2 The estimates included in Table IV provided by each agent were analysed and the information collected in the Questionnaires has been structured by Programmes and Themes (thematic input) and by type of agent (structural input).

From a total of 238 questionnaires sent, 204 questionnaires were received; the answers are distributed as follows:

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

73

• 51 questionnaires from Science and Technology Agents: · Technology Corporations (19). · CRCs (6). · Other Science and Technology Agents (26).

• 7 questionnaires from the University System: · Universities (3). · BERCs (3). · Ikerbasque (1).

• 133 questionnaires from Enterprises: · SMEs (83). · Large Enterprises (50).

• 13 questionnaires from Other Institutions.

Step 3 Having reviewed the objectives set in Table IV and analysed the results obtained in the first period of the FP7 (2007-2010), a series of objectives by type of Programme, Theme and Agent have been established. The results for the first period were obtained from the Observatory managed by Innobasque, which supervises the participation of Basque Agents in the Framework Programme, and were subsequently compared to the information of the Centre for Industrial Technological Development (CDTI).

By following this methodology and with the aim of presenting the new objectives established for the second period (2011-2013), this chapter is structured in the following sections: • Revision by Themes of the Basque Country’s Activity in the FP7 and CIP. • Revision by Agents of the Basque Country’s Activity in the FP7 and CIP. • Global Revision of the Basque Country’s Activity in the FP7 and CIP.

is, 4 main Programmes —with their respective division by Themes— and the Competitiveness and Innovation Framework Programme (CIP): • Seventh Framework Programme for Research and Technological Development. · Cooperation: – – – – – – – – – –

Health.

Food, Agriculture and Fisheries and Biotechnology.

Information and Communication Technologies (ICT).

Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP).

Energy.

Environment (including Climate Change).

Transport (including Aeronautics and Air Transport).

Socio-economic Sciences and Humanities.

Space.

Security.

· Capacities: – Research for the Benefit of SMEs. – Rest of Themes included in the Capacities Programme. · Ideas. · People.

• Competitiveness and Innovation Framework Programme (CIP).

The way in which the information has been presented is detailed in graph (G.5.1) Information display model. The results from the FP6, the first period of the FP7 (2007-2011) and the second period of the FP7 (2011-2013) have been merged in this model, thus displaying the objectives planned in 2006 and those set in the current revision as a whole.

The information has been drawn from the following sources: – FP6: Strategic Book of Basque R&D&i in Europe.

5.3.

Revision of the Basque Country’s Activity in the FP7 and CIP

by Theme Based on the results obtained in the analysis of Questionnaires on the Planification of the Activity during 2011-2013 in the FP7, the following revised objectives are presented for the second period (2011-2013) per Programme and Theme. With the aim of providing a more global vision, the results of the Basque participation in the FP6 are presented together with information related to the first period of the FP7 (2007-2010).

– Results FP7/CIP: Observatory managed by Innobasque, May 2011.

– Objectives FP7/CIP: Questionnaires on the Planification of the Activity during 2011-2013 in the FP7 and the Basque Government.

– State’s Return: CDTI.

This section follows the same structure as the Seventh Framework Programme for Research and Technological Development (FP7), that 74

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.5.1

Information display model

Results obtained in the FP6

Results obtained in the first period of the FP7 (2007-2010) and/or CIP

Objectives for the second period of the FP7 (2011-2013) and/or CIP

Total budget destined to the FP7 for this Theme.

FP7 BUDGET FOR THE THEME: X.XXX.XXX €

Percentage representing the return based on the total budget of the Theme.

Return: XX%

Return objective: XX%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: XX Leadership: X

Results Projects: XX Leadership: X

2011 Revision 2006 Objective Projects: XX Projects: XX Leadership: X Leadership: X

XX,XXX,XXX €

XX,XXX,XXX €

XX,XXX,XXX € / XX M€

PPP Projects: X Leadership: X X,XXX,XXX €

PPP Projects: X Leadership: X X,XXX,XXX €

TOTAL INCREASE

JTI Projects: X Leadership: X X,XXX,XXX €

XX %

JTI Projects: X Leadership: X X,XXX,XXX €

Results obtained in the FP6, FP7 and/or CIP (2007-2010).

Objectives revised for the second period of the FP7 (2011-2013) and/or CIP and Objectives set for this period in the year 2006.

Information corresponding to the JTIs and/or PPPs that may belong to the Theme.

XX M€

Graphs corresponding to the evolution of the returns obtained in the FP6 and the FP7 and the Revised Objectives.

XX%

XX M€ XX% XX%

XX M€

XX M€

XX M€ XX%

XX M€

These graphs show the difference between the global results of the Themes and the JTIs and/or PPPs, when required.

XX M€

Graphic display of the returns obtained, in which each point represents, 100,000 €, simplifying the display of the results.

The information on the JTIs and/or PPPs are differentiated by colour and integrated in the Theme’s global returns.

100,000 €

FP

FP – (PPP + JTI)

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

PPP

JTI

75

5.3.1.

Cooperation The Cooperation Programme, with a budget allocated by the Community of 32,413 M€, is the Programme which has been assigned the most funds in the FP7, representing 64% of its total budget (50,521 M€). Its main aim is to encourage the collaboration in research between European countries and other country members.

The Cooperation Programme establishes as the main objective to contribute towards sustainable development through the promotion of research; therefore, it is structured in ten different Themes (in the FP6 they were called Thematic Areas) which are related to key technological and scientific fields.

G.5.2

Cooperation Programme: Breakdown of the results in the FP6 and FP7 (2007-2010) and Objectives in the FP7 (2011-2013) FP7 BUDGET FOR THE THEME: 32,365,000,000 € Return: 0.43%

Return objective: 0.50%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 390 Leadership: 30

Results Projects: 453 Leadership: 72

2011 Revision 2006 Objective Projects: 469 Projects: 586 Leadership: 68 Leadership: 65

97,130,000 €

140,350,000 €

163,000,000 €/158 M€

68%

Graph (G.5.2) compares the global results obtained in the Framework Programme FP6 with the results obtained in the 2007-2010 period and the objectives established for the 2011-2013 period of the FP7.

The global returns, that is, the grants received from the European Commission, show a positive result as the first period of the FP7 (2007-2010) exceeded the total amount of funding allocated in the FP6 by 44%: a return of 140.45 M€ and 453 Basque participations in European projects —72 as leaders.

163 M€ 16%

140.35 M€

44%

97.13 M€

With respect to the objectives set for the second period, established after analysing the questionnaires completed by the Basque Agents, the figures are even more ambitious, setting an estimated funding of 163 M€ with a total of 469 participations —68 as leaders. See graph (G.5.2) Cooperation Programme: Breakdown of the results in the FP6 and FP7 (2007-2010) and Objectives in the FP7 (20112013).

On the other hand, two new initiatives have been launched in the Cooperation Programme during the first period of the FP7: the JTIs (Joint Technology Initiatives) and the PPPs (Public-Private Partnerships). These two new initiatives have also been considered when establishing the objectives for the next period of the FP7 (20112013), and have been detailed separately in the analysis carried out in this document.

Tables (T.5.2) and (T.5.3) include the correspondence of the JTIs and the PPPs with the different Themes comprising the Cooperation Programme, respectively.

The following sections include information on the Basque participation in the Cooperation Programme for each of the ten Themes.

These Themes, which are presented in the same way as in graph (G.5.1) Cooperation Programme, include: • The results obtained in the FP6.

• The results for the first period of the FP7 (2007-2010).

• The objectives of Basque R&D&i activity for the second period of the FP7 (2011-2013), detailing both the forecast established in 76

100,000 €

FP

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

T.5.2

T.5.3

2006 and the current forecast after considering the revision of objectives.

List of JTIs of the FP7

Theme

JTI

Health

IMI - Innovative Medicine Initiative

Information and Communication Technologies

ARTEMIS

Energy

FCH - Fuel Cells Hydrogen

Transport

Clean Sky

In the case of Themes with any JTI or PPP within their scope, the figures corresponding to these initiatives are presented as part of the global figures of the Theme under consideration; they are also presented separately on the bottom part of the respective Table.

ENIAC

List of PPPs of the FP7

Theme

PPP

Nanosciences, Nanotechnologies, Materials and New Production Technologies

FoF - Factories of the Future

Transport

Green Cars

EeB - Energy Efficient Buildings

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77

5.3.1.1.

Health The Health Theme has been allocated 19% of the total Community budget for the Cooperation Programme, with a total value of 6,100 M€, placing it in second position in economic allocation. This, together with the consolidation of the activity of Cooperative Research Centres (CRC) in this technological scope, creates a certain amount of confidence when it comes to the possibility of reaching a significant improvement in the participation of Basque Agents throughout the second period of the FP7.

G.5.3

Health Theme FP7 BUDGET FOR THE THEME: 6,100,000,000 € Return: 0.07%

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 22 Leadership: 2

Results Projects: 18 Leadership: 22

2011 Revision 2006 Objective Projects: 25 Projects: 49 Leadership: 4 Leadership: 6

4,500,000 €

4,430,000 €*

8,000,000 € / 16 M€

JTI IMI Projects: 1 Leadership: 0 250,000 €

JTI IMI Projects: 1 Leadership: 0 270,000 €

This is a necessary improvement, as the results for the first period —with returns of 4.43 M€— have followed the same line as those obtained in the FP6 while there was a significant increase in the available budget (200%).

Taking into consideration this higher allocation set aside for the Health Theme in the FP7 with respect to the FP6, an objective has been established for the second period of the FP7 of reaching an estimated amount of funding of 8 M€, that is 0.13% of the total budget allocated by the European Commission to this Theme (6,100 M€). The objective set entails the participation of 25 Basque entities in European projects and a leadership in 4 of them by agents part of the Basque R&D&i —see graph (G.5.3) Health Theme.

The objective for return set at 8 MÐ for the second period of the FP7 would involve an 81% increase with respect to the return obtained in the first period 2007-2010 (4.43 M€) and 78% with respect to the FP6 (4.5 M€).

Return objective: 0.13%

FP6

8 M€

78% 81%

4.5 M€

–2%

4.43 M€

0.25 M€

8%

100,000 €

0.27 M€

FP

FP – JTI

JTI

* The 4.43 M€ return represents 3.91% of the State’s return.

The JTI IMI (Innovative Medicines Initiative), whose objective is materialised in a project with an estimated return of 0.27 M€, is integrated into the Health Theme —see graph (G.5.3) Health Theme.

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5.3.1.2.

G.5.4

Food, Agriculture and Fisheries and Biotechnology (KBBE) Theme

The Basque participation in the Food, Agriculture and Fisheries and Biotechnology Theme has improved its results in the first period of the FP7, obtaining a return of 3.74 M€ compared to the 1.77 M€ received in the FP6, thus growing in 111%.

FP7 BUDGET FOR THE THEME: 1,935,000,000 € Return: 0.19%

Return objective: 0.31%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 16 Leadership: 0

Results Projects: 14 Leadership: 1

2011 Revision 2006 Objective Projects: 19 Projects: 40 Leadership: 3 Leadership: 3

1,770,000 €

3,740,000 €*

6,000,000 €/8 M€

239% 60% 111%

6 M€

3.74 M€

Following the analysis of the estimates carried out by the Basque Agents, an objective has been established for the second period of the FP7 of reaching a return of 6 M€, 0.31% of the total budget allocated by the European Commission to this Theme (1,935 M€).

Likewise, the objective set entails the participation of 19 Basque entities and 3 leaderships —see graph (G.5.4) Food, Agriculture and Fisheries and Biotechnology Theme.

Taking into consideration that the return obtained for the first period 2007-2010 was 3.74 M€, reaching the objective of 6 M€ would involve a 60% increase with respect to this period and 239% with respect to the FP6 (1.77 M€).

1.77 M€

100,000 €

Food, Agriculture and Fisheries and Biotechnology (KBBE)

FP

* The 3.74 M€ return represents 7.47% of the State’s return.

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79

5.3.1.3.

Information and Communication Technologies (ICT) The technical area corresponding to the Information and Communication Technologies Theme has been characterised by reaching significant returns. However, the truth is that given the considerable funds allocated to this Theme (the largest budget in the Cooperation Programme by representing 28% with a total of 9,050 M€) and the structure of the Basque Country’s industry, the Basque sector of ICTs should be able to significantly increase these returns.

Therefore, the results achieved in the first period of the FP7 and the magnitude of the Community’s total budget should encourage the activity of Basque Agents and result in a considerable growth for the second period of the FP7. This drive is evidenced when comparing the weight of the Basque returns obtained in the first period with the total budget allocated by the European Union, 0.28%, and its estimated growth for the second period, reaching 0.44%.

G.5.5

Information and Communication Technologies Theme

FP7 BUDGET FOR THE THEME: 9,050,000,000 € Return: 0.28%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 98 Leadership: 7

Results Projects: 103 Leadership: 15

2011 Revision 2006 Objective Projects: 126 Projects: 107 Leadership: 23 Leadership: 13

24,010,000 €

25,510,000 €*

40,000,000 € / 31 M€

JTI Artemis Projects: 31 Leadership: 2 4,810,000 €

JTI Artemis Projects: 23 Leadership: 1 4,960,000 €

JTI ENIAC Projects: 3 Leadership: 0 270,000 €

JTI ENIAC Projects: 2 Leadership: 0 350,000 €

40 M€

The objective for return set at 40 M€ for the second period of the FP7 involves a 57% increase with respect to the return obtained for the first period (25.51 M€) the FP7 involves a 57% increase with respect to the return obtained for the first period (25.51 MÐ) and 67% with respect to the FP6 (24.01 M€) —see graph (G.5.5) Information and Communication Technologies Theme.

57% 67%

The Information and Communication Technologies Theme includes two JTIs in its global figures: • ARTEMIS: Advanced Research and Technology for Embedded Intelligence and Systems.

Return objective: 0.44%

6%

25.51 M€

24.01 M€

• ENIAC: European Nanoelectronics Initiative Advisory Council.

The objective set for the ARTEMIS JTI is a return of 4.96 M€ obtained from a total of 23 participations and a leadership in 1 project. With regard to the ENIAC JTI, the objective set is a return of 0.35 M€ with a total of 2 participations.

3%

4.81 M€

4.96 M€

29%

0.27 M€

100,000 €

FP

FP – JTIs

0.35 M€

ARTEMIS

ENIAC

* The 25:51 M€ return represents 7.18% of the State’s return.

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5.3.1.4.

G.5.6

Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP) Theme FP7 BUDGET FOR THE THEME: 3,475,000,000 € Return: 1.53%

Return objective: 1.47%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 124 Leadership: 13

Results Projects: 146 Leadership: 27

2011 Revision 2006 Objective Projects: 152 Projects: 139 Leadership: 25 Leadership: 21

34,750,000 €

52,230,000 €*

51,000,000 € / 41 M€

PPP Factories of the Future (FoF) Projects: 19 Leadership: 3 6,610,000 €

PPP Factories of the Future (FoF) Projects: 10 Leadership: 1 3,840,000 €

PPP Energy Efficient Buildings (EeB) Projects: 28 Leadership: 3 8,930,000 €

PPP Energy Efficient Buildings (EeB) Projects: 21 Leadership: 2 5,560,000 €

4%

51 M€

53%

34.75 M€

8.93 M€ 62%

6.61 M€

58%

3.84 M€

The Nanosciences, Nanotechnologies, Materials and New Production Technologies Theme, with a total budget of 3,475 M€ (10.72%) for the FP7, has the 4th largest budget in the Cooperation Programme. This Theme achieves the largest number of participations and obtains the highest return among the agents comprising the Basque R&D&i, continuing with the trend set by the technological profile of the Basque Country since the FP1.

In synch with this reality, the results of the activity in the NMP Theme for the first period of the FP7 display a strong growth (53%) with respect to the results achieved in the previous Framework Programme (FP6), obtaining returns amounting to 53.23 M€ compared to the 34.75 M€ obtained in the latter.

The analysis conducted on the Questionnaires allows setting an objective for returns of 51 M€, that is, 1.47% of the total budget allocated by the European Commission to this Theme (3.475 M€), with an estimated 152 participations and a leadership in 25 projects —see graph (G.5.6) Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP) Theme.

47%

52.23 M€

Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP)

5.56 M€

When analysing the figures presented in the NMP Theme in detail, we see that the estimates of funding for Basque Agents are lower in the second period of the FP7 than in the first period (2007-2010).

Therefore, in spite of setting an objective in this Theme of 51 M€ for the Basque R&D&i in the second period of the FP7, this would entail a 4% drop with respect to the returns obtained in the first period (2007-2010) of the FP7 (53.23 M€). This results from the fact that although the effort involved, which is very high in itself, is to be maintained, the second period only covers three years (2011-2013) while the first period which covers four (2007-2010). In other words, the average annual return obtained during 2007-2010 has been of 13.31 M€, while the objective of an average annual return of 17 M€ is being suggested for the second period of the FP7.

The NMP Theme includes two PPPs in its global figures: • FoF: Factories of the Future.

• EeB: Energy Efficient Buildings.

100,000 €

FP

FP – PPPs

* The 53.23 M€ return represents 32.68% of the State’s return.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

FoF

EeB

The objective set for the Factories of the Future PPP is a return of 8.93 M€, obtained from a total of 28 participations and a leadership in 3 projects. The objective set for the Energy Efficient Buildings is a return of 5.56 M€, obtained from a total of 21 participations and a leadership in 2 projects.

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5.3.1.5.

Energy

G.5.7

Energy Theme

The Energy scope, which is within the Sustainable Development and Global Change Thematic Area in the FP6, gains further importance in the FP7, establishing itself as a Theme in itself with a total budget of 2,350 M€.

This is a great opportunity for Basque Agents to achieve further participation in this Theme. Proof of this is the 18.79 M€ of funding obtained in the first period of the FP7, which represents a 48% growth with respect to the return obtained in the FP6.

FP7 BUDGET FOR THE THEME: 2,350,000,000 € Return: 0.80%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 48 Leadership: 4

Results Projects: 44 Leadership: 4

2011 Revision 2006 Objective Projects: 53 Projects: 52 Leadership: 6 Leadership: 6

12,720,000 €

18,790,000 €*

20,000,000 € / 15 M€

JTI Fuel Cells and Hydrogen (FCH) Projects: 4 Leadership: 0 850,000 €

JTI Fuel Cells and Hydrogen (FCH) Projects: 2 Leadership: 0 510,000 €

As a result, the objectives established from the questionnaires received set a slightly growing trend in the results forecasted for the second period of the FP7, even after taking into consideration that the second period of the FP7 covers only three years instead of the 4 comprising the first period. The objective set for the Energy Theme during the second period (2011-2013) is a total return of 20 M€. This figure is 0.85% of the budget allocated by the European Commission to this Theme (2,350 M€). The estimated returns correspond to an objective of 53 participations by Basque entities in European projects and a leadership in 6 of them —see graph (G.5.7) Energy Theme.

The objective for return set at 20 M€ for the second period of the FP7 would involve a 6% growth with respect to the results obtained in the first period (2007-2010) of the FP7 (18.79 M€). On the other hand, meeting the objective would entail a 57% increase with respect to the returns obtained in the FP6 (12.72 M€).

Return objective: 0.85%

20 M€

57% 6%

18.79 M€ 48%

12.72 M€

The Energy Theme includes the FCH (Fuel Cells and Hydrogen) PPP, whose objectives are 2 participations, out of the 53 estimated for the entire Theme in the 2011-2013 period, and a return of 0.51 M€.

0,85 M€

60%

100,000 €

0,51 M€

FP

FP – JTI

FCH

* The 18.79 M€ return represents 17.15% of the State’s return.

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5.3.1.6.

G.5.8

Environment Theme

FP7 BUDGET FOR THE THEME: 1,890,000,000 € Return: 0.31%

Return objective: 0.32%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 6 Leadership: 1

Results Projects: 26 Leadership: 2

2011 Revision 2006 Objective Projects: 23 Projects: 38 Leadership: 3 Leadership: 3

560,000 €

5,950,000 €*

6,000,000 €/7 M€

1%

6 M€

The estimates established in the Questionnaires allow setting an objective for total funding of 6 M€, that is, 0.32% of the total budget allocated by the European Commission to this Theme (1,890 M€).

The 6 M€ in returns entail reaching a participation of 23 Basque entities and a leadership in 3 projects —see graph (G.5.8) Environment Theme.

963%

0.56 M€

100,000 €

The firm commitment shown by the European Union in environmental themes has been clearly materialised in the 1,890 M€ (5.83% of the total budget of the Cooperation Programme for the FP7) allocated to the Environment Theme, compared to the 1,700 M€ assigned to the Sustainable Development and Global Change Thematic Area in the FP6 that also comprised the sub-areas Surface Transport, Energy and Governance.

This boost has also been reflected in the results obtained by the Basque Agents from the activity in the Environment Theme during the first period of the FP7, showing a considerable improvement with returns of 5.95 M€ compared to the 0.56 MÐ obtained in the FP6 —a 963% growth.

971%

5.95 M€

Environment (including Climate Change)

FP

* The 5.95 M€ represents 12.2 % of the State’s return.

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83

5.3.1.7.

Transport (including Aeronautics and Air Transport) The FP7, for the first time, includes all types of transportation in one Theme. Despite the participation of Basque entities in projects related to transport corresponding mainly to large enterprises with great R&D&i capacity and culture, the presence of Technology Centres is gaining importance.

The results obtained from the activity in the Transport Theme during the first period of the FP7 show a growing trend when comparing the return reached of 22.34 M€ to the 18.07 M€ obtained in the FP6, thus achieving a 24% growth.

G.5.9

Transport Theme

FP7 BUDGET FOR THE THEME: 4,160,000,000 € Return: 0.54%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 67 Leadership: 3

Results Projects: 76 Leadership: 16

2011 Revision 2006 Objective Projects: 55 Projects: 103 Leadership: 3 Leadership: 8

18,070,000 €

22,340,000 €*

26,000,000 € / 28 M€

PPP Green Cars Projects: 7 Leadership: 0 2,600,000 €

PPP Green Cars Projects: 12 Leadership: 1 4,640,000 €

The analysis conducted on the Questionnaires allows establishing for the second period of the FP7 an objective for returns of 26 M€ with an estimated 55 participations and a leadership in 3 projects. This estimated return of 26 M€ is 0.63% of the total budget allocated by the European Commission to this Theme (4,160 M€) —see graph (G.5.9) Transport Theme.

JTI Clean Sky Projects: 13 Leadership: 8 3,520,000 €

JTI Clean Sky Projects: 5 Leadership: 0 8,510,000 €

26 M€

44%

Given the technological diversity covered in this Theme, the following two sub-areas have been identified: • Aeronautics and Air Transport.

Return objective: 0.63%

16%

22.34 M€ 24%

18.07 M€

• Road, Rail and Waterborne Transport.

In this sense, the objective for the 2011-2013 period is to obtain an amount of European funding of 17.16 M€ for Aeronautics and Air Transport projects and 8.84 M€ for Road, Rail and Waterborne Transport projects. These estimates involve 36 and 19 Basque participations, respectively.

141.76%

8.51 M€

3.52 M€ 78%

4.64 M€

2.6 M€

Achieving the objective for return set at 26 M€ in the second period of the FP7 would involve a 16% growth of Basque activity when compared to the results obtained in the first period 2007-2010 (22.34 M€).

On the other hand, meeting this objective would entail a 44% increase with respect to the returns obtained in the FP6 (18.07 M€) —see graph (G.5.9) Transport Theme.

The Transport Theme includes a JTI and a PPP in its global figures: • JTI: Clean Sky.

100,000 €

FP

FP – (PPP + JTI)

PPP

JTI

* The 22.34 M€ return represents 26.98% of the State’s return.

• PPP: Green Cars.

The objective set for the Clean Sky JTI is a return of 8.51 M€ obtained from a total of 5 participations, and the objective set for the Green Cars PPP is a return of 4.64 M€ obtained from a total of 12 participations and a leadership in 1 project.

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5.3.1.8.

G.5.10

Socio-economic Sciences and Humanities Theme

FP7 BUDGET FOR THE THEME: 623,000,000 € Return: 0.17%

Return objective: 0.32%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 9 Leadership: 0

Results Projects: 5 Leadership: 1

2011 Revision 2006 Objective Projects: 7 Projects: 24 Leadership: 1 Leadership: 2

750,000 €

1,090,000 €*

2,000,000 €/3 M€

167%

0.75 M€

45%

1.09 M€

83%

2 M€

100,000 €

FP

Socio-economic Sciences and Humanities The Socio-economic Sciences and Humanities Theme is gaining importance for the European Union, as can be inferred from the allocation of 623 M€ of the Cooperation Programme’s total budget for the FP7 compared to the 247 M€ allocated in the FP6 for the Citizens and Governance in the European Knowledge-based Society Thematic Area.

This fact portrays the Socio-economic Sciences and Humanities theme as a an emerging sector that requires support in innovative research and the research implemented, as its transference to society helps resolving current and future management issues in organisations, whether private (enterprises) or public (Institutions).

Despite Basque participation not having stood out for its relevance in themes related to socioeconomics, the results of the activity in the Socio-economic Sciences and Humanities Theme during the first period of the FP7 show a significant improvement, registering returns of 1.09 M€ with respect to the 0.75 M€ obtained in the FP6 —a 45% growth.

* The 1.09 M€ return represents 7.33 % of the State’s return.

To this effect, the information collected in the Questionnaires show positive results that allow establishing objectives that entail an increase of activity in the socio-economic scope during the second period of the FP7: up to a total amount of funding of 2 M€, that is, 0.32% of the total budget allocated by the European Commission to this Theme (623 M€) —see graph (G.5.10) Socio-economic Sciences and Humanities Theme.

Achieving the objective for return set at 2 M€ for the second period of the FP7 would involve an 83% increase with respect to the results obtained in the Basque Country for the first period 2007-2010 (1.09 M€). On the other hand, meeting the objective would entail a 167% increase with respect to the returns obtained in the FP6 (0.75 M€).

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

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5.3.1.9.

Space

G.5.11

Space Theme

The Space Theme, with a total budget of 1,430 M€, plans to support the European Space Programme focusing on applications such as the GMES (Global Monitoring for Environment and Security) in the interest of the citizens and in view of the competitiveness of the European space industry. This activity intends to contribute to the development of a European Space Programme, complementing the work of the Member States and other agents, including the European Space Agency.

FP7 BUDGET FOR THE THEME: 1,430,000,000 € Return: 0.17%

The analysis conducted on the Questionnaires allows setting a return of 2 M€ as the objective of Basque activity in the Space Theme for 2011-2013, that is, 0.14% of the total budget allocated by the European Commission to this Theme (1,430 M€). This return involves a participation of 4 Basque entities in Space related projects —see graph (G.5.11) Space Theme.

Achieving the objective for return set at 2 M€ in the Space Theme for the second period of the FP7 would involve a drop in activity of 17% with respect to the results obtained by the Basque R&D&i for the first period 2007-2010 (2.41 M€). When considering the time period difference —from four to three years—, we can see that the annual effort in the second period is higher than the first. Therefore, after obtaining an average annual return of 0.6 M€ in the first period (2007-2010), the objective set for the second period of the FP7 is to increase the average annual return to 0.66 M€.

Return objective: 0.14%

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 8 Leadership: 3

2011 Revision 2006 Objective Projects: 4 Projects: 10 Leadership: 0 Leadership: 1

2,410,000 €*

2,000,000 €/3 M€ 17%

2.41 M€

2 M€

100,000 €

FP

* The 2.41 M€ return represents 12.07 % of the State’s return.

G.5.12

Security Theme

FP7 BUDGET FOR THE THEME: 1,400,000,000 € Return: 0.21%

5.3.1.10.

Security The Security Theme, with a total budget allocated by the European Commission of 1,400 M€, aims to develop technologies and knowledge that will allow the creation of the necessary capacity to guarantee the security of the European citizens against threats such as terrorism, organised crime, as well as the impact and consequences of natural catastrophes and industrial accidents while focusing in civil applications.

The activity objectives set for this Theme during the second period of the FP7, after analysing the Questionnaires filled-in by the Basque Agents, consist in reaching a European funding of 2 M€, that is, 0.14% of the total budget allocated by the European Commission to this Theme —see graph (G.5.12) Security Theme.

Return objective: 0.15%

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 13 Leadership: 1

2011 Revision 2006 Objective Projects: 6 Projects: 24 Leadership: 1 Leadership: 2

2,860,000 €*

2,000,000 €/6 M€ 30%

2.86 M€

100,000 €

2 M€

FP

* The 2.86 M€ return represents 6.6 % of the State’s return.

The objective for return set at 2 M€ for the Basque Agents in this Theme would involve a 30% drop with respect to the results obtained in the first period (2007-2010) of the FP7 (2.86 M€). The fact that the second period is one year shorter than the first should be taken into consideration in the analysis.

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.5.13

5.3.2.

Capacities Programme

The Capacities Programme aims to promote research and innovation in Europe, and therefore the European Commission has allocated a budget of 4,097 M€. To this effect, the Programme suggests:

FP7 BUDGET FOR THE THEME: 4,097,000,000 € Return: 0.46%

Return objective: 0.56%

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 93 Leadership: 13

Objectives Projects: 94 Leadership: 10

19,000,000 €

23,000,000 € 121%

• Supporting the coherent development of policies.

• Complementing the Cooperation Programme.

• Contributing to Community policies and initiatives with the aim of improving the coherence and impact of the Member States’ policies.

• Finding synergies with regional and cohesion policies, Structural Funds, education and training programmes and the Competitiveness and Innovation Framework Programme (CIP).

23 M€

19 M€

Graph (G.5.13) details information related to the Basque participation in European R&D&i in the Capacities Programme, showing the results obtained in the first period of the FP7 (2007-2010) and the planification of the activity for the second period of the FP7 (2011-2013).

100,000 €

G.5.14

FP

• The first subgroup comprises the Research for the Benefit of SMEs Theme, which has a budget of 1,336 M€ allocated by the European Commission and represents 32% of the total funds destined to the Capacities Programme.

Objectives FP7 2007-2011

by Theme

Rest of Activities 44%

The activity objectives revised for this Programme during the second period of the FP7 set a return of 23 M€ to be reached by the participation of 94 Basque entities and 10 leaderships in projects —see graph (G.5.13) Capacities Programme.

The Capacities Programme covers seven specific knowledge-based themes, which are grouped in two for simplifying purposes:

Summary of the Capacities Programme Return FP7 2007-2011

by Theme

Capacities

Rest of Activities 22%

• The second subgroup comprises the rest of Themes included in the Capacities Programme with a total budget of 2,761 M€: – – – – – –

Research for the benefit of SMEs 56%

Research for the benefit of SMEs 78%

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

Research infrastructures.

Regions of knowledge.

Potencial investigador.

Research potential.

Science in Society.

Support to the Coherent Development of Research Policies.

In the Basque Country, the Research for the Benefit of SMEs Theme is a driving force in the strengthening of the Capacities Programme, representing 78% (second period of the FP7) of the total estimated return compared to the 56% it represented in the results obtained in the first period of the FP7 —see graph (G.5.14) Summary of the Capacities Programme.

87

5.3.2.1.

Research for the Benefit of SMEs The aim of this Theme within the Capacities Programme is to strengthen the innovative capacity of European SMEs in the development of products and markets based on new technologies. To this end, the Programme supports the subcontracting of research, the increase in research efforts, the extension of research networks, the improvement of the exploitation of research results and the acquirement of technological “knowledge” with the aim of reducing the gap between research and innovation.

The results obtained by the Basque R&D&i in the FP6 within the Research for the benefit of SMEs Theme represented 13% of the total amount allocated by Europe (131 M€). This indicator is only surpassed in returns by the NMP, ICT and Transport Themes. In this sense, a better Basque participation could have been expected for the first period of the FP7. However, in spite of the increase in the Community budget, reality shows a drop in Basque participation as a result of obtaining a return of 10.7 M€ (representing a 38% drop with respect to the returns obtained in the FP6).

On the other hand, the information collected through the Questionnaires allow for optimistic objectives such as reaching a return of 18 M€ in the second period of the FP7 by means of 75 participations and 8 leaderships in projects. This return represents 1.35% of the budget allocated by the European Commission to this Theme (1,336 M€) —see graph (G.5.15) Research for the Benefit of SMEs Theme.

G.5.15

Research for the Benefit of SMEs Theme

FP7 BUDGET FOR THE THEME: 1,336,000,000 € Return: 0.80%

Return objective: 1.35%

FP6

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 116 Leadership: 11

Results Projects: 55 Leadership: 10

2011 Revision 2006 Objective Projects: 75 Projects: 125 Leadership: 8 Leadership: 16

17,250,000 €

10,700,000 €*

18,000,000 €/10 M€

17.25 M€ 18 M€ 4% 68%

38%

10.7 M€

100,000 €

FP

* The 10.71 M€ return represents 9.08% of the State’s return.

Achieving the objective for return set at 18 M€ for the second period of the FP7 in this Area would involve a 68% increase in Basque activity when compared to the results obtained in the first period (10.7 M€).

88

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

5.3.2.2.

G.5.16

Rest of Themes included in the Capacities Programme

Rest of Themes included in the Capacities Programme The Themes included in this group of the Capacities Programme are: • Research Infrastructures (1,715 M€).

FP7 BUDGET FOR THE THEME: 2,761,000,000 €

• Regions of knowledge (126 M€).

Return: 0.30%

Return objective: 0.18%

FP7 (2007-2010)

FP7 (2011-2013)

• Research potential (340 M€).

Results Projects: 55 Leadership: 3

Objectives Projects: 19 Leadership: 2

• Science in Society (330 M€).

8,210,000 €

5,000,000 €

• International Cooperation Actions (180 M€).

• Support to the Coherent Development of Research Policies (70 M€).

40%

The analysis conducted on the Questionnaires allows setting a return of 5 M€ as the objective of the Basque activity in the Rest of Themes included in the Capacities Programme for 2011-2013, that is, 0.18% of the total budget allocated by the European Commission to this Theme (2,761 M€). This return involves reaching a participation in projects of 19 Basque entities and an estimate of 2 leaderships —see graph (G.5.16) Rest of Themes included in the Capacities Programme.

8.21 M€ 5 M€

100,000 €

FP

When analysing the figures presented in graph (G.5.16), we can see that the estimates for return in the second period of the FP7 are lower than for the first period. The fact that the second period is one year shorter than the first should be taken into consideration in the analysis.

G.5.17

Ideas Programme 5.3.3.

FP7 BUDGET FOR THE THEME: 7,510,000,000 € Return: 0.12%

Return objective: 0.23%

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 6 Leadership: 6

2011 Revision 2006 Objective Projects: 16 Projects: – Leadership: 12 Leadership: –

9,130,000 €*

17,000,000 €/7 M€

The aim of increasing Basque participation in this activity is based especially on the role played by the CRCs, BERCs and Universities, which carry out activities of strategic interest. The results obtained in the first period of the FP7 prove this fact, where 100% of the participations are from these entities.

The objective for return set at 17 M€ (0.23% of the Community budget) in the second period of the FP7 for the Basque Agents in the Ideas Programme entails the participation in projects of 16 Basque entities and 12 leaderships —see graph (G.5.17) Ideas Programme.

17 M€ 86%

In this sense, achieving the objective for return set at 17 M€ for the second period of the FP7 in this Basque R&D&i Programme would involve an 86% increase of the activity with respect to the results obtained in the first period (2007-2010) of the FP7 (9.13 M€).

9.13 M€

100,000 €

Ideas

FP

* The 9.13 M€ return represents 1.72% of the State’s return.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

89

5.3.4.

People

G.5.18

People Programme

The objectives set for the second period of the FP7 (2011-2013) are a return of 12 M€ with the participation of 52 Basque entities and a leadership in half of them. This involves obtaining an amount of funding of 0.25% the total Community budget allocated (4,750 M€) —see graph (G.5.18) People Programme.

FP7 BUDGET FOR THE THEME: 4,750,000,000 € Return: 0.43%

When analysing the figures presented in graph (G.5.18), we can see that the estimates for funding in the second period of the FP7 are 41% lower than the funding obtained in the 2007-2010 period. The fact that the second period is one year shorter than the first should be taken into consideration in the analysis.

Return objective: 0.25%

FP7 (2007-2010)

FP7 (2011-2013)

Results Projects: 36 Leadership: 25

2011 Revision 2006 Objective Projects: 52 Projects: – Leadership: 26 Leadership: –

20,350,000 €*

12,000,000 €/9 M€

20.35 M€ 41%

5.3.5.

Competitiveness and Innovation Framework Programme (CIP) The Competitiveness and Innovation Framework Programme (CIP), with an allocated budget of 3.621 M€, is the answer offered by the European Commission’s Directorate General for Enterprise and Industry to innovation. This Programme intends to serve as a sole legal base and be coherent with all the Community actions related to competitiveness and innovation within the framework of the Lisbon Strategy.

12 M€

100,000 €

The CIP Framework Programme covers both technological and nontechnological aspects, as opposed to the FP7, and focuses on the later phases of the research and innovation process of technological innovation. Therefore, its objectives are: • To encourage the competitiveness of enterprises, especially of SMEs.

FP

* The 20.35 M€ return represents 16.73% of the State’s return.

G.5.19

Competitiveness and Innovation Framework Programme CIP

• To promote innovation, including eco innovation.

BUDGET: 3,620,000,000 €

• To expedite the deployment of a competitive, innovating and inclusive Information Society.

Return: 0.14%

• To promote energy efficiency, new and renewable energy sources in all sectors.

In addition, the CIP Framework Programme aims to provide a common framework for the sub-programmes of the FP7, integrating a series of measures that have already been initiated and establishing a much simpler structure.

The objective set for the Competitiveness and Innovation Framework Programme (CIP) during the 2011-2013 period involves obtaining a return of 5 M€, remaining constant with respect to the result obtained for the first period and representing 0.14% of the total budget allocated by the European Commission to this Programme. The 5 M€ in returns would result from the participation in projects of 33 Basque entities and a leadership in 5 of them —see graph (G.5.19) Competitiveness and Innovation Framework Programme.

90

Return objective: 0.14%

CIP (2007-2010)

CIP (2011-2013)

Results Projects: 34 Leadership: 8

Objectives Projects: 33 Leadership: 5

5,030,000 €

5,000,000 € 1%

5.03 M€

100,000 €

5 M€

CIP

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

T.5.4

Breakdown of FP7 and CIP returns by Agent (Results 2007-2010)

5.4.

Results 2007-2010 Type of Agent

Technology Corporations CRCs Other Science and Technology Agents Science and Technology Agents University System

Relative Participa- Leadertions ships Weight

99.05

50.6%

306

68

8.66

4.4%

25

13

8.81

4.5%

49

5

116.52

59.5%

380

86

27.46

14%

67

31

SMEs

21.75

11.1%

94

12

Large Enterprises

19.74

10.1%

70

8

Enterprises

41.48

21.2%

164

20

Other Institutions General Total

T.5.5

Return M€

29

3

• The estimates carried out for the second period of the FP7 and CIP.

640

140

The criteria used to group the Agents of the Basque R&D&i System in the allocation of objectives for the second period of the FP7 have been:

Return Relative Partici- LeaderM€ Weight pations ships 40.0%

267

39

CRCs

14.40

6.5%

45

11

7.60

3.5%

39

5

%*

110.00

50.0%

351

55

–6%

University System

38.00

17.3%

87

36

38%

SMEs

33.00

15.0%

105

18

Large Enterprises

33.00

15.0%

97

10

Enterprises

66.00

30.0%

202

28

59%

6.00

2.7%

24

2

–42%

220.00

100%

664

121

12%

General Total

• The results obtained in the first period of the FP7 and CIP

5.3%

88.00

Other Institutions

• The results obtained by the Basque R&D&i in the FP6.

100%

Technology Corporations

Science and Technology Agents

In line with the results presented up to this moment, the following shall be detailed for each Agent:

10.30

Objectives 2011-2013

Other Science and Technology Agents

Following the revision of the objectives carried out up to now for the second period of the FP7 and CIP, which is based on the breakdown of Programmes and Themes, below are the objectives corresponding to each of the types of Agents of the Basque R&D&i System. The aim is to simplify the view of the role that each agent must play in the 2011-2013 period of the Seventh Framework Programme (FP7) and the Competitiveness and Innovation Framework Programme (CIP).

195.77

Breakdown of FP7 and CIP returns by Agent (Objectives 2011-2013)

Type of Agent

Revision of the Basque Country’s activity in the FP7 and CIP by agent

* % variation of the FP7 and CIP returns for 2011-2013 with respect to the 2007-2010 period.

• Science and Technology Agents: this term groups all the Science and Technology Agents of the Basque Science, Technology and Innovation Network (RVCTI), except Universities, BERCs, Ikerbasque and Business R&D Units. In other words, Technology Corporations, CRCs, BIOEF, Intermediate Bodies and other Science and Technology Agents have been included.

• University System: this term groups the University of the Basque Country (UPV/EHU), the University of Deusto, the University of Mondragon, the Higher School of Engineering of Navarra (located in Guipuzcoa), Ikerbasque and the BERCs (Basic Excellence Research Centre).

• Enterprises: this term groups the SMEs, Large Enterprises and Business R&D Units.

Following this classification, the tables (T.5.4) and (T.5.5) show the results obtained during the first period of the FP7 and the CIP as well as the objectives set for the second period, which are broken-down by type of Agent and indicate the relative weight that the returns of each type of agent represent in the global Basque participation.

When analysing tables (T.5.4) ad (T.5.5), a series of global conclusions can be drawn: • The objectives set for the Science and Technology Agents represent a maintenance of its returns, as although their relative weight drops in 10%, in absolute figures the annual return increases in over 7 M€ (taking into consideration that the first period comprises 4 years and the second 3).

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

91

• The objective for the University System is to increase the total results obtained in the first period of the FP7 by 38% for the second period, thus increasing its relative weight among the Basque Agents participating in the FP7 and CIP. • The objectives set for the Enterprises are a turning point, as they represent a strong increase of 59% of its returns and almost 9% of its relative weight.

A series of graphs are presented below that detail the relative weight of the agents in the results of the first period of the FP7 (2007-2010) and in the objectives for the second period of the FP7 (2011-2013) —see graph (G.5.20) Summary of the Agent’s evolution.

G.5.20

Summary of the Agents’ evolution Return FP7 2007-2010

by Group of Agents

Objectives FP7 2011-2013

by Group of Agents

Other Institutions 5.3%

Other Institutions 2.7%

University System 17.3%

University System 14% ScientificTechnological Agents 59.5%

Enterprises 21.2%

Other Institutions 5.3%

SMEs 11.1%

Other ST Agents 4.5%

92

Enterprises 30%

Objectives FP7 2011-2013

by Agent

Return FP7 2007-2010

by Agent

University System 14% Large Enterprises 10.1%

ScientificTechnological Agents 50%

Other Institutions 2.7%

University System 17.3% Technology Corporations 50.6%

Technology Corporations 40%

Large Enterprises 15% SMEs 15%

CRC 4.4%

Other ST Agents 3.5%

CRC 6.5%

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.5.21

Science and Technology Agents: Breakdown of results in the FP6, FP7 and CIP (2007-2010) and Objectives in the FP7 and CIP (2011-2013)

FP6

FP7 / CIP (2007-2010)

FP7 / CIP (2011-2013)

Results Projects: 304 Leadership: 44

Results Projects: 308 Leadership: 86

Objectives Projects: 351 Leadership: 55

70,700,000 €

116,520,000 €

110,000,000 €

CIP (2007-2010) Projects: 22 Leadership: 6 2,880,000 €

CIP (2011-2013) Projects: 26 Leadership: 4 3,730,000 €

56%

110 M€

This term groups all the Science and Technology Agents of the Basque Science, Technology and Innovation Network (RVCTI), except for Universities, BERCs, Ikerbasque (University System) and the Business R&D Units. In other words, the objectives of Technology Corporations, CRCs, BIOEF, Intermediate Bodies and other Science and Technology Agents are studied in this section.

The objectives of activity planned for this activity by the Science and Technology Agents in the second period of the FP7 consist in reaching a global funding of 110 M€, with 351 participations and 55 leaderships in projects —see graph (G.5.21) Science and Technology Agents.

60%

70.7 M€

The objective set for the Science and Technology Agents for the three years covered by the second period of the FP7 (110 M€) is a slight drop with respect to the amount obtained in the four years covered by the first period of the FP7 (116.52 M€). Despite the global amounts reflecting a drop in effort, the average annual return represents a 26% increase —from 29.13 M€/year in the first period to 36.67 M€/year in the second.

30%

3.73 M€

2.88 M€

Science and Technology Agents

En (G.5.21) shows the objectives established for the second period of the FP7 (2011-2013) for all the agents grouped under the concept Science and Technology Agents, together with the results obtained in the FP6 and the first period of the FP7 (2007-2010), as well as the objectives set for the CIP Framework Programme in the 2011-2013 period regarding Science and Technology Agents (returns of 3.73 M€ with 26 participations and 4 leaderships) and its results in the 20072010 period.

116.52 M€ 6%

5.4.1.

However, despite the difference in length with respect to the FP6, obtaining a return of 110 M€ in the three years covered by the second period of the FP7 would involve a 56% increase with respect to the results obtained by the Basque Country in the FP6 (70.7 M€).

100,000 €

FP

FP + CIP

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

CIP

93

The figures included in graph (G.5.22), which detail the global objectives established for the Science and Technology Agents for the different Programmes in the FP7, represent the following facts:

G.5.22

Science and Technology Agents: Breakdown of Objectives in the FP7 and CIP (2011-2013) by Programme

• The Cooperation Programme with a return of 82.6 M€ would present the most activity, representing 75.1% of the total for the FP7 and CIP. • The Capacities Programme, with a return of 13.08 M€, would represent 11.9% of the total funding received by the Science and Technology Agents.

• The Ideas and People Programmes, with objectives set at 6.39 M€ and 4.20 M€ respectively, would represent a 5.8% and a 3.8% of the activity in the second period of the FP7.

94

Ideas 5.8%

CIP People 3.8% 3.4%

Capacities 11.9%

Cooperation 75.1%

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.5.23

University System: Breakdown of results in the FP6, FP7 and CIP (2007-2010) and Objectives in the FP7 and CIP (2011-2013)

FP6

FP7 / CIP (2007-2010)

FP7 / CIP (2011-2013)

Results Projects: 75 Leadership: 6

Results Projects: 67 Leadership: 31

Objectives Projects: 87 Leadership: 36

10,500,000 €

27,460,000 €

38,000,000 €

CIP (2007-2010) Projects: 4 Leadership: 1 1,380,000 €

CIP (2011-2013) Projects: 5 Leadership: 1 1,270,000 €

38 M€

This term groups the University of the Basque Country (UPV/EHU), the University of Deusto, the University of Mondragon, the Higher School of Engineering of Navarra (located in Guipuzcoa), Ikerbasque and the BERCs (Basic Excellence Research Centre).

The activity objectives set for the University System during the second period of the FP7 consist in obtaining a return of 38 M€ with 87 participations in projects and a leadership in 36 of them —see graph (G.5.23) University System.

38%

161%

The objective for return set at 38 M€ for the University System in the second period of the FP7 would involve a 38% increase with respect to the return obtained in the first period 2007-2010 (27.46 M€) and 262% with respect to the FP6 (10.5 M€).

10.5 M€ 1.38 M€

University System

Graph (G.5.23) shows the objectives established for the second period of the FP7 (2011-2013) for the entire University System, together with the results obtained in the FP6 and the first period of the FP7 (2007-2010), as well as the objectives set for the CIP Framework Programme in the 2011-2013 period regarding the University System (returns of 1.27 M€ with 5 participations and 1 leadership) and its results in the 2007-2010 period.

262%

27.46 M€

5.4.2.

8%

1.27 M€

The figures included in graph (G.5.24), which detail the global objectives established for the University System in the different Programmes of the FP7, represent the following facts: • The participation of the University System in the Cooperation Programme, with an estimated return of 17.43 M€, would represent 45.9% of the total for the FP7 and CIP. 100,000 €

G.5.24

FP

FP + CIP

CIP

University System: Breakdown of Objectives in the FP7 and CIP (2011-2013)

by Programme CIP 3.3% People 16.5%

• The returns set for the University System in the Capacities Programme would reach an amount of 2.82 M€ and represent 7.4% of the total objective for the second period of the FP7 and CIP. • In the Ideas and People Programmes, the University System, with objectives set at 10.20 M€ and 6.28 M€ respectively, would be the most active Agent by jointly representing 43.5% of the returns estimated for this agent in the entire FP7 and CIP.

Cooperation 45.9% Ideas 27%

Capacities 7.4% BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

95

5.4.3.

Enterprises

G.5.25

This term groups the SMEs, Large Enterprises and Business R&D Units.

Graph (G.5.25) shows the objectives established for the second period of the FP7 (2011-2013) for all Basque enterprises, together with the results obtained in the FP6 and the first period of the FP7 (20072010), as well as the objectives set for the Basque Enterprises in the CIP Framework Programme and the poor results obtained by them in the 2007-2010 period. As we can see, the participation of Basque enterprises is not foreseen in the CIP, which shows the evident unawareness of Enterprises regarding the opportunities offered by this Programme.

Enterprises: Breakdown of results in the FP6, FP7 and CIP (2007-2010) and Objectives in the FP7 and CIP (2011-2013)

FP6

FP7 / CIP (2007-2010)

FP7 / CIP (2011-2013)

Results Projects: 223 Leadership: 14

Results Projects: 164 Leadership: 20

Objectives Projects: 202 Leadership: 28

42,730,000 €

41,480,000 €

66,000,000 €

CIP (2007-2010) Projects: 1 Leadership: 0 20,000 €

CIP (2011-2013) Projects: 0 Leadership: 0 0€

66 M€ 53%

The objectives of activity planned for Enterprises in the second period of the FP7 consist in obtaining a return of 66 M€ with 202 participations and 28 leaderships of Basque entities in projects —see graph (G.5.25) Enterprises.

42.73 M€

3%

59%

41.48 M€

0.02 M€

0 M€

Achieving the objective for return set at 66 M€ in the Basque Country for the second period of the FP7 would involve a 59% increase with respect to the results obtained in the first period (41.48 M€).

On the other hand, meeting the objective would entail a 53% increase with respect to the returns obtained in the FP6 (42.73 M€).

From the figures included in graph (G.5.26), which detail the global objectives established for the Enterprises broken-down in the different Programmes of the FP7 and CIP, the following conclusions can be drawn: • The Programme in which the Enterprises would participate the most would be the Cooperation Programme with a return of 57.45 M€, which represents 87% of the total returns obtained in the second period of the FP7 and CIP. • The Capacities Programme, with a total return of 6,62 M€, would represent 10% of the activity of the Enterprises in the second period of the FP7 and CIP. • The relative weight of the Ideas and People Programmes is residual in Enterprises, as they would all only reach 3% of the total return.

100,000 €

G.5.26

FP

FP - CIP

Enterprises: Breakdown of Objectives in the FP7 and CIP (2011-2013) by Programme Capacities 10%

Ideas 1%

People 2%

Cooperation 87%

96

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

T.5.6

Results in the FP6 (2002-2006), FP7 and CIP (2007-2010) and Objectives in the FP7 and CIP (2011-2013) by Programme and Theme

Programme

Theme

4.50

4.43

8

Food*

1.77

3.74

6

ICT

24.01

25.51

40

NMP

34.75

53.23

51

Energy

12.72

18.79

20

0.56

5.95

6

18.07

22.34

26

Socio-economic Sciences and Humanities

0.75

1.09

2

Space

—

2.41

2

Security

—

2.86

2

140.35

163

1.75

0

Transport

Total Cooperation Th.

Capacities

Objectives Results FP7 FP7 (2007-2010) (2011-2013)

Health

Environment Cooperation

FP6 (2002-2006)

97.13

Coordination of Research Activities

—

Total Cooperation

97.13

142.10

163

Research for the Benefit of SMEs

17.25

10.70

18

—

8.31

5

17.25

19.01

23

Rest of Themes included in the Programme Total Capacities

Ideas

—

9.13

17

People

—

20.35

12

—

0.14

—

EURATOM OTHER FP6** TOTAL FP CIP TOTAL FP and CIP

16.88

—

—

131.26

190.74

215

— 131.26

5.03

5

195.77

220

* Food, Agriculture and Fisheries and Biotechnology. ** Other FP6: SSP, Marie Curie, Eranet, S&S, INCO, INNOV and Public Health.

5.5.

Global Revision of the Basque Country’s Activity in the FP7 and CIP The Basque Country faces a new stage in European R&D&i with the opening of the second period of the Seventh Framework Programme (2011-2013) and has the main aim of increasing the participation of Basque entities in these programmes.

With the aim of achieving a growth in received returns and an improvement of the Basque position in Europe, the following guidelines are established: • Continue with the intensity of the efforts put into the consolidated fields among Basque Agents, such as the Nanosciences, Nanotechnologies, Materials and New Production Technologies (NMP) Theme —whose return in the 2007-2010 period of the FP7 represented 32.68% of the return obtained by the State— and the Transport Theme, which represents 26.98% of the State’s return.

• Increase the effort in the fields which still need consolidating: Energy, whose Basque returns represent 17.15% of the State’s return, the Environment (12.2%) and Space (12.07%).

• Strongly reinforce the activity in Themes that allow for a wide margin of improvement, such as Research for the Benefit of SMEs (9.07% of the State’s return), Food, Agriculture and Fisheries and Biotechnology (7.47%), Socio-economic Sciences and Humanities (7.33%), ICT (7.18%), Security (6.6%) and especially Health (3.91%).

Table (T.5.6) presents the global figures of the returns obtained in the FP6, as well as those obtained in the first period of the FP7 (20072010) and the objectives set for the second period (2011-2013) of the FP7 and CIP. These figures show a positive evolution of Basque participation in European R&D&i as a result of the continued effort invested by the Basque research agents. The information gathered reflects a 12% growth when comparing the objectives set for the second period of the FP7 and CIP (220 M€) and the results obtained in the first period (195.77 M€).

Graph (G.5.27) represents the annual distribution of the returns obtained in the first period and the annual objectives for the second period of the Seventh Framework Programme (FP7) and the Competitiveness and Innovation Framework Programme (CIP).

Table (T.5.7) shows the breakdown of the objectives set for the different types of Agents in each Programme within the FP7 and CIP.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

97

The following can be inferred from analysing (T.5.7): G.5.27

Annual breakdown of returns in the FP7 and CIP (2007-2010) and Objectives in the FP7 and CIP (2011-2013)

• The Cooperation Programme has the largest participation from all the Agents.

• The Ideas and People Programmes gather a low participation when it comes to Science and Technology Agents and Enterprises, but it is the second and third source of European returns for the University System respectively.

90

• On the other hand, the lack of participation of Enterprises in the CIP Framework Programme is worth noting, which deserves a special study and effort from the entities involved in order to improve this situation.

50

220 M€

81.40

12%

80

72.60

70

66

195.77 M€

60

43.07

46.98

50.90

54.81

40 30 20 10 0 Resultados 2007-2010

T.5.7

Breakdown of Objectives in the FP7 and CIP (2011-2013) by Programme and Agent Objectives FP7 and CIP (2011-2013)

98

Objetivos 2011-2013

Cooperation

Capacities

Ideas

ST Agents

82.60

13.08

6.39

University System

17.43

2.82

10.20

Enterprises

People

CIP

TOTAL

4.20

3.73

110

6.28

1.27

38 66

57.45

6.62

0.41

1.52

0

Other Institutions

5.52

0.48

0

0

0

6

Total Programmes

163

23

17

12

5

220

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

FUTURE project: “Flutter-Free Turbomachinery Blades”. ITP and CTA are participating.

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6

ERA-NET TRANS-NATIONAL COOPERATION PROJECTS

6.1.

6.1.1.

6.1.2.

6.2.

6.2.1.

6.2.2.

Introduction .......................................................................................................

The ERA-NET Programme ...........................................................................

The ERA-NET Plus Programme ................................................................

Positioning of the Basque Country in the ERA-NET Programme ................................................................................

Relevance of the ERA-NET Programme for the Basque Country ...............................................................................................

Basque participation in the ERA-NET Programme .......................

102 102 103

103 103 106

6.1.

Introduction The ERA-NET scheme is a European Union initiative aimed at national and regional governments and designed to find the coordination and cooperation among its research, development and innovation programmes. The ERA-NET programme is put into practice by means of open calls for cross-border cooperation proposals in any area of science and technology via a bottom-up approach.

Within the ERA-NET scheme, there are two instruments: · The ERA-NET Programme. · The ERA-NET Plus Programme.

6.1.1.

The ERA-NET Programme The ERA-NET scheme is a support instrument for the progress towards the European Research Area and the promotion of the free circulation of researchers as well as of scientific and technological knowledge. When assessing the ERA-NETs’ activity, this scheme has successfully reached the objectives set for promoting the cooperation and coordination of national/regional research activities by linking different national/regional programmes.

The interest in the scheme has also continued to increase during the Seventh Framework Programme (FP7) —47 new ERA-NETs were added in FP7 to the 71 already created under the FP6. However, the trend of agencies and ministries joining a large number of ERA-NETs has dropped in the past years. The participation in ERA-NETS has been increasingly decided by key criteria such as reaching a critical mass and adjusting better to the strategic objectives of other countries/regions.

The European Commission supports two projects specifically designed for the collection of information on impacts and benefits of the ERA-NET. These projects, called ERA-LEARN and NETWATCH, help establish the additionality and value of participation in ERA-NETs against other European initiatives of similar nature.

The ERA-LEARN project is a two-year Support Action (2009-2010) funded under the FP7 and is aimed at:

· Facilitating a structure for monitoring the long-term evolution of the ERA-NET scheme, helping to create a durable interaction between funding programmes.

The NETWATCH project (www.ec.europa.eu/netwatch) is a platform on trans-national R&D programme collaboration that focuses on ERANETs; in other words, it is the front end for the ERA-LEARN project.

The objectives of the NETWATCH project are: · · · ·

Provide information.

Analyse.

Encourage mutual learning.

Present examples, analysis and cases of best practice.

According to the document “ERA-NETs on Stage 2010 Final Report”, which collects the contributions made in the Annual ERA-NET Event celebrated in March of 2010 in Brussels, there are two approaches to the future positioning of the ERA-NET scheme.

One approach is based on the existence of a trend to evolve from an ERA-NET project to an ERA-NET Plus action that subsequently would be developed and implemented in a Joint Programme. This evolution would involve moving towards a larger scale structure.

Nevertheless, not all ERA-NETs would move on to a bigger and more supranational form or model: An alternative route could be the ‘ERANET light’ concept. This model is based on creating a limited number of core partners that manage the ERA-NET and a larger number of associated members, with the latter only deciding to join in for limited periods of time and specific activities created by the ERA-NET, e.g. the implementation of Joint calls. It is important to remember that ‘structure follows strategy’ and that flexibility is key to the formation of dynamic networks.

Other objectives set out in other active ERA-NETs are the possibility of working towards a sustainable programme. This sustainable programme would enable the continuation of the opening of Calls without the need for the Commission’s support. According to an initial study conducted by the Commission on the sustainability objectives in ERANETs, currently 50% of the ERA-NETs see the possibility of their activities continuing, while the other 50% see the need of economic support from the Commission to carry out their joint activities.

· Identifying well working approaches and providing guidance in aligning the structures and procedures for joint call implementation. · Providing guidance in monitoring the ERA-NET portfolio and taking strategic decisions on which existing ERA-NETs to join and which new ERA-NETs to establish.

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6.1.2.

The ERA-NET Plus Programme 6.2.

The ERA-NET Plus is a tool of the FP7 created to reinforce the ERA-NET scheme. Just like the ERA-NET, this new instrument is an incentive for managers and owners of R&D funding programmes to work in collaboration by launching a joint call via national and regional funding programmes. The new dimension of the Plus instrument is that the Commission provides an economic incentive with the aim of increasing the amount of committed trans-national aid, an incentive that can reach up to 33% of the total by means of community funds.

As a result of the success achieved with the ERA-NET scheme in the Sixth Framework Programme (FP6), the Commission has not only committed to this tool but it has reinforced it with the ERA-NET Plus action. The Basque Country has also committed to this tool; the region’s activity during the FP6 was already significant among the different countries/regions with the Basque Country participating in 9 ERA-NETs. During the 2007-2010 period of the FP7, the Basque Country did not only commit to increasing activity in the ERA-NET scheme but also decided to participate in one of the nine ERA-NET Plus started-up.

ERANET Plus is an action comprised by two phases: · 1st Phase ERA-NET Plus: This period begins with the set-up of the ERANET Plus, where the participating agencies commit to a virtual or real common pot for funding projects while the European Commission commits to a third of the common fund. In order to receive funding from the Commission, there are several basic criteria to be considered: – One joint call to be implemented per proposal.

– Minimum financial volume of the joint call is 5 M€, including the Commission’s contribution.

– The duration of an ERA-NET Plus cannot exceed 5 years.

The contribution made by the Commission helps agencies fund a larger number of projects as it increases the grant’s total amount.

The proposals presented to the Call must pass a process divided in two stages.

– In the first stage, the agencies belonging to the countries organising the Call evaluate the pre-proposals presented in order to determine which will be invited to present a final proposal.

– In the second stage, a centralised evaluation is performed by means of an evaluation panel composed of external evaluators.

This evaluation results in a ranking of projects that is sent to the EC, prior consortium approval. · 2nd Phase ERA-NET Plus: This phase begins with the EC’s acceptance of the ranking of projects approved in the Call launched and concludes when the ERA-NET Plus ends. During this period, the projects awarded grants are monitored, and the agencies submit periodical reports of this monitoring to the EC. It is worth noting that the Commission’s role is —for all purposes— that of a special funding partner, which may contribute with up to 33% of the total budget accumulated for the joint Call.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

Positioning of the Basque Country in the ERA-NET Programme

6.2.1.

Relevance of the ERA-NET Programme for the Basque Country In the past few years, the Basque Country has made a great effort towards improving its R&D. The experience obtained during the FP7 has served as confirmation that the ERA-NET scheme has been and continues to be an access path to internationalisation for those enterprises that, without having had any prior experience in European projects, want to start internationalising their R&D. It is an intermediate step, especially for SMEs, towards major R&D projects within the FP7. In coherence with this policy, the Basque Country has increased its participation by committing to ERA-NETs featuring themes that are aligned with the strategic areas proposed by the Science, Technology and Innovation Plan, such as micro and nanotechnology, manufacturing, biotechnology, SmartGrids, eco-innovation, food security and lead markets. Graph (G.6.1) shows this relationship between the strategies of the Science, Technology and Innovation Plan and the participation in ERA-NETs. The Basque Country has remained the region of reference in ERA-NET participation during the FP7. Proof of this is the support received from the European Commission in the MANUNET ERA-NET led by the Department of Industry, Innovation, Trade and Tourism of the Basque Government and coordinated by Innobasque. The EC has considered the MANUNET the best ERA-NET and defined it as “a key to success”.

Table (T.6.1) shows a complete list of the projects currently active including the leaders and their scope of action.

Below are the ERA-NET projects in which the Basque Country has participated or is participating: · MANUNET (2006-2014): This ERA-NET was born as an initiative by the Basque Government to progress towards the ERA in the scope of Manufacturing technologies. This initiative, led by the Department of Industry, Innovation, Trade and Tourism of the

103

Basque Government and coordinated by Innobasque, began in 2004 with the study of a European map that identified the regions and countries with a significant weight in the manufacturing area and with self-funding programmes. This study served as a base for the creation in the FP6 of the ERA-NET MANUNET (2006-2010), which has opened annual calls offering enterprises the chance to participate in international research projects on manufacturing and especially encouraging SMEs to become part of the ERA. The participation has been such a success during the life of the ERA-NET (the number of SMEs and projects presented in 2009 doubled those in 2007) that the Commission has approved a continuation proposal of the ERA-NET for four more years, which shall be led again by the Department of Industry, Innovation, Trade and Tourism of the Basque Government and coordinated by Innobasque (www.manunet.net). · MATERA (2005-2011): This ERA-NET was created in the FP6 and is aimed at strengthening the collaboration among different funding programmes from European countries and regions within the scope of Materials technologies and reinforcing the knowledge in new innovative materials and their application in the European Industry. This project is coordinated by the Finnish agency TEKES and the Department of Industry, Innovation, Trade and Tourism of the Basque Government, is participating in this ERA-NET as an associated member together with Innobasque, thus providing the opportunity for Basque enterprises to participate in trans-national projects related to materials (www.matera.fi).

G.6.1

ERA-NETs as a tool aligned with the Basque R&D Strategy and the FP7

FP7

Basque Strategy Bets

ERA-NET Projects

NMP

High performance Manufacturing

MANUNET

Space

New Material

MATERA

Socioeconomic science and humanities

Tourism, linguistics, commerce

ERNEST

Food, Biotecnology, agriculture and fishery

Food security

SAFEFOODERA (finished)

ICT

TICs

ETRANET (finished)

Energy

Energy

SMART GRIDS

Health

Bioscience

Security

Nanoscience

Transport

Intelligent transport

EUROTRANSBIO EURONANOMED MNT

LEAD-ERA Alternative energies Environment Eco-innovation

ECO-INNOVERA

· ERNEST (2008-2012): The objective of this ERA-NET —within the scope of Tourism— is to progress in the sustainable development of the sector via the coordination and collaboration between national and regional representatives. By means of this initiative, ERNEST aims to facilitate tourism research —especially sustainable and competitive tourism— that may influence the governance and development of policies on a European level. This project is coordinated by the Direzione Generale Sviluppo Economico of Tuscany (Italy), and the Department of Industry, Innovation, Trade and Tourism of the Basque Government is participating as a partner together with Basquetour and Innobasque (www.ernestproject.eu). · SAFEFOODERA (2004-2009): This ERA-NET aims to strengthen the collaboration between European countries and regions and spur their joint participation in research projects within the scope of Food Security. As a result of the success of its two trans-national calls, some of the participating governments have decided to continue their activities via a sustainable programme. This sustainability involves that the governments assume the management costs of a third trans-national call so Food Security projects can be funded through their funding programmes. This project is coordinated 104

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T.6.1

Projects currently active with leaders and their scope of action

Project

Leader

MANUNET: Manufacturing

Basque Government

MATERA: Materials

Finland: Tekes

ERNEST: Sustainable tourism

Tuscany: Regione Toscana

SAFEFOODERA: Food Security

Norway: NICe

SMARTGRIDS: SmartGrids

The Netherlands: NL Agency

ETB-PRO: Biotechnology

Austria: BMWA

EURONANOMED: Nanomedicine

France: CEA

MNT-ERA.NET II: Micro & Nanotechnologies

Austria: FFG

LEAD-ERA: Lead markets

Walloon Region: DGOEER

ECO-INNOVERA: Eco-innovation

Germany: PTJ-Julich

MATERA+: Materials

Finland: Tekes

by the Nordisk Innovation Centre (NICe), and the Department of Environment, Regional Planning, Agriculture and Fisheries of the Basque Government is participating as a member of the consortium together with ELIKA (www.safefoodera.net). · SMARTGRIDS (2008-2012): This ERA-NET was created with the aim of guaranteeing a coordinated research for the integration of SmartGrids architecture on a large scale. The SmartGrids ERA-NET encourages the development of trans-national research activities with the aim of expediting the development of a Smart Electrical Infrastructure in Europe. This project is coordinated by the Dutch agency NL, which is part of the Ministry of Economy, and the Department of Industry, Innovation, Trade and Tourism of the Basque Government is participating as a partner and member of the Management Board together with Innobasque (www.eranet-smartgrids.eu). · ETB-PRO (2009-2012): This ERA-NET is the continuation of the EuroTransBio ERA-NET (2006-2008), a project within the FP6 in which the Basque Country participated actively as a partner and a member of the Management Board since its creation. ETB-PRO is aimed at stimulating innovative and collaborative trans-national projects within the Biotechnology sector. It also works towards giving continuity to its activities by means of developing a sustainable programme. This project is coordinated by the Austrian Federal Ministry of Economy, Family and Youth (BMWFJ) and the Department of Industry, Innovation, Trade and Tourism of the Basque Government is participating —as in the first part of the ERA-NET— as a partner and member of the Management Board together with Innobasque. · EURONANOMED (2009-2012): This ERA-NET was created with the aim of promoting the competitiveness of the European actors in Nanomedicine by means of supporting R&D projects in trans-national and multidisciplinary cooperation with the participation of the academic, clinical and industrial sectors (specifically SMEs). This project is coordinated by the French Atomic Energy Commission (CEA), and the Department of Industry, Innovation, Trade and Tourism of the Basque Government is participating as a partner and member of the Steering Committee together with Innobasque (www.euronanomed.net). · MNT-ERA.NET II (2009-2011): This is the continuation of the ERANET within the scope of Micro and Nanotechnologies created in the FP6, MNT-ERA.NET (2006-2008). By applying the experience obtained in the previous period, this ERA-NET has adjusted itself to the new FP7 requirements with the aim of improving the cooperation between funding agencies, industry, technology centres and universities to guarantee a European network of main agents in the field of micro and nanotechnologies. This project is coordinated by the Austrian Research Promotion Agency (FFG), and the Depart-

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

105

ment of Industry, Innovation, Trade and Tourism of the Basque Government is participating as a partner and member of the Steering Committee together with Innobasque (www.mnt-era.net). · LEAD ERA (2009-2012): This ERA-NET aims to foster the coordination of a series of transregional programmes dedicated to research and innovation within the highly innovative and technology-based themes of the EU Lead Markets:

G.6.2

120

· ECO-INNOVERA (2010-2014): This ERA-NET was created in the FP7 and is aimed at strengthening the collaboration among different funding programmes from European countries and regions within the scope of eco-innovation as well as reinforcing the knowledge in the different fields covered by eco-innovation, such as advanced recycling or sustainable consumption and production and their application in the European Industry. This project is coordinated by the German Agency PTJ-Julich, and IHOBE together with the Department of Industry, Innovation, Trade and Tourism of the Basque Government are participating in both the annual joint Calls and other more strategic aspects (design of a future R&D&i agenda in ecoinnovation technology, etc.) (www.eco-innovera.eu). · MATERA+ (2009-2013): This is one of the ERA-NET Plus actions launched in the FP7 and originating from the ERA-NET MATERA. The aim of this project is to launch a single Call in the field of Materials. This project is coordinated by the Finnish agency TEKES, and the Department of Industry, Innovation, Trade and Tourism of the Basque Government is participating as a partner in the consortium together with Innobasque (www.matera.fi).

99

100 80

65

– eHealth.

– Protective Textiles.

– Sustainable Construction.

– Recycling.

– Bio-based Products.

– Renewable Energies.

This project is coordinated by the Directorate General operational for Economy, Employment and Research (DGOEER) of the Walloon Region, and the Department of Industry, Innovation, Trade and Tourism of the Basque Government is participating as a partner and member of the Steering Committee together with Innobasque (www.leadera.net).

Mobilisation of Basque Enterprises per year

60

46

20 0

G.6.3

Relationship between projects presented and projects approved in each ERA-NET 114

MANUNET

47 29

MNT-ERA.NET

12 10

MATERA+

2 6

MATERA

2 26

ETB

10 12

ETRANET

8 6

SUSPRISE

2 7

SAFEFOODERA

5 12

LEAD-ERA

4 5

SMARTGRIDS

1 4 1

Basque participation in the ERA-NET Programme 0

Since this tool was started-up in the FP6, the Basque Government has been involved in over 12 ERA-NET actions which have been key to the Basque industrial structure in themes such as manufacturing, biotechnology, micro and nanotechnologies, materials, renewable

106

47

40

EURONANOMED

6.2.2.

51

20

40

60

80 Presented

100

120 Approved

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.6.4

energies, eco-innovation, food safety, etc. As a result, it has become a region of reference in Europe.

Basque investment in R&D in ERA-NET projects (M€) 8.94

9 8

7.42

7 6 5 4

3.20

3 2 1

0.39

0

8.44

The Basque Government —together with the collaboration of agencies such as Innobasque, IHOBE and ELIKA— has participated through some of its funding programmes in the joint action of opening calls for trans-national R&D&i projects. As a result, a larger participation of Basque enterprises together with technology centres and universities has been achieved year after year. The figures are clear proof of the above-mentioned. In 2006, 46 Basque enterprises participated in these calls while in 2010 the participation was double. See graph (G.6.2) Mobilisation of Basque Enterprises per year.

The number of trans-national R&D&i projects with Basque participation is growing every year. The success rate of the projects funded is 30%, a higher success rate than in the FP7. These Calls are of great help for SMEs as they are a simpler and more flexible tool to use in order to internationalise their R&D. Graph (G.6.3) shows the number of projects presented and approved in the different ERA-NET projects in which the Basque Country is participating. Although Basque participation in the ERA-NET framed within Manufacturing has been remarkable (MANUNET has received 114 projects with Basque participation during its first period —2006 to 2010), the participation in other ERA-NETs framed in fields such as micro and nanotechnology, biotechnology or the recent lead markets or SmartGrids are also worth mentioning. Some of these ERA-NETs have just opened their first call and already have a very active participation.

Graph (G.6.4) shows the total amounts (M€) mobilised by Basque enterprises to carry out the projects approved, which has been slightly higher than 30 M€ in R&D&i within the past 5 years.

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7

INTRODUCTION TO THE EU FRAMEWORK PROGRAMME THE FUNDING OF RESEARCH AND INNOVATION (HORIZON 2020) DURING THE 2014-2020 PERIOD

7.1.

7.1.1.

7.1.2.

7.1.3.

7.1.4.

7.2.

7.3.

7.4.

7.4.1.

7.4.2.

7.4.3.

7.4.4.

7.4.5.

7.4.6.

7.4.7.

Tools to achieve the objectives in the Europe 2020 Strategy ................................................................................................................

The strategic framework ..............................................................................

Flagship initiatives ...........................................................................................

Innovation Union ..............................................................................................

European Innovation Partnerships “EIP” ..............................................

111

Procedure to prepare the EU Framework Programme for Research and Innovation Horizon 2020 ...............................

112

Summary of the new setting suggested by the Framework Programme Horizon 2020 ...........................................

116

Position of the Basque Country with respect to the Framework Programme Horizon 2020 (2014-2020) ............

Opinion on the future structure of the Framework Programme for Research and Innovation Horizon 2020 ............

Reinforcement of the role of Small and Medium Enterprises ............................................................................................................

Public-Private Partnerships .........................................................................

The need to connect pre-competitive research with innovation and the market .........................................................................

Simplifying the funding programmes ...................................................

Coordination between regional, national and European programmes ........................................................................................................

The social dimension of science and innovation ...........................

110 110 110 111

116 116 117 117 117 118 119 120

7.1.

Tools to achieve the objectives in the Europe 2020 Strategy

7.1.1.

The strategic framework The entire community policy developed in the next seven-year period will be linked to the Europe 2020 Strategy, which aims to attain the following 5 major quantitative objectives:

G.7.1

Europe 2020 Strategy EUROPE 2020

SMART GROWTH

SUSTAINABLE GROWTH

INCLUSIVE GROWTH

· Reach an employment level of 75% the volume of active population (understood as those between 20 and 64 years of age). · Destine 3% of the GDP to R&D activities.

Digital Agenda for Europe

Resource Efficient Europe

An Agenda for New Skills and Jobs

An Industrial Policy for the Globalisation Era

European Platform Against Poverty

· Meet the 20-20-20 energy efficiency targets: – Reduce in 20 % the CO2 emissions.

– Increase the renewable energies share to 20% of the total.

– Increase the efficiency in energy consumption by 20%.

Innovation Union

Youth on the Move

· At least 40% of the students should reach third level education, more or less identified with any University qualification, while the so-called academic failure should be reduced below 10%. · Avoid the risk of exclusion and poverty for, at least, 20 million Europeans.

7.1.2.

Flagship initiatives With the aim of achieving the aforementioned strategic objectives, specifically those linked to stimulating employment and growth, the European Union and the National Public Authorities have agreed to coordinate their forces and focus on 7 Flagship Initiatives —see graph (G.7.1). a) For Smart Growth · Digital Agenda for Europe. · Innovation Union. · Youth on the Move. b) For Sustainable Growth · Resource Efficient Europe. · An Industrial Policy for the Globalisation Era. c) For Inclusive Growth · An Agenda for New Skills and Jobs. · European Platform Against Poverty.

110

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7.1.3.

Innovation Union It is obvious that the Innovation Union flagship initiative be the one that governs the management of new initiatives in matters of research, development and innovation. This approach is based on the three following principles: · Focusing on innovations that address the major societal challenges identified in Europe 2020.

7.1.4.

European Innovation Partnerships As part of the Innovation Union flagship initiative, it is worth highlighting the initiation of European Innovation Partnerships due to their strong engagement with the EU Framework Programme for the Funding of Research and Innovation during 2014-2020 (Horizon 2020).

· Understanding and pursuing a broad concept of innovation, including both research-driven innovation and non-technological innovation that involves new business models, design and high addedvalue services.

EIPs are defined as a new approach to EU research and innovation.

First, they will be challenge-driven, focusing on societal benefits and a rapid modernisation of the associated sectors and markets. This means that they will go beyond the technology focus of existing instruments, such as Joint Technology Initiatives (JTIs).

· Involving all actors and all regions in the innovation cycle: not only large enterprises but also SMEs, the public sector, the social economy and the citizens themselves.

Second, EIPs will act across the entire research and innovation chain, bringing together all relevant actors at EU, national and regional levels simultaneously.

The actions within the Innovation Union framework are aimed at:

Third, they will streamline, simplify and better coordinate existing instruments and initiatives and complement them with new actions where necessary.

· Strengthening the knowledge base and reducing fragmentation.

– Promoting excellence in education and skills development.

– Delivering the European Research Area (ERA).

– Focusing EU funding instruments for innovation on the priorities established for the Flagship.

– Promoting the European Institute of Innovation and Technology (EIT) as a model of innovation governance in Europe. · Transferring good ideas to the market.

– Enhancing access to finance for innovative enterprises.

– Creating a single innovation market.

– Promoting openness and capitalising on Europe’s creative potential. · Maximising social and territorial cohesion.

– Spreading the benefits of innovation across the Union.

– Increasing social benefits. · Pooling forces to achieve real innovation breakthroughs. To this end, European Innovation Partnerships are suggested.

The Commission has already identified some EIPs that would be susceptible of constituting: · To tackle the climate change and energy challenge coming from cities. · To ensure higher quality and efficiency of our supply use of water. · To reduce emissions of greenhouse gases in transport. · To promote the EU’s competitiveness in the digital society. · To improve the supply of foodstuffs produced efficiently. · To improve the quality of life of an ageing European population.

In addition to this identification, preparatory work has been undertaken on launching specific partnerships in: water efficiency, nonenergy raw materials, smart mobility, agricultural productivity and sustainability, and on smart, liveable cities. Furthermore, the EIP Active and healthy ageing has already been launched as a pilot.

· Taking advantage of the policies by attracting foreign resources to the European Union. · Making the Innovation Union a tangible reality.

– Reforming research and innovation systems.

– Measuring the progress towards the set objectives appropriately.

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111

7.2.

Procedure to prepare the EU Framework Programme for Research and Innovation Horizon 2020 Within the aforementioned political and strategic context, the first steps are being taken for the configuration of the EU Framework Programme for Research and Innovation Horizon 2020. To this end, the document “Green Paper: From Challenges to Opportunities: Towards a Common Strategic Framework for EU Research and Innovation Funding” —generated by the Commission— is especially important. This document proposes a form with 27 questions that any party involved, public or private, group or individual may answer until May 20, 2011 with the aim of contributing to a collective thought that will shed light on the programme.

The programme has been established as an integrated funding system to cover all the funding carried out up to now through the Framework Programme for Research and Technological Development (FP7), the Competitiveness and Innovation Framework Programme (CIP) and the European Institute of Innovation and Technology (EIT) with the aim of bringing this funding together in a coherent and flexible manner.

V-MusT.net project: “Virtual Museum Transnational Network”. Virtualware is participating.

As a result, an intelligent route has been created to support research and innovation in Europe, strengthen the resulting excellence and ensure that the good ideas reach the markets and generate economic growth and sustainable work positions. By means of these actions, research and innovation will be better coordinated and engaged, as well as be aimed at overcoming the challenges posed by the current world in competition with other major global powers.

The new concept arises from the experience accumulated in the Seventh Framework Programme, in the CIP and the first KICs initiated by the EIT. The conclusion reached is that all these initiatives have been of great value for European development, but at the same time, they have also identified a number of shortcomings and deficiencies that require overcoming. Therefore, the financial framework must focus its improvement efforts on: · Clarifying objectives and how they are translated into the supported activities, while maintaining the flexibility to respond and without reducing the capacity to meet the emerging policy needs. · Reducing complexity: Over time, EU research and innovation programmes have expanded the set of instruments leaving an impression of catering to too many objectives and spreading funding too thinly. In addition, the lack of coordination between the EU and the Member States adds to the complexity and leaves a potential for overlap and inefficiencies. The programme speaks positively about the experiences linked to the implementation of article 185 of the Treaty on the Functioning of the European Union, the ERA112

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NETs and the first steps taken by the Joint Programming Initiatives (JPIs). However, its greater efficiency is linked to a stronger funding commitment by the national and regional authorities.

will tackle, will have to wait for a short period of time, some documents already anticipate a list that will be very similar to the final list:

· Increasing added value and leverage and avoiding duplication and fragmentation.

– Climate change.

· Simplifying participation by lowering administrative burdens and reducing the time for receiving the grant and payment, as well as implementing a new supervisory approach based on trust and a strict following of the objectives set.

– Use of natural resources.

· Broadening the participation in community programmes of those entities that, up to now, had it more difficult. In this line, it is considered necessary to further stimulate industry involvement, specifically of SMEs, to boost participation of female researchers and participants, to achieve a stronger involvement of third countries, and grow in collaboration with third countries. · Increasing the competitiveness and societal impact from EU economic support.

Considering all the aforementioned and while waiting on how the results of the answers to the form are applied, the aim of the Framework Programme Horizon 2020 is defined in its origin by: · Working together to deliver on Europe 2020: this insists on the need that the Framework Programme Horizon 2020 brings together and concentrates all the resources that are currently dispersed in the FP7, CIP and EIT. This will entail a one-stop shop with common ICT tools that will make the programme much simpler and cover the complete innovation chain.

This simplification must also be established in other contexts, such as extending the use of the calculation of the costs as a lump sum or the acceptance of the beneficiaries’ accounting practices.

Simultaneously, allowing for great flexibility will be necessary to cater for the diversity of funding needed to cover the full innovation cycle. Flexibility and speed in decision-making are also essential to attract certain agents (in particular SMEs).

An important role needs to be played by the future Cohesion policy, which serves to build new research and innovation capabilities on a regional level through smart specialisation strategies. And simultaneously to this geographical dispersion, a concentration of the efforts directed towards the priorities established by Europe 2020. · Tackling societal challenges: the Innovation Union called for linking future EU funding programmes more closely to these objectives by putting a stronger focus on tackling societal challenges. However, careful consideration is needed to identify those challenges where EU level interventions can truly make a difference. Although the final identification of the Grand Challenges, which the programme BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

– Health and ageing.

– Energy security.

– Clean transport.

– Land use.

Although another Grand Challenge may be added, it is very unlikely that the ones already identified will be excluded.

Despite the actual funding schemes having put in a considerable effort to reach the aforementioned objectives, mainly by means of the technological push, the experience has uncovered certain limitations in the consecution of the required flexibility, creativity and multidisciplinarity. However, it has been accepted that the formula based on the establishment of collaborative networks (expression which could be interpreted with reservations as referred to the current Cooperation Programme of the FP7) will continue being vital when it comes to supporting the European research structure.

It is precisely to overcome this state of things that the EU introduced the concept of European Innovation Partnerships to bring together supply and demand and address the Challenges. The document sets the SET-plan (Strategic Energy Technology Plan) as an example of that proper alignment of all the agents involved, which, according to the EU, has clear priorities, well-defined governance structures and progress assessment function. · Strengthening competitiveness: Europe needs to step up its performance in creating socio-economical impact from research and innovation funding. Obstacles remain in transferring research outcomes from the laboratory through to the development, commercialisation and application phases. As indicated in the Innovation Union, this requires an essential role for industry in setting priorities through Public Private Partnerships. Up to this moment, the PPPs Factories of the Future, Energy Efficient Buildings, Green Cars and Future Internet have served the Recovery Plan, leveraged after the crisis, and have brought the novelty of work programmes almost completely decided by the industrial sector. This statement represents an implicit acceptance of the validity of the experience and the possible guarantee of continuity in the period 2014-2020).

It also involves broadening funding support across the full innovation cycle (including proof of concept, testing, piloting and demon113

Relationship between the Grand Challenges and the Key Enabling Technologies

The texts currently published present a new concept: Key Enabling Technology, a concept that may be interpreted as the formula by means of which the Commission would give continuity to the current Cooperation Programme. The Framework Programme Horizon 2020 would be provided a certain matrix structure resulting from crossing the six Grand Challenges with Key Enabling Technologies (technologies that result essential in order to tackle the challenges successfully). The Key Enabling Technologies considered up to this date are —see graph (G.7.2): – Micro and Nanoelectronics.

– Advanced Materials.

– Photonics.

an u Te fac ch tu no rin lo g gi es

M ce d

Biotechnology

va n

Ad

Photonics

Nanotechnology Climate change

Health and ageing

Grand Challenges

– Nanotechnology.

Key Enabling Technologies

Advanced Materials

G.7.2

Micro and Nanoelectronics

stration), as well as covering issues such as post-project follow-up, pre-normative research, support to patenting and non-technological innovation.

Use of natural resources

Energy security

Clean transport

– Biotechnology.

– Advanced Manufacturing Technologies (this last one is horizontal, covering all the industrial aspects of the above-mentioned).

Land use

The FP7 introduced novel approaches to strengthen industry participation: the European Technology Platforms (ETPs), the Joint Technology Initiatives (JTIs) and the aforementioned PPPs. Latest documents show that their success depends on strong commitments from the stakeholders involved, a simple and efficient governance, and suitable structures for implementing the actions.

The EIT must continue to strengthen its business-driven approach by leveraging substantial funds from the private sector. Simultaneously, and in the context of the SET-plan (Strategic Energy Technology Plan), European Industrial Initiatives (EIIs) were launched to allow the public and private sector to jointly develop technology roadmaps. These EIIs are: – Solar Europe (PV and CSP).

– European Wind.

– Bio-Energy Europe”.

– European CO2 capture, transport & storage.

– European electricity grid.

– Sustainable nuclear fission.

The SET-Plan could be the paradigm in which other similar initiatives will be based around other key sectors of economic activity.

The experience of the CIP is mentioned again, which according to the reports on the competitiveness of SMEs is especially positive, emphasising the non-technological aspects of the innovation. It 114

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could be said that these statements represent, yet again, the tactical assumption of their continuity in the context of the Framework Programme Horizon 2020.

The current available forecast for 2014-2020 states the relevance of a greater participation of the SMEs, a participation that is mentioned in a paragraph, “...take into account [...] the fact that the needs of many SMEs are best served through support provided at the regional level, including through the Cohesion policy Funds”.

The new approach for the period 2014-2020 brings attention to the fact that the low level of private finance for research and innovation is a major bottleneck for the future development of Europe. In this sense, the Green Paper echoed the success of the Risk Sharing Finance Facility, the CIP financial instruments and the collaboration of the European Investment Bank Group reached in overcoming the market gaps. Building on this experience, future EU research and innovation programmes should make full use of financial instruments (through the EU Equity and Risk Sharing Platform mechanisms proposed in the Budget Review) to support the commercialisation of research results, the growth of innovative businesses and investments in major infrastructures.

aged to nurture the world’s most excellent public research institutions, through concentration of funding and a good combination of project grants and innovative institutional support schemes.

In the long term, world-class excellence can only thrive in a system in which all researchers across the EU are provided with the means to develop into excellence and eventually compete for the top spots. This requires Member States to pursue ambitious modernisation agendas for their public research base and its funding formulas.

The current position of the European authority on the programme considers the EU Marie Curie actions a major achievement in training and transfer of knowledge, in particular through industryacademia exchanges. This is again a strong indication in favour of the maintenance of these initiatives in the ESFRI. With regard to international collaboration, a more differentiated approach is required regarding the specificities of the different types of third countries, as well as striking the right balance between the goals of strengthening Europe’s competitiveness and solving global challenges.

This scheme could also considers new approaches, particularly those stimulating the demand side and aiming to involve public and private end users earlier and more closely in the innovation process. The Innovation Union calls for unleashing the public sector’s purchasing power to spur innovation through public procurement including the pre-commercial stage. This could build on pilot actions in the context of the still current CIP and FP7. · Strengthening Europe’s science base and the Europe Research Area: Europe’s science base is among the most productive in the world, yet it does not contain sufficient pockets of world-class excellence where groundbreaking research results are generated which are able to drive structural change.

The main responsibility for building a competitive public science base lies with the Member States. EU support can clearly add value as it has in the past through various initiatives contributing to the construction of the European Research Area (ERA).

The setting-up during the FP7 of the European Research Council, responsible for the management of the Ideas programme, was a major step forward in raising the excellence of Europe’s science base. A strengthening of its role during the period 2014-2020 could involve both the weight of the programme it manages and the instruments it uses. Important lessons must be drawn from the experience of those regions and countries which have manBASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

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7.3.

Summary of the new setting suggested by the Framework Programme Horizon 2020

7.4.

After interpreting and summarizing the above information, the major trends in which the Framework Programme Horizon 2020 will be based on are:

Talking about the EU Framework Programme for Research and Innovation Horizon 2020 is still a bit premature as both the operational roadmap and budget are unknown. However, the main Basque Agents involved in European R&D&i activities throughout the first period of the FP7 have agreed on a document that reflects the Basque position on the most relevant aspects of the operation of European Framework Programmes, a position that is presented below.

· The integration of all the current research and innovation programmes in the context of a single initiative with the final aim of achieving greater efficiency when transferring to the market the results of the new knowledge generated. · The growing relevance of the innovation component, including non-technological innovation. · Less complication and further simplification, which translates into a concentration of efforts towards the great challenges and an easier, faster and unified administrative management. · A matrix structure of the programme with the intersection of the Grand Challenges and the Key Enabling Technologies. · The probable maintenance of the Cooperation Programme, as well as initiatives and structures considered successful to a lesser or greater degree, such as: Marie Curie, Public-Private Partnerships (PPPs), European Research Council, Joint Technology Initiatives (JTIs), etc. · The growing synergy between the programme and other funding instruments of industrial investment. · A further coordination with national and regional R&D&i support programmes.

Position of the Basque Country with respect to the Framework Programme Horizon 2020 (2014-2020)

7.4.1.

Opinion on the future structure of the Framework Programme for Research and Innovation Horizon 2020 According to the latest information on the Programme for Research and Innovation Horizon 2020, it is structured on three pillars: basic research and mobility, competitiveness research and research for the Grand Challenges. This structure would simplify the current Framework Programme, which has had to generate new instruments and procedures thereby complicated the system. · Competitiveness is covered separately from the social challenges in the proposed structure of the programme. From the Basque Country’s point of view, social innovation is seen as integrated with the challenges of competitiveness and employment maintenance, not independently. · It is essential that the cooperative research continue to be the core of the Framework Programme Horizon 2020 due to the importance and success of the Cooperation Programme in the Seventh Framework Programme. · A radical simplification of the current structure of the programme is necessary so the one-stop-shop concept can be achieved in all European programmes for research and innovation, as well as standardising the procedures of grant programmes by providing unique presentation, evaluation and negotiation procedures for projects in shorter times. · Bottom-up Ideas as the driving force for the participation of more Agents: conceding a broader space for ideas arising from “bottom to up” is important. The current Framework Programme aims research excessively towards already defined topics, which could limit the creativity, the innovation and even the participation of organisations whose research studies are not covered in these topics. The Framework Programme Horizon 2020 should be provided with an Open Innovation approach, and more open and informal (bottom-up) participation spaces should be encouraged where re-

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· Small or medium-sized enterprises without the internal capacity for carrying out R&D activities in which Programmes such as Research for the benefit of SMEs could contribute with an undisputable value, provided that its operation is optimised. In this sense, an improvement could be to favour dynamics that facilitate the creation of groups of enterprises that associate with each other to subcontract R&D activity.

search and mobility and/or innovation have a place, outside from the formal networks and projects created. Likewise, this could be a path that spurs the participation of new enterprises, especially SMEs. Currently, only the programme Research for the Benefit of SMEs allows this type of projects, but according to the experience of participation in the Basque Country, it is not considered as a programme that is sufficiently attractive for enterprises. A revision and improvement of this programme is suggested. · The Ideas Programme has been an essential and successful tool in the Seventh Framework Programme. Therefore, giving this programme continuity would be a positive measure to encourage Basic Research of excellence in Europe. The mobility of researchers within the Ideas Programme could be an additional success factor.

7.4.3.

The experience of many Basque Science and Technology Agents and Enterprises in Public-Private Partnerships (PPPs), especially in Factories of the Future and Energy Efficient Buildings, is very positive.

Their involvement from the first phases of the inception of this type of initiatives has given a voice to the private sector so they can, from bottom to up, decide on research strategies in these European initiatives. However, the following is suggested:

· Stimulation of the mobility of researchers between the academic and enterprise sectors. Up to this date, the People Programme has given preference to the mobility of people between research institutions. The activities that fund the mobility from universities and research centres to enterprises require reinforcement, and vice versa. · With regard to the structure of the Cooperation projects, certain flexibility is required to allow the existence of consortiums with a limited number of partners that would simplify their internal operation. This measure would enable the participation of Productive Small Entities (SMEs) and the possibility of consortiums with over 30 partners in projects with a strategic or standardized nature. The classification of projects must be rearranged to achieve this effect.

7.4.2.

Reinforcement of the role of Small and Medium Enterprises Given the high number of Productive Small Entities (SMEs) that comprise the basis of European wealth, any action that facilitates their participation in R&D&i activities on a community level will ensure a more sustainable future in the present context of global economy.

Among the Productive Small Entities, there are two large groups with different ways of participating in the European Programmes: · Small or medium-sized enterprises with the internal capacity for carrying out R&D activities, whose participation could be favoured by means of policies such as: – Maintaining a minimum participation between 15 and 20% in large projects.

– Especially encouraging mechanisms that support R&D —type IP or STREPS— for SMEs with broader calls in research themes and a limited number of partners.

– Favouring the presence of SMEs through the evaluation criteria of proposals.

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Public-Private Partnerships

· Working towards the homogenisation of the rules, procedures and management of the PPPs. · An absolute transparency in budget handling (public money must always be controlled by public entities). · Supervising, in all cases, the fair entry of enterprises and research bodies.

7.4.4.

The need to connect pre-competitive research with innovation and the market The Basque Country endorses useful research that results in value generating job positions. Therefore, it is essential that the Framework Programme Horizon 2020 cover the complete circle of innovation, allowing research projects with provable successful results to reach the phases of demonstration, insertion and diversification of markets.

In this sense, the following actions are suggested: · Automatic funding mechanisms that guarantee the results obtained from research are exploited. Examples: – Extension mechanisms: automatic funding through the new Common Framework for Research in favour of European R&D projects with proven success results.

– Label mechanism: automatic funding through the national and regional programmes in favour of European R&D projects with proven success results.

– Consider the best practices already carried out to link research with innovation and the market, such as market replication projects in Eco-innovation in the Competitiveness and Innovation 117

Framework Programme (CIP), demonstration projects in calls for the Energy Theme in the FP7 or the KICs launched by the EIT. Transfer these best practices to more scopes than those currently covered. A greater economic involvement of the private sector and a lower involvement of the public sector should be established in this type of mechanisms as proof of the commitment of enterprises towards the possibilities of exploitation of products or services resulting from the research.

– There should be project and programme indicators to, for example, see the evolution of the Grand Challenges. These programme indicators should be representative of aspects of the programme and should also encourage the possibility of adjusting the budgets allocated to each programme in accordance with their results.

· The transfer of people to generate impact: i) encouraging the mobility of researchers in a flexible way during the span of the project, especially towards enterprises; and ii) permitting a variable geometric approach of consortiums, that is, allowing the entry of new partners to perform the exploitation and/or industrialisation phases while keeping the intellectual property and patents from the results obtained in the research phase.

The implementation of a series of indicators that enable the evaluation of “Additionality” is suggested to simplify the supervision of projects; three scopes can be differentiated:

– A suitable system of indicators could become a positive tool that gives a strategic push to themes related to Social Innovation.

– Input Additionality: That each public Euro also draws in at least 1 Euro from the private sector, thus achieving a leverage effect and a multiplying effect in private funding. This leverage effect should also be implemented in regional funding.

· Continuity of the ERA-NET initiatives as a valid formula to support the research implemented: the results obtained in the last years have proven that the calls launched by the ERA-NET initiatives:

– Output Additionality: That the euro contributed by the public sector generates an impact/benefit of at least 1 euro when applying the results. An example of these indicators would be the Patents generated and the income associated to their exploitation.

– Allow working in smaller Consortiums than in the FP7 and are closer to the market.

– Behavioural Additionality: That each public euro, in addition to the aforementioned, changes the innovative behaviour of the enterprises, in such a way that if public funding is withdrawn, this behaviour is maintained. In this line, the history of innovation and achievements of partners belonging to an R&D consortium should be considered in the evaluation of proposals.

– Encourage and facilitate the participation of SMEs. – Constitute a funding mechanism with simpler procedures.

– Achieve the coordination of national and regional policies and programmes to finance trans-national projects, thus contributing to the construction of the ERA. These initiatives should be supported and reinforced in the Framework Programme Horizon 2020 and provided with additional funding from the EC. In this sense, the ERA-NET PLUS formula is administratively too complicated for it to be assumed by the national and regional governments and therefore its revision is recommended. · Establishment of Indicators of Innovation: in order to supervise the results appropriately, a series of indicators should be established which are coherent with the exploitation of the results. In other words, if positive results are obtained, there should be a variable funding factor rewarding these results. Among the functions that these indicators should fulfil, the following are worth mentioning: – They should serve to determine, as much as possible and in certain moments of the project or instrument’s life cycle, its continuity, that is, they should be go/no go type indicators that provide an efficient evaluation and allow taking the decision, if required, to “kill” both the projects and the instruments.

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On the other hand, the system of indicators suggested must be aligned with those of the Innovation Union Scoreboard (IUS) in order to provide coherence to the measurement system.

7.4.5.

Simplifying the funding programmes The continued evolution of the Framework Programme throughout the years has resulted in a series of improvements. However, the existence of different tools, procedures, evaluation processes, etc. currently involves a significant source of headaches as well as the impossibility of bringing many enterprises closer to the European Programmes due to the inherent complexity of these mechanisms.

As a result, a drastic simplification of both the procedures and the mechanisms is imposed for the representation of proposals and the carrying out of projects, as well as for the funding mechanisms, which require a greater simplicity for all programmes, especially those aimed at SMEs.

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grammes, should be rationalised when considering that they would be more efficient if kept together, as information and the access to programmes related to the theme are lost. The programmes should be more open and facilitate the bottom up process (FET, Research for SMEs...), thus avoiding adjusting projects so they fit in the defined themes.

A significant number of improvements have been identified that would enhance the operating procedures, amongst of which the following are worth highlighting: · Telematic Tools There is a need for a one-stop-shop in which to be able to carry out all the formalities. A unified web tool is required that provides access to the participants by assigning them a personal identification code (CIP) and that could be used for any call in the Framework Programme Horizon 2020 as well as in other programmes from other General Directorates. The services provided by this access could also be extended to the project reporting of all the General Directorates, in such a way that they are homogeneous and digitally processed.

· ERA-NET When starting-up ERA-NET projects, limiting or at least setting their number more efficiently is suggested so funding the States and Regions is coordinated and structured in a better way and higher levels of commitment, evaluation, temporary guidelines for the concession of standardised grants, etc. can be reached. · Financial simplification

This common tool has to be a stable tool; updating the systems is positive provided that the modifications are not frequent and the users are notified in advance. With regard to the validations, this system should have a simple validation system —especially for SMEs— that allows performing modifications and serves as a validation in future Framework Programmes.

With regard to the improvements that can be carried out on the financial aspects of the Framework Programmes, the following are worth mentioning: – The idea of average cost is positive. Applying the accounting principles of each region/country is permitted in order to avoid keeping “2 accountancy books”.

· Transparency and efficiency The objective is for the Framework Programme Horizon 2020 to be inclusive and efficient, i.e., that simplification and transparency be two elements that guide its operation, with the aim of achieving a simpler structure by eliminating the obsolete instruments that are incomplete or do not operate correctly, as well as aligning the objectives and the means with the national/regional structures. The procedures should be simpler, have an improved evaluation process, facilitate access to different phases of the Programme’s span and have a series of simple, clear and unified accounting principles so the global level of complexity is suited to the objective intended: reduce the possibility of error and avoid possible fraud. Training delivered by the EC in project reporting and providing contacts to resolve queries is considered a better practice for the Framework Programme Horizon 2020.

The access to the drafts of the Work Programmes should be provided early and in equal terms, as well as the possibility of communicating with the contact person in each General Directorate about the preliminary verification and operation of ideas. · Structure of the calls With regard to the structure of the Calls, they should be stable year after year and include one or two phases, depending on the theme, for the presentation of proposals. Aspects such as in the Energy and Health Themes, which in addition to being present in their specific work programme are dispersed in different pro-

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– As a general rule, the concept of Lump Sum is rejected and it should only be used in those cases in which there is no other alternative accountancy-wise.

– Continuing with the pre-funding scheme is suggested.

– Carrying out payments on behalf of the Commission is advisable if duly justified, regardless of whether other partners have done it or not.

– The possibility of justifying costs that fit in the project but which have arisen outside the justification period is suggested (phase 0, or demonstration projects).

7.4.6.

Coordination between regional, national and European programmes The participation in R&D&i activities in cooperation on a European level is beneficial for Enterprises, Technology Centres and Universities as it allows them to establish a broad network of contacts, it contributes with an important source of funding for these activities, and the knowledge acquired results in an opportunity to access new markets with new products.

In any case, to establish a support network for R&D&i activities that facilitates the generation of innovative products and enables reaching a sustainable industrial structure in the current global economy, an alignment of the rules and the reinforcement of the coordination between regional/national and European in119

struments is essential. In other words, a common framework for funding R&D&i is required. As a result, we should tend to a gradual integration of the regional and/or national programmes, although implementing these changes may be a difficult task to achieve in a short to medium-term due to requiring a change in the regulation.

To carry out a coordinated action between the different regional, national and European levels, a solution could be to fund different themes with the aim of having a wide variety of funding options.

Although this modality would be an interesting option for large enterprises, as they would have sufficient resources to carry out different types of projects and could request funding in all levels, this would have a negative effect on the SMEs, whose capacity for allocating resources is much more limited.

Therefore, the Basque industrial structure requires that the different programmes (regional, national and European) be aligned and have a common R&D strategy, which would allow working in the same themes (for example, the CENIT on a Spanish level and the Etorgai on a Basque level are replicas of European funding). In addition, creating a structure of levels would allow enterprises in the future to climb from the regional to the European level (ERA-NET scheme).

This process of supporting Enterprises, especially SMEs, aimed at directing their R&D activities towards a European level is of great importance, as the possibilities of funding on a regional level are limited.

An option would be to try and get the regions to finance proposals that have been valued positively in Europe but have finally not been financed. These proposals could be rescued, for example, through ERA-NET calls. Therefore, promoting a simple mechanism that by means of simply presenting the proposal would be sufficient to access financing is essential; however, this would require a change in the current regulation. Taking into consideration that co-funding in the current situation is impossible, the possibility of funding what is not funded by Europe is suggested instead of co-funding.

In any case, the coordination between instruments should be sustained on the funding structure of the nations and regions, although a greater coordination and a stronger level of commitment than the current instruments have is required (ERANET, Eureka, Eurostars) in order to achieve common evaluation rules, temporary guidelines for the concession of standardised grants, etc. In the case of the ERANET Plus, it would be preferable to have a more defined structure and operation to avoid learning by doing.

In addition, to facilitate the actions at the lowest level of the scale, the mechanisms of the European Investment Bank Group should

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be capable of reaching the smallest of scopes (small investments).

To this end, further risk-sharing instruments should be carried out in order to involve the private sector especially in those phases in which the project results have to be exploited.

7.4.7.

The social dimension of science and innovation The Basque Country believes that social innovation must be integrated into the challenges of employment maintenance and competitiveness and not operate independently. The Framework Programme Horizon 2020 will not be capable of optimising its potential impact without the full integration of all the actors involved, that is, the objectives set for the ERA will not be achieved without including the social dimension of science and innovation.

The social dimension of science should be considered as a transversal matter that should be taken into consideration wherever it can be applied so a strategy tending to promote scientific and innovative culture in all scopes can be encouraged and thus the need of a greater involvement of society can be met in the contents of Science and Technology of the next Common Framework.

Therefore, we consider that interdisciplinarity and the participation of multi-agents should be encouraged in both the partnerships and the contents of R&D&i in the different fields and that the non-profit entities —also known as the third sector— and the SMEs should be considered as key agents and the final beneficiaries of the innovations. The aim is to make room for “not so large agents” as opposed to the habitual presence of larger entities.

And although it may seem an overly repeated theme, the aim is to bear in mind the gender dimension in both the creative participation of the projects and the contents of the research. To this end, the following is suggested: · Strengthening the role of women in Science and Technology: continue with the promotion of a fairer participation of men and women, emphasising on the relevance of strong policies in Member States to encourage the presence of women in research teams and in the different national and EU committees (Advisory Groups, National Contact Points, Expert Groups, etc.). · Providing the content of the research a perspective of diversity: the next Common Strategic Framework should help redirect scientific practices from a perspective of gender and diversity. · Recovering the Gender Action Plans as efficient instruments to reflect on and consider the perspective of gender in research.

Finally, in order to reinforce the social dimension of the research conducted in the Framework Programmes, the matrix included in the BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

drafts of the Framework Programme Horizon 2020 —in which Grand Challenges are crossed with Key Enabling Technologies— should include a specific scope for Social Technologies and Non-Technological Innovation amongst the Key Enabling Technologies, that is, Social Innovation.

BLOODGEN project: “Blood Grouping and Genotyping: Improving patient safety and Blood transfusion Compatibility”. Progenika is participating.

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8

CONCLUSIONS

8.1.

The Basque Country against the challenge of Competitiveness .............................................................................................

8.2.

The Country’s most important challenges

8.3.

The Main Players’ commitments ........................................................

The Basque Enterprise ...................................................................................

The Basque University ...................................................................................

The Technology Centres ................................................................................

The Basque Government and the Institutions .................................

8.3.1.

8.3.2.

8.3.3.

8.3.4.

8.4.

Epilogue

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The participation of Basque Agents in European R&D&i Framework Programmes started in 1986 with the inclusion of Spain in the European Community, and therefore these agents of the Basque R&D&i systems have been participating since the first Framework Programme, which covered the period between 1984 and 1987.

Since then, as already revealed in this Revision of the Strategic Book, a significant growth of Basque activity in the European R&D Programmes has occurred, thus proving that the Basque Agents involved in R&D&i work have taken advantage of the great opportunity provided by these programmes as a means of funding their research activity.

In effect, the considerable returns obtained between 1986 and 2010 (more than 500 M€) has enabled the access to a very significant amount of funding aimed at the generation of knowledge and its subsequent transfer to market results, which would have not been attainable any other way.

Taking into consideration the opportunity that the framework programmes entailed for the Basque technological-industrial structure, in 2006 the Technology Directorate of the Department of Industry, Innovation, Trade and Tourism of the Basque Government decided to prepare the Strategic Book of Basque R&D&i in Europe to “adopt the Basque position before the challenge posed by the Seventh Framework Programme”.

Following the first period of the FP7 (2007-2010), the Technology Directorate of the Department of Industry, Innovation, Trade and Tourism of the Basque Government has once again considered necessary to prepare a Revision of the Strategic Book of Basque R&D&i in Europe. In this Revision, it has redefined the Objectives that were established in the previous edition of 2006 by updating the expectations for the second period of the FP7 (2011-2013) from a more realistic perspective after four years of calls and a further knowledge of the new instruments, such as the JTIs, PPPs, etc.

8.1.

The Basque Country against the challenge of Competitiveness The Basque Country has proven continued entrepreneurship throughout is history by supporting itself in its industry as a basic tool to develop welfare. However, the new reality imposed by the globalisation of the economy suggests the need to adapt the Basque industry to the main aim of maintaining a sustainable competitiveness, which will ensure future prosperity for future generations.

The fact is that for progress to be achieved with respect to the emerging countries, the industrial structure must be based on knowledge, which can only be reached by means of the systematic practice of R&D&i. To this end, it is also worth mentioning some of the most relevant factors on which to act in a more efficient way and therefore improve the social and economic impact of R&D&i as a means of achieving a sustainable competitiveness for the future. · Educational systems, from primary education to the university, have become one of the most important factors —due to their capacity for promoting the culture of innovation and entrepreneurship— of comprehensive training and quality as key elements of welfare. · Another main factor in the scientific-technological evolution of the Basque Country is the Knowledge Triangle comprised by the Science-Technology-Enterprise connection. To this end, approach efforts should be made from Industry by fully involving itself in the R&D&i programmes and with the appropriate people, and from the Basque Science-Technology system by demanding a medium to long-term market approach for products/services/processes new to R&D projects. · The encouragement of the use of patents and intellectual property protection must be carried out as a basic indicator to measure the progress of the efficiency of research towards the market. · The creation of pilot markets via the policy of public purchases and/or innovation programmes involving all the Basque public institutions must prove that the innovation policy will not only facilitate development but also economic and social impact and exploitation, especially in areas such as Health, Security, Energy, Environment, Digital Contents, etc. where the Public Sector has more capacity for action.

In addition, and in direct connection with the Framework Programmes, highlighting the benefits that they may yield is also advisable:

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· Stimulating the participation in the People programme and its capacity for mobilising researchers —by crossing-borders to and fro and facilitating transfer between Universities, Centres and Enterprises— is a key element to inject fluidity into the market of researchers. This will provide the institutions with a better integration of cultures and interdisciplinarity and better prospects towards European projects and their market impact. · The active participation of the Basque Government as an institution in Europe, which will allow improving the cohesion of the Basque Country with its most similar European regions and countries, in accordance with several central themes: technology, markets, proximity, etc., thus favouring the offer of support to enterprises in their international and technological expansion as well as to the Basque Science-Technology system.

8.2.

The Country’s most important challenges Basque participation in European R&D&i Programmes is proving that the Basque R&D&i system as a whole is increasingly using these programmes, which does not imply that there is no room for improvement.

A series of generic themes to act upon can be identified that would result in an increase of the aforementioned participation without forgetting the fact that the Basque economy, employment and welfare grows proportionally with the Basque participation in European R&D&i Programmes. The most evident areas for improvement are: · The increase of enterprise participation in the European R&D&i Programmes, especially of SMEs, whether directly or “carried along” by agents of the Basque Technological Offer. · The still considerably large potential for growth of University implication without underestimating the progressive increase of its activity on a European level, which has been experienced throughout the past years. · The new instruments, such as the IDEAS and PEOPLE Programmes which have been two scopes with very successful Basque participation during the 2007-2010 period of the FP7, must become essential tools aimed at attracting new values towards our R&D&i system. · The positive effect that the ERA-NET programme represents in its function as the first access to R&D&i in cross-border cooperation must be strengthened as a learning and encouragement pathway to the participation of SMEs in the FP7.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

8.3.

The Main Players’ commitments As a summary and following the analysis performed of the different Framework Programmes, which include the first four years of the FP7, a series of conclusions are presented below on the commitments that the different main players of the Basque R&D&i System should assume.

8.3.1.

The Basque Enterprise The Basque enterprise is the main target of all the R&D&i effort as a basic element of generating wealth for the Basque Country. Therefore, the mobilisation of enterprises with the aim of participating in European R&D projects and attracting the significant economic support provided by EU Programmes is essential.

When analysing the evolution of the participation of enterprises in Framework Programmes —see graph (G.8.1). Evolution of the participation of Enterprises in the different Framework Programmes—, we can see that after reaching a maximum participation in the FP5 (300), the participation has continually dropped, although it is worth reminding that the current economic crisis took place during the period of the FP7 analysed.

In this sense, it seems like that after the minimum registered in 2009 a significant recovery has been achieved, maybe as a result of the implementation of the European Economic Recovery Plan that initiated the Public-Private Partnerships (PPPs).

When analysing the evolution of the returns obtained by the Enterprises, see graph (G.8.2) Evolution of the returns of Enterprises in the different Framework Programmes, the image is slightly different, as despite having achieved less participation in the FP6 than in the FP5, the returns are higher (43.2 M€), which proves a participation in larger-scale projects. However, the FP7 experiences a slight drop in returns, maybe due to the influence of the crisis.

When analysing the evolution of the first four years of the FP7, we find confirmation of the effect caused by the European Economic Recovery Plan and the new instruments initiated by it —2010 registered the largest annual return (12.09 M€).

Graph (G.8.4), which compares in percentages the returns obtained

by SMEs and Large Enterprises, shows how in 2007 and 2008 —in spite of the lower participation of Large Enterprises— these obtain higher returns than the SMEs, although at the end of the 2007-2010 period the SMEs obtained a slightly higher percentage (54.31%) of the total returns.

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In any case, when talking about Enterprises, which are usually differentiated by their size, another aspect that can be used to differentiate them is their capacity for carrying out or its habitual practice of R&D activities. Establishing this differentiation is necessary, as other objectives can be inferred that will lead to improving competitiveness: · Enterprises, SMEs or not, which with a proven capacity are already participating in European R&D Programmes should see the second period of the FP7 as a great opportunity to obtain funding thanks to the considerable funds made available by the Commission towards R&D. · Enterprises with the capacity for R&D&i practice which have up to now only participated in funding programmes for R&D&i on a national and/or regional level should start crossing borders by using the benefits that the ERA-NET Programme provides for the initiation of international collaboration experiences in R&D&i projects.

G.8.1

Evolution of the participation of Enterprises in the different Framework Programmes

350

300

300 250

221

220

200

164 150 100

42

50

48

45

29

0

G.8.2

· Lastly, Enterprises that do not carry out R&D&i activities in a systematic way should take the importance of basing their development and sustainability on knowledge by means of R&D&i activities as a reference and initiate a path marked by regional and national programmes with the aim of entering the ERA-NET environment as a means to achieving the objective, which is the participation in Framework Programmes.

Evolution of the returns (M€) of Enterprises in the different Framework Programmes 50 45

40.90

43.20

41.70

40 35 30

30.30

25 20

8.3.2.

15

The Basque University

11.97

The main commitment that the Basque University must assume is to continue increasing its participation in European Programmes by following the example of other Spanish Universities and taking into consideration the benefits that these activities contribute to when performing its function of creating knowledge and training the future mass of researchers that will enable the economic sustainability of our Country.

In graph (G.8.5), which shows the participation of Basque Universities in European Programmes, we can see how during the first period of the FP7 there has been a drop in the number of participations with respect to the FP6. However, we can also see a marked increase since 2008, which sets expectations of better figures for the future.

However, despite the number of participations displayed in graph (G.8.5) for the FP7 being lower than those for the FP6, when analysing the returns obtained —see graph (G.8.6), there is a significant improvement (higher than 72%) in the FP7 with respect to the FP6, setting a maximum historical figure.

6.97

5 0

Comparison of participations according to the type of Enterprise in the 2007-2010 period of the FP7

G.8.3

70

65.52

62.50

59.15

57.78

60

52.38 50

47.62 42.22

40

37.50

40.85

34.48

30 20 10 0 SMEs

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12.09

10.66

10

Large Enterprises

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

G.8.4

In any case, this fact only proves the beginning of an important path.

Basque Universities should be aware that the participation in European Programmes could contribute to relationships with other Universities of other Member States of the European Union which would allow them, in the future, to create collaborative synergies that would benefit their training and research activities.

Comparison of the returns (M€) according to the type of Enterprise in the 2007-2010 period of the FP7 90

80.06

80 70

56.50

60 50

53.46

57.8

45.54

43.50

In addition, this research activity could provide the University a stronger relationship of cooperation with enterprises in the same environment, which at the same time would also generate a synergy of new opportunities for both parties.

54.31 45.69

42.22

40 30

19.94

20

Lastly, the University is the Institution that can most benefit from the opportunities provided by the IDEAS Programme —in new basic research activities— and the PEOPLE programme —in mobility. In this sense, it is worth mentioning that:

10 0 SMEs

Large Enterprises

· 45% of the returns obtained in the FP7 by Universities originate from the IDEAS and PEOPLE Programmes.

Evolution of the participation of Basque Universities in the different Framework Programmes

G.8.5

80

· The University obtained 52% of the returns in the IDEAS Programme.

76

70

· The University obtained 16.6% of the total returns in the PEOPLE Programme.

63

60

As a result, basic objectives can be set for our Universities such as taking better advantage of the opportunities provided by the IDEAS and PEOPLE Programmes, but without forgetting that the different Themes of the COOPERATION Programme provide a wide scope of multidisciplinary work that should allow an increase of collaborative relationships for research with Basque Centres and Enterprises in benefit of our Society.

50 40 30

21

23

18

20

14 8

10 0

8.3.3.

Since the FP5, the Technology Centres have established themselves as the agents that most participate and more funds obtain from the Framework Programmes and have become an essential piece in the articulation of the Basque Policy on the Internationalisation of R&D&i.

Therefore, they should assume a firm leading role in transferring the opportunities of participation in the Framework Programmes to the Basque enterprise, by increasing its collaboration share with the Basque enterprise and strongly raising the rate of cooperation.

Evolution of the returns (M€) of Basque Universities in the different Framework Programmes

G.8.6

20

18.11

18 16 14 12

10.50

10

7.81

8 6

4.36

4 2

2.80

2.93

3.02

0.60

0

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

The Technology Centres

Graphs (G.8.7) and (G.8.8) show the evolution of the participation and the return obtained by the Technology Centres in the Framework Programmes.

When analysing these graphs, we come to the conclusion that the figures maintain a constant level in spite of the crisis, which means that the capacity to participate of the Technology Centres may have

127

reached its peak. Therefore, the main objective that should be established for Technology Centres is, as already mentioned, to act as a driving force for enterprises by increasing the collaboration with them and “leading them by the hand” to European R&D&i Funding Programmes.

However, the possibilities that the IDEAS and PEOPLE Programmes provide Technology Centres are also significant. In the first period of the FP7, Technology Centres obtained 48% and 38.87% of the total returns obtained by the Basque Country in the IDEAS and the PEOPLE Programmes respectively.

G.8.7

Evolution of the participation of Technology Centres in the different Framework Programmes

400

250

150

· Continuing with an active policy of diffusion, missions, conferences and editions such as this Revision of the Strategic Book, which is aimed at endorsing the image “Country” as a European territory of technological excellence. · Continuing to offer selective support measures that eliminate participation barriers in Europe by means of instruments in its own R&D&i programmes.

97

83

108

85

95

50 0

The Basque Government must also continue playing an active role in European R&D&i as a general guarantor of the process described in this Revision of the Strategic Book.

· Continuing with the support offered to industry in joint calls with other European governments within the framework of the ERA-NET scheme in the most important strategic themes.

218

200

The Basque Government and the Institutions

The Government’s role is summarised in:

303

300

100

8.3.4.

371

350

G.8.8

Evolution of the return (M€) of Technology Centres in the different Framework Programmes

140

117.07

120 100 80

70.70

60

44.60 40

27.80

39.32 26.66

27.81

23.28

20 0

8.4.

Epilogue The Basque Country is immersed in a global process of multiple social, economic, cultural and industrial aspects that have been affected significantly as a result of the global crisis experienced since 2007.

This process has had an intense rhythm of events, with results that have not always been positive, such as some industrial delocalisation, others which would have been very positive but have been temporarily affected by the economic crisis, such as our unemployment rate or our GDP growth, and, finally, other very important results for the social structure, such as the technological content of our foreign sector or our European economic returns.

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

Despite the objectives set out in this Revision of the Strategic Book are more ambitious for the 2011-2013 period than those that were set in the 2006 edition, there are still areas with a big room for improvement.

All in all, the Basque Country sees the new European R&D&i scene as a fabulous opportunity because of the resources it will return, the international mobilisation it will provide our enterprises, and the

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

rigor and external competitiveness that our Science and Technology is demonstrating and will continue to demonstrate before the best in Europe.

Finally, it is important to bear in mind that the success of the Basque activity in the FP7 must be considered as just another step towards the EU Framework Programme for the Funding of Research and Innovation (Horizon 2020).

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BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY 2011 STRATEGIC BOOK

9

ANNEXES

9.1.

9.1.1.

9.1.2.

9.1.3.

9.1.4.

9.1.5.

9.1.6.

9.2.

9.3.

9.3.1.

9.3.1.1.

9.3.1.2.

9.3.1.3.

9.3.2.

9.3.3.

9.3.4.

9.3.5.

9.3.5.1.

9.3.5.2.

9.3.5.3.

9.4.

9.4.1.

9.4.2.

9.4.3.

9.4.3.1.

9.4.3.2.

9.4.3.3.

ANNEX 1. Examples of good practice in the FP7 .....................

Iberdrola’s experience leading a project in the FP7 .....................

Experience of the ALFA Group in ERA-NET initiatives ...................

Experience of IK4 cooperating with Basque enterprises in European R&D projects .................................................................................

Experience of Tecnalia in Public-Private Partnerships (PPPs) ..

Experience of the University of the Basque Country in projects for the mobility of researchers and in basic research .................................................................................................................

Experience of the nanoGUNE CRC in projects for the mobility of researchers and in basic research .................................

ANNEX 2. List of projects funded during the 2007-2010 period of the FP7 ...........................................................................................

ANNEX 3. Support Services for Enterprises in European R&D&i Programmes ..............................................................

Enterprise Europe Network .........................................................................

European information, enterprise cooperation and internationalisation .........................................................................................

Innovation and technology .........................................................................

European R&D&i Projects .............................................................................

NETWORK OF PI+D+i: Network of Information Points on R&D&i ......................................................................................................................

Units of International Innovation (UIIs) ................................................

National Contact Points (NCPs) ................................................................

Other support services ..................................................................................

Research Enquiry Service (a service provided by the Europe Direct Contact Centre) ...................................................................................

European Helpline Service on Intellectual Property Rights (IPR Helpdesk) ...................................................................................................

Ethics Help Desk for all projects of the Seventh Framework Programme ..........................................................................................................

ANNEX 4. Glossary of terms ...................................................................

Introduction .........................................................................................................

Glossary of the Strategic Book ..................................................................

Glossary of the Seventh Framework Programme ..........................

Glossary of the Programme .......................................................................

Other DeďŹ nitions ...............................................................................................

Glossary of Legal Terms ................................................................................

132 132 133 133 134

134 135

137

150 150 150 150 151 151 152 152 153 153 153 154 156 156 156 157 158 158 163

9.1.

ANEX 1. Examples of good practice in the FP7 A series of interviews conducted with Enterprises and Agents of the Basque Science, Technology and Innovation Network that already are participating in the projects funded by the FP7 are presented below. These entities provide their experience in aspects that, under our point of view, are noteworthy, such as: · A leadership in a European project. · An SME participating in ERA-NET calls. · Cooperation between Technology Centres and enterprises. · Participation in Public-Private Partnerships (PPPs). · Mobility of Researchers and Basic Research.

9.1.1.

Iberdrola’s experience leading a project in the FP7 The Iberdrola Group is participating in 14 projects funded by the FP7; one of them is the OPEN METER project, which is led by Iberdrola Distribución Eléctrica. This project includes a Consortium comprising 19 partners, some of them are important in the European utilities sector, such as EDF (France), ENEL (Italy), or RWE (Germany), and others are manufactures of measurement equipment, such as Itron (France), Landis+Gyr (Switzerland) or Elster (Germany), and technology providers, such as Current (Switzerland). The ZIV Group, with head offices in the technology park of Zamudio, is also a partner in the project.

OPEN METER project: “Open Public Extended Network Metering”. Iberdrola Distribución Eléctrica, uSysCom Tecnología de Comunicaciones and ZIV PmasC are participating.

The aim of this project is to define a series of open and public standards to measure electricity, gas, water and heating based on a common agreement between relevant agents in this area while considering the true conditions of the current networks that will allow their implementation.

The project had been gestating since the beginning of the design of the FP7. This moment in time coincided with Iberdrola participating in the preparation of the Strategic Research Agenda (SRA), which served as the foundation for the definition of the Energy Theme in the FP7. From the ideas arising in the meetings aimed at defining the SRA, Iberdrola began to monitor the themes that could be proposed in relation to Smartgrids and subsequently from the first calls that were published in the FP7.

The corporate strategy in research and development of Iberdrola usually follows two directions: the business itself detects a need and the corporation requests the R&D unit to work on it, or when R&D activity fits in a call such as the case of OPEN METER. The OPEN METER project has just ended and in its course, a new European directive was established - EU Directive 72/2009 - known as the third energy package, which forces the replacement of at least 132

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

they have been able to learn of these initiatives first hand and to collaborate in a project with important European companies and research centres.

80% of the electricity meters for intelligent meters before the end of 2020. Therefore, some of the meters that are currently being installed in Europe are already taking advantage of the results of this research.

It is important to highlight that even micro-enterprises have a place in European cooperation projects. A clear example of this is an enterprise within the ALFA Group, ALFA ARTE, which is a small bronze smelting enterprise focusing on art. This company performs a significant amount of R&D activity and is involved in a MANUNET project on the use of laser technologies for different applications.

The coordination of a European project has many professional advantages, such as the creation of a portfolio of international contacts, the consolidation of personal relationships that open doors to other interesting collaborations and it encourages the learning of equivalent companies in other countries.

9.1.2.

Experience of the ALFA Group in ERA-NET initiatives The cooperation of the ALFA Group in R&D activities started on a local level by conducting research aimed at improving processes and by studying materials in collaboration with technology centres and universities in the Basque Country. In one of their lines of research, they became aware of the need to collaborate with a German company and they decided to search for funding options. As a result, they decided to present their project proposal to the first call of the ERANET MANUNET and they succeeded. Up to this date, another three projects have been funded via this instrument, and they have led one.

The ERA-NET is an instrument that has some advantages over large European programmes such as the FP7. Firstly, they are normally projects led by SMEs with a lower number of partners, as opposed to the size of the cooperation projects funded by the FP7. Their management and bureaucracy are also simpler, the success rate is higher and they provide enterprises a wide geographical area in which to search for the best partners. In addition, this research is closer to the market, which allows the company to reach a pilot that, such as in the first project funded by the MANUNET, is already finding the interest of clients of the ALFA Group.

The participation in a first international consortium also gradually bears other fruits. From the personal relationships that have been built, usually new ideas arise that lead to the presentation of new project proposals to European Programmes such as the FP7 or new opportunities of collaboration in other sectors appear such as the commercial sector, which is the case of the ALFA Group.

Although the advantages of international cooperation are more than evident, it is also true that introducing an SME in the European scenario of R&D is a difficult task; it is important knowing where you stand, how to sell yourself and how to defend your interests. In addition, they consider that the work performed by the technology centres with which they collaborate is essential. The participation of the ALFA Group in the MANUFUTURE technology platform and the Factories of the Future Public-Private Partnership has also paid off, as

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

9.1.3.

Experience of IK4 cooperating with Basque enterprises in European R&D projects European SMEs provide most of the job positions and they also generate most of the value in our continent. Therefore, they are clearly key actors in the transformation of knowledge into new products and better manufacturing processes.

However, SMEs, except for technology SMEs, find it difficult to integrate R&D&i as part of an inexcusable process of their business, especially if the research has to be conducted in the context of international collaboration (such as in the Framework Programme). It seems like the European Commission is going to simplify the bureaucratic process and shorten the administrative deadlines. If this occurs, it will be a significant contribution to the increase of participation of SMEs. In addition, the European Commission will have to maintain or even increase the range of funding instruments especially aimed at the needs of small and medium enterprises, aside from introducing the participation of SMEs as a positive valuation element in the evaluation of any European proposal.

The driving force of research organisations over enterprises is, and has been for many years, a very important factor in the increase of participation of SMEs in Framework Programmes. However, the research organisations cannot encourage the presence of small and medium enterprises in projects that, whether due to their scientific/ technological content or the nature of the funding instrument and the size of the initiative, are not ideal for their participation. Therefore, IK4 understands that they would convince SMEs much more easily of the advantages of participating in the Framework Programme if the projects were smaller in size and if the industrial profile and research profile applied were increased. If this is not possible initially, at least a new instrument linked to the validation, demonstration and exploitation of successful projects could be launched where SMEs could be incorporated in the context of the value chain.

The IK4 Research Alliance maintains a permanent commitment as a driving force over the participation of Basque enterprises in calls 133

from the Framework Programme. In fact, statistics show that other Basque entities, SMEs mostly, also participate in a significant part of the projects in which IK4 participates. This commitment has been ratified by the positive experience: Basque enterprises show a high level of compliance in their commitments, collaborate with enthusiasm and dedication and, what is most important, they do it with the aim of obtaining benefits from this effort. Participation is usually so positive that it is unusual, after a first project, for them not to insist again, usually with a more ambitious approach. It would be difficult to list specific results that have already been marketed, but there are many, even regarding secondary aspects of research, that have subsequently shown an unexpected commercial potential.

9.1.4.

Experience of Tecnalia in Public-Private Partnerships (PPPs) The PPPs were born within the framework of the European Economic Recovery Plan as a new way of approaching European R&D, where a more predominant role was given to the private and especially the industrial scope. A PPP is a public-private partnership, that is, an association between the public sector (the EC) and private entities (linked to industry) with common objectives and a commitment to progress towards the objectives. The Research PPPs share research funding between public and private entities for a series of years, there is a public management of calls, evaluations, contracts, etc. related to the projects, and the private sector participates in the definition of the research priorities. Likewise, PPPs aim for further innovation in projects and a clear economic impact.

The role of Tecnalia in the FoF PPP is serving to consolidate its interests in several aspects, it is i) boosting the FoF PPP to guarantee a European budget in the manufacturing area, ii) allowing the participation of Tecnalia itself and other enterprises it works with in the definition of R&D strategic priorities, iii) participating zealously in several calls related to the FoF, by leading initiatives and accompanying enterprises it works with; iv) and carrying out an R&D aimed at obtaining results close to the market’s needs.

The Basque entities are very well-positioned in the FoF: from enterprises and business associations that participate in European projects or in the EFFRA itself, directly or through AFM/INVEMA and CECIMO, to the Basque administration / Innobasque by means of Manunet initiatives that are connected to the FoF, universities —with the participation of MU—, IK4 centres Ideko and Tekniker, and Tecnalia —with several of its more industrial units.

The calls are managed in the same way as calls in the FP7: The EC publishes a call and the participants try to perform as well as possible. However, there are a couple of differences: the content of the

134

call’s theme —understood as the description of the topic— originates from a roadmap defined mainly by the private part of the PPP, and the projects generally focus more on industrial application, on demonstration. The funding originates from the same place as others do in the FP7: the European states fund the EC budget with everybody’s taxes. Part of this budget is destined to R&D, thus co-funding the projects, and the remainder of the co-funding is provided by each participating entity.

9.1.5.

Experience of the University of the Basque Country in projects for the mobility of researchers and in basic research The trajectory of the University of the Basque Country in the Framework Programmes has been gradual and growingly significant. Following a considerable participation in the FP6, the FP7 has been a strategic commitment for this institution, which is obtaining significant results.

The year 2007 was a turning point for the University of the Basque Country with the constitution of a European Programme Unit comprised by a team of people specialised in providing support for university researchers. In addition to the informative and training work carried out to educate the researchers in being connected to the research conducted and financed by Europe, they help them throughout the life cycle of each project, from the preparation phase of proposals to the management and justification of the projects.

These services facilitate the growing participation of new researchers in European projects that are initially quite reticent and are even fearful of participating in projects of this size. However, once they have been successful and have obtained EC funding for their first project, they obtain enough experience and confidence to participate in more European projects on an international level.

The University of the Basque Country participates very actively in the FP7 and obtains very positive results. In fact, they are participating in 57 projects, in all programmes and in almost all areas, although mainly in the NMP, ICT and Health Themes.

Their participation in the PEOPLE programme aimed at research mobility and talent attraction is also noteworthy. They have obtained projects in almost all the types of instruments, both individually and in a consortium, and they have even led a Marie Curie Initial Training Network (ITN) in the area of Neurosciences.

They have also been awarded a significant amount of grants so a large number of European PhD graduates, or from third countries, can conduct their research in the University of the Basque Country.

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

The encouragement to participate in the IDEAS programme promoting investigator-driven frontier research has resulted in obtaining 2 Starting Grants and 1 Advanced Grant, which involve a return of 4,675,000 euros. However, there is still room for improvement, which shall be exploited with the identification of candidates and comprehensive support in the preparation of proposals and interviews.

The rise in the number of European projects is the result of the strategic commitment implemented by the University of the Basque Country aimed at strategically positioning itself in international networks, consortiums and platforms of science, technology and innovation, and thus achieving further international visibility.

9.1.6.

MAGNIFYCO project: “Magnetic Nanocontainers for Combined Hyperthermia and Controlled Drug Release”. The CRC nanoGUNE is participating.

Experience of the nanoGUNE CRC in projects for the mobility of researchers and in basic research The strategy of the nanoGUNE CRC since its inception has been to cooperate in research both with Basque and foreign agents, and since January 1, 2009 work is being carried out in European networks and consortiums supported by the European Commission through different programmes such as the FP7, Interreg, etc.

With regard to the FP7, nanoGUNE participates especially in large projects within the Nanosciences and Health Themes, mainly in collaboration with other European research centres. They consider that the cooperation with enterprises from their environment is essential once these projects have experienced a certain development.

The People Programme has been essential in facilitating the creation of a high level within the experimental groups of nanoGUNE by attracting PhD graduates with some professional development but a significant knowledge. The infrastructure of nanoGUNE is greatly specialised and its closeness to the research environment of their Basque bodies, such as the university or technology centres, are the main factors that attract researchers.

They consider that the Ideas programme is suitable to support extremely high-risk projects whose results may have a significant impact in the field of research it operates. The researchers that obtain funding through the Ideas programme have a significant trajectory in research and a considerable impact in their field; in this sense, two researchers of nanoGune have been given due recognition.

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135

ETSF project: “European Theoretical Spectroscopy Facility I3”. The University of the Basque Country is participating.

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9.2.

ANNEX 2. List of projects funded to Basque Agents during the 2007-2010 period of the FP7 COORDINATION Health

JTI.IMI

Acronym

Title

CHAARM

Combined Highly Active Anti-Retroviral Microbicides

EU-GEI

European Network of National Schizophrenia Networks Studying Gene-Environment Interactions

EUROCOURSE

Europe against cancer: optimisation of the use of registries for scientific excellence in research

FAST

Towards safe and effective immunotherapy of persistent life-threatening food allergies

GRIP

Global research in paediatrics

Health at Work

“An inquiry to the health and safety at work; a European Union perspective”

IBDase

Mucosal protease and their inhibitors in inflammatory bowel disease: From etiopathogenetic

IMAGINT

Her Imaging and molecular interaction mapping in breast cancer

MEFOPA

European Projectpn Mendelian Forms of Parkinson’s Disease

MM4TB

More medicines por Tuberculosis

NanoAntenna

Development of tools for sensitive and specifi in vitro detection of proteins and their interactions for diagnostic prognostic and monitoring purposes

PortFastFlu

Portable automated test for fast detection and surveillance of influenza

ZF-CANCER

Developing high-throughput bioassays for human cancers in zebrafish

CEED3

Collaborative European Effort To Develop Diabetes Diagnostics

Food, Agriculture, Fisheries y Biotechnology Acronym

Title

DeepFishMan

Management And Monitoring Of Deep-sea Fisheries And Stocks

ETHERPATHS

Characterization and modelling of dietary effects mediated by gut microbiota on lipid metabolism

EU-PEARL

EU-based Production and Exploitation of Alternative Rubber and Latex Sources (PEARL)

FACTS

Forage Fish Interactions

FOODSEG

Safe food for Europe-Dissemination of research results of EC funded research on food safety

JATROPT

Jatropha Curcas Applied and Technological Research on Plant Traits

MADE

Mitigating ADverse Ecological impacts of open ocean fisheries

MAITRE

Media Actions for International Training of REsearchers

NAMASTE

New advances in the integrated management of food processing waste in india and europe: use of sustainable technologies for the exploitation of byproducts into new foods and feeds

NANODETECT

Development of nanodensor for the detection of quality parameters along the food chain

PREVENT ESCAPE

Assessing the causes and developing measures to prevent the escape of fish from sea-cage aquaculture

SO2SAY

Replacement of sulphur dioxide (SO2) in food keeping the Same qualitY and shelf-life of the products

TXOTX

Technical eXperts Overseeing Third country eXpertise

WELFARE INDICATORS

Development, integration and dissemination of animal-based welfare indicators, including pain, in commercially important hunsbandry species, with special emphasis on small rumiants, equidae and turkey

Information and Communication Technologies Acronym

Title

4ward

4Ward Architecture And Design For The Future Internet

ADAMANTIUM

Adaptative Management of media distribution based on satisfaction oriented user modeling

AmI-MoSES

Ambient-Intelligent Interactive Monitoring System for Energy Use Optimisation in Manufacturing SMEs

ANIKETOS

Secure Development of Trustworthy Composable Services

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ARCADIA

Aligning Research Agendas in ARTEMIS

AsTeRICS

Assistive Technology Rapid Integration & Construction Set

BEYWATCH

Building Energy Watcher

CARDIAC

Coordination Action in R&D in Accessible and Assistive ICT

CEPoSS

Coordination and Implementation of a European Strategy on Smart Systems Technologies

CHIRON

Cooperative Advanced REsearch for User-centric healthcare

CHIRON

Cyclic and person-centric health management: integrated approach for home, mobile and clinical environments

COIN

COllaboration and INteroperability for networked enterprises.

CompanionAble

Integrated Cognitive Assistive and Domotic Companion Robotic Systems for Ability and Security

CONFIDENCE

Ubiquitous Care System to Support Independent Living

COSMOS

Cost-driven Adaptive Factory based on Modular Self-Contained Factory Units

DEMI

Product and Process Design for AmI Supported Energy Efficient Manufacturing Installations

DEMONS

DEcentralized, cooperative, and privacy-preserving MONitoring for trustworthiness

EASYPRO

Accurate manual guided robot programming

eCoMove

Cooperative Mobility Systems and Services for Energy Efficiency

ENERGY WARDEN

Design and real time energy sourcing decisions in buildings

ENERSIP

ENERgy Saving Information Platform for Consumption and Generation Networks

EnPROVE

Energy consumption prediction with building usage measurements for software-based decision support

eSMCS

Extending sensomonitor Contigencies to cognition

euRobotics

European Robotics Coordination Action

eValue

Testing and Evaluation Methods for ICT-based Safety Systems

FAST2LIGHT

High-throughput, large area and cost-effective OLED

FIEMSER

FRiendly Intelligent Energy Management System for Existing Residential Buildings

Florence

Multi Purpose Mobile Robot for Ambient Assisted Living

GENESYS

Generic Embedded System Platform

GUIDE

Gentle User Interfaces for Disabled and Elderly Citizens

HAPTIMAP

Haptic, Audio and Visual Interfaces for Maps and Location Based Services

HERMES

Cognitive Care and Guidance for Active Aging

iTETRIS

An Integrated Gíreles and Traffic Platform for Real-Time Road Traffic Management Solutions

KOMPEYE

Enhancing the Visual Perception Capabilities of Kompaï Robot Using Parallel Processing

KYOTO

knowlege Yielding Ontologies for Transition-Based Organisation

LabOnFoil

Laboratory Skin Patches and SmartCards based on foils and compatible with a smartphone

LISTA

The listeining Talker

MEDNET

Latin American Health Care Network

MICIUDAD

Metropolis of obicuitous services

Mosaic

Open-Source API and Platform for Multiple Clouds

MSE

Manufacturing Service Ecosystem

NANO-ICT

Nano-Scale ICT Devices and Systems Coordination Action

OASIS

Open Architecture for Accessible Services Integration and standardisation

OPEN NODE

Open Architecture for Secondary Nodes of the Electricity SmartGrid

PASCA

Platform for Advanced Single Cell-Manipulation and Analysis

PATHS

Personalised Access to cultural heritage spaces

PERFORM

A sophisticated multi ParamEtric system foR the continuous eFfective assessment and mOnitoRing of Motor status in parkinson’s disease and other neurodegenerative diseases

Plant Cockpit

Production logistics and sustainability

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

PROSE

Promoting Standardisation for Embedded Systems

REEB

The European strategic research Roadmap to ICT enabled Energy-Efficiency in Buildings and construction

REMICS

REuse and Migration of legacy applications to Interoperable Cloud Services

RUBICÓN

Robotics UBIquitous COgnitive Network

SAIL

Scalable & Adaptive Internet soLutions

SELECT

Smart RFID for High-Accuracy Radio Detection Identification And Localization

SHAPE

Semantically-enabled Heterogeneous Service Architecture and Platforms Engineering.

SHIELDS

Detecting known security vulnerabilities from within design and development tools

SIDAM

Investigation of Si wafer damage in manufacturing processes

SOLID

Solid State Systems for information Processing

SRS

Multi-Role Shadow Robotic System for Independent Living

TEFIS

TEstbed for Future Internet Services

Teresa

Trusted computing Engineering for Resource constrained Embedded Systems Applications

JTI.ARTEMIS

ASTUTE

Pro-active decision support for data-intensive environments

JTI.ARTEMIS

CAMMI

Cognitive Adaptive Man-Machine Interface

JTI.ARTEMIS

CESAR

COST-EFFICIENT METHODS AND PROCESSES FOR SAFETY RELEVANT EMBEDDED SYSTEMS

JTI.ARTEMIS

E2D Cloud

Energy Efficient District Cloud

JTI.ARTEMIS

EDIANA

Embedded Systems for Energy Efficient Buildings

JTI.ARTEMIS

EMMON

EMbedded MONitoring

JTI.ARTEMIS

eSONIA

Embedded Service Oriented Monitoring, Diagnostics and Control: Towards the Asset-aware and Self-Recovery Factory

JTI.ARTEMIS

IFEST

Industrial Framework for Embedded Systems Tools

JTI.ARTEMIS

iLAND

mIddLewAre for deterministic dynamically reconfigurable NetworkeD embedded systems

JTI.ARTEMIS

IOE

Internet of Energy

JTI.ARTEMIS

nSHIELD

New embedded Systems arCHItecturE for multi-Layer Dependable solutions

JTI.ARTEMIS

PSHIELD

Pilot embedded Systems archItecture for multi-layer dependable solutions

JTI.ARTEMIS

R3COP

Robust and Safe Reasoning Robotic Co-operative Systems

JTI.ARTEMIS

RECOMP

Reduced Certification Costs for Trusted Multi-core Platforms

JTI.ARTEMIS

SMARCOS

Smart/Context-Based connected interactions for consumer spaces

JTI.ARTEMIS

SOFIA

SMART OBJECTS FOR INTELLIGENT APPLICATIONS

JTI.ARTEMIS

SYMBEOSE

Symbian: the Embedded Operating System for Europe

JTI.ENIAC

E3CAR

Nanoelectronics for an Energy Efficient Electrical Car

JTI.ENIAC

LENS

Lithography Enhancement towards Nano Scale

JTI.ENIAC

MAS

Nanoelectronics for Mobile Ambient Assisted

Nanosciences, Nanotechnologies, Materials and New Production Technologies Acronym

Title A new generation of fibre-based diagnostic sensors

ADACOM

Adaptive Control for Metal Cutting

ADAMOD

Plug-in Adaptronic Modules for real-time errors (Thermal & Vibration) compensation and superfine positioning in reconfigurable high precision machine tools

ADDNANO

The Development and scale-up of innovative nanotechnology-based processes into the value chain of the lubricants market

BUGWORKERS

New tailo-made PHB-based nanocomposites for high performance applications produced from environmentally friendly production route

CHAMELEON

Production Dependent Adapative Mahine Tool

CODICE

Computationally Driven design of innovative cement-based materials

COEUS-TITAN

Innovative smart composite mooulds for cost effective manufacturing of plastic and composite components

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CONFORM2 JET

Self-Learning sysytem for Freerorm Milling with High energy Fluid Jets

COSMOS

Cost-driven adaptive factory based on modular self-contained factory units

Cost-Effective

Resource- and Cost-effective integration of renewables in existing high-rise buildings

COTECH

Production technologies and equipment for micro-manufacturing

Demat

A multi-technological approach for dematerialising the production systems within a view of productive, reliable and eco-efficient machining processes

DEMCAMER

Design and Manufacturing of Catalytic Membrane Reactors by developing of new nano-architectured catalytic and selective membrane materials

ECOplast

Research in new biomass-based composites from renewable resources with improved properties for vehicle parts moulding

EDEFU

New design of ecological furnaces

EU2010_R2S

International Conference of the Spanish EU Presidency 2010. The European Framework Programme: from Recovery to Sustainability

FIND AND BIND

Find and Bind: Mastering sweet cell-instructive biosystems by copycat nanointeraction of cells with natural surfaces for biotechnical applications

FIRE-RESIST

Developing novel fire-resistant high performance composites

FLEXIPAET

Flexible Patterning of Complex MicroStructures using adaptative Embossing technology

FRAME

Fast Ramp-up and Adaptive Manufacturing Environment

H2SusBuild

Development of a clean and energy self-sustained building in the vision of integrating H2 economy with renewable energy sources

HINAMOX

Health Impact of Engineered Metal and Metal Oxide Nanoparticles: Response, Bioimaging and Distribution at Cellular and Body Level

HINTS

Next Generation Hybrid Interfaces for Spintronic Applications

H-Know

Advanced Infrastructure for Knowledge Based Services for Buildings Restoring

IMS 2020

Supporting Global research for IMS 2020 Vision

Innoshade

Innovative Switchable Shading Appliances based on Nanomaterials and Hybrid Electrochromic Device Configurations

INTeg-Risk

Early Recognition, Monitoring and Integrated Management of Emerging, New Technology Related Risks

INTEG-U

New production technologies of complex 3d micro-devices through multiprocess integration of ultraprecision engineering techniques

INTIME

N time delivery in non-hierarchical manufacturing networks for the machinery and equipment industry

i-Protect

Intelligent PPE system for personnel in high-risk and complex environments

Iremo

REactive polymer composites Moulding

Lean PPD

Lean Product and Process Development

LEANFORM

Self-Learning sheet metalforming system

M3 - 2S

Multiscale modelling for multilayered surface systems

MAGNIFYCO

Magnetic nanocontainers for combined hyperthermia and controlled drug release

MANUVAR

Manual Work Support Throughout System Lifecycle by Exploiting Virtual and Augmented Reality

MESSIB

Multi-source Energy Storage System Integrated in Buildings

Mold4ProdE

Intelligent Molds for Productivity Enhancement

MuProD

Innovative proactive Quality Control system for in-process

NAD

Nanoparticles for therapy and diagnosis of alzheimer disease

NAMDIATREAM

Nanotechnological Toolkits for Multi-modal Disease Diagnostics and Treatment Monitoring

NANEX

Development of Exposure Scenarios for Manufactured Nanomaterials

NANOCLEAN

Self-Cleaning surfaces for automotive by combining taylored nanostructures compunds

NANORETOX

The Reactivity and Toxicity of engineered Nanoparticles:Risks to the Environment and Human Health

NANOTHER

Integration of novel NANOparticle based technology for THERapeutics and diagnosis of different types of cancer

NANOTOUGH

Nanostructured toughened hybrid nanocomposites for high performance applications

NapaNIL

Nanopatterning, Production and Applications based on Nanoimprinting Lithography

NEPHH

Nanomaterials related environmental pollution and health hazards throughout their life cycle

NET-CHALLENGE

Innovative networks of SMEs for complex products manufacturing

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

NOZZLEINSPECT

Technical specification for the inspection from outside of the inner radius and the nozzle to vessel weld of Cofrentes NPP feedwater nozzle

ORION

Organic-Inorganic Hybrids based on Ionic Liquids

PARYLENS

PARYLENE based artificial smart LENSes fabricated using a novel solid-on-liquid deposition process

POCO

Carbon Nanotube confinemenet Strategies to Develop Novel Polimer Matrix Composites

POLYBRIGHT

Extending the process limits of laser polymer welding with high-brilliance beam sources

POLYFIRE

Processing and upscaling of firesistant nanofilled thermosetting plyester resin

Remplanet

Resilient Multi_Plant Networks

SAFE@SEA

Protective clothing for improved safety and performance in the fisheries

SAFEPROTEX

High protective clothing for emergency operations

SaveMe

A Modular Active Nano-Platform for Advanced Cancer Management

SKINTREAT

Novel approaches for the development of customized skin treatments and services

TailorTool

Microestructural modelling for Tool Materials with Tailored Thermo-mechanical properties

THEMA-CNT

thermal management with carbon nanotube architectures

Trans-IND

Integrated cost-effective construction process for transport infrastructures, based on a flexible industrialisation of FRP components

TRANSPARENCY

Adaptive Business Collaboration by progressive knowledge sharing and engineering

VFF

Holistic, extensible, scalable and standard Virtual Factory Framework

WOODLIFE

Extended service-life and improved properties of wood products through the use of functional nanoparticles in clear coating and adhesive systems AEROgel-based Composite/hybrid nanomaterials for cost-effective building super-INSulation systems

PPP.EEB

AEROCOINS

PPP.EEB

EnRiMa

Energy and Risk Management in Commercial Buildings

PPP.EEB

FC-District

New micro-CHP network technologies for energy efficient and sustainable districts

PPP.EEB

NANOINSULATE

Development of Nanotechnology-based High Performance Opaque & Transparent Insultation Systems and Biocide formulations for Energy Efficient Buildings

PPP.EEB

NANOPCM

New advanced insulation phase change materials

PPP.EEB

SPORTE2

Intelligent Management System to integrate and control energy generation, consumption and exchange for European Sport and Recreation Buildings

PPP.EEB

TIBUCON

Self powered wireless sensor network for HVAC system energy improvement

PPP.FoF

AIMACS

Advanced Intelligent Machine Adaptive Control System

PPP.FoF

CUSTOMPACKER

Highly customizable and flexible packaging station for mid-to upper sized electronic consumer goods using industrial robots

PPP.FoF

DYNXPERTS

Plug and Produce Components for Optimum Dynamic Performance Manufacturing Systems

PPP.FoF

e-CUSTOM

A Web-based Collaboration System for Mass Customization

PPP.FoF

FoFdation

The foundation for the smart factory of the future

PPP.FoF

HARCO

Hierarchical and Adaptive smaRt COmponents for precision machine tool application Knowledge, Awareness and Prediction of Man, Machine, Material and Method in Manufacturing

PPP.FoF

KAP

PPP.FoF

Plant Cockpit

PRODUCTION LOGISTICS AND SUSTAINABILITY COCKPIT

PPP.FoF

PoPJIM

Plug and Produce Joint Interface Modules

PPP.FoF

QUANTUM

Development and validation of a standardised methodology and the suitable software tools for quantifying and reducing the energy consumption of machine tools in the use stage

PPP.FoF

ROBOFOOT

Smart robotics for high added value footwear industry

PPP.FoF

Satisfactory

European ICT Forum for Cross Industrial Learning and Roadmapping for the Factory of the Future

Acronym

Title

Energy ADDRESS

Active Distribution networks with full integration of Demand and distributed energy RESourceS

ALONE

Small Scale Solar Cooling Device

APOLLON

Multi-APprOach for high efficiency integrated and inteLLigent CONcentrating PV modules

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ARQUIMEDES

Achieving real change with innovative transport measures demonstrating energy savings

ASAMPSA

Towards convergence on severe accident risk assessment in europe

CIVITAS-ARCHIMEDES

Achieving Real Change with Innovative Transport Measures Demonstrating Energy Savings

CORES

Components for Ocean Renewable Energy Systems Development

ECCOFLOW

Development and field test of an efficient YBCO Coated Conductor based Fault Current Limiter for Operation in Electricity Networks

EcoGrid EU

Large scale Smart Grids demonstration of real time market-based integration of DER and DR

EFONET

European Foresight Network

EquiMar

Equitable Testing and Evaluation of Marine Energy Extraction Devices in terms of Performance, Cost and Environmental Impact.

Grid4EU

Integración de renovables con automatización de la distribución eléctrica

GROW-DER

Fiabilidad y operativa de la red de suministro con generación distribuida usando almacenamiento móvil

HESCAP

New generation, High Energy and power density SuperCAPacitor based energy storage system

HiPRwind

High Power, high Reliability offshore wind technology

HITECO

New solar collector for high temperature operation in CSP applications

LASTBEG

Large scale tool for power balancing of electric grids

LCA to GO

LCA to go-Boosting Life Cycle Assessment Use in European Small and medium-sized enterprises:serving needs of innovative key sectors with smart methods and tools

MACCSOL

The development and verification of a novel modular air cooled condenser for enhanced concentrated solar power generation

MACPLUS

Material-Component Performance-driven Solutions for Long-Term Efficiency Increase in Ultra Supercritical Power Plants

MARINA

Marine renewable integrated application platform

MERGE

Evaluate the impacts that EV will have on the EU electric power systems regarding planning, operation and market functioning.

OPEN METER

Open Public Extended Network Metering

PIME´s

CONCERTO communities towards optimal thermal and electrical efficiency of buildings and districts, based on MICROGRIDS

PolyZion

Fast Rechargeable Zinc-Polymer Battery based on Ionic Liquids

ZEOCELL

Nanostructured electrolyte membranes based on polymer/ionic liquids/zeolite composites for high temperature pem fuel cells

JTI.FCH

PEER

Novel Low cost performing membrane electrode assemblies for LT-PEMFC in transportation

JTI.FCH

PEMICAN

PEM with Innovative low cost Core for Automotive applicatioN

JTI.FCH

RAMSES

Robust Advanced Materials for metal Supported SOFC

JTI.FCH

SHEL

Sustainable Hydrogen Evaluation in Logistics

Environment

142

Acronym

Title

AdvanceETV

Coordination action on Environmental Technology Verification ETV - Building a framework for international cooperation

AquaFit4use

Water in Industry, Fit-for-Use Sustainable Water Use in Chemical, Paper, Textile and Food Industry

EUCHIC

European Cultural Heritage Identity Card

EURO-BASIN

European Basin-scale Analysis, Synthesis and INtegration

FOODLINKS

To develop and experiment with new integrative modalities of linking research to policy-making in the field of sustainable food consumption and production

HOMBRE

Holistic Management of Brownfield Regeneration

IRCOW

Innovative Strategies for High-Grade Material Recovery from Construction and Demolition Waste

IWWA

Integrated waste management in Western Africa

LIAISE

Linking Impact Assessment Instruments to Sustainability Expertise

MEECE

Marine Ecosystem Evolution in a Changing Environment

MESMA

Monitoring and Evaluation of Spatially Managed Areas

OPEN HOUSE

Benchmarking and mainstreaming building sustainability in the EU based on transparency and opennes (open source and availability) from model to implementation

PURGE

Public health impacts in Urban environments of Greenhouse gas Emissions reduction strategies

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

SuPerBuildings

Sustainability and performance assessment and benchmarking of buildings - SuPerBuildings

SUSREF

Sustainable refurbishment of building facades and external walls

TEACH

Technologies and Tools to prioritize Assessment and diagnosis of air pollution impact on immovable and movable Cultural Heritage

UPSOIL

Sustainable Soil Upgrading by Developing Cost-effective, Biogeochemical Remediation Approaches

Waterchange

Modelización de recursos acuaticos a medio y largo plazo como herramienta par aplanificar y adaptación al cambio climático.

WISER

Water bodies in Europe: Integrative Systems to assess Ecological status and Recovery

ZEROWIN

Towards Zero Waste In Industrial Networks

Transport Acronym

Title

ACCENT

Adaptive Control of Manufacturing Processes for a New Generation of Jet Engine Components

ADVITAC

Advanced Integrated Composite Tailcone

AISHA II

Aircraft Integrated Structural Health Assessment II

ALICIA

All Conditiuon Operations and Innovative Cocpit Infrastructure

DAEDALOS

Dynamics in aircraft engineering design and analysis for light optimized structures

DHERGO

Digital Humans for Ergonomic design of products

DOTNAC

Development and optimization of thz ndt on aeronautics composite multi-layered structure

DREAM

Validation of Radical Engine Architecture Systems

DYNOTRAIN

Railway dynamics and track interactions-Total Regulatory Acceptance for the Interoperable Network

EBSF

European Bus System of the Future

ELECTRICAL

Novel aeronautical multifunctional composite structures with bulk electrical conductivity and self-sensing capabilities

ELUBSYS

Engine Lubrication System Technologies

ERICKA

Engine Representative Internal Cooling and Knowledge Arrangements

ESTEEM

Enhancing Safety and security aspects in Transport rEsearch in the EuroMediterranean region

EURAXLES

Minimizing the risk of fatigue failure of railway axles

EURECOMP

Recycling Thermoset Composites of the SST

FACTOR

Full aero-thermal combustor-turbine interaction research

FANTOM II

Full field Aeronautical Non destructive Technique for On-line and Maintenance applications)

FUTURE

Flutter-free Turbomachinery Blades

GREEN EMOTION

Demonstration of the feasibility of a standardized system that establishes the best conditions for the use by consumers and businesses of the electric vehicle and its mass market introduction

HYCHAIN

Despliegue de flotas de vehículos innovadores de pilas de combustible.

IAPETUS

Innovative Repair of Aerospace Structures with Curing Optimization & Life Cycle Monitoring Abilities

IHMEMA

Intelligent Health Management for aeronautical ElectroMechanical Actuators

IMVITER

implementation of virtual testing in safety regulations

INMA

Innovative Manufacturing of complex Ti sheet components

iTravel

Service Platform for the Connected Traveller, i-Travel

KitVes

Airfoil-based solution for Vessel on-board energy production destined to traction and auxiliary services

LAYSA

Multifunctional Layers for Safer Aircraft Composite Structures

MAAXIMUS

More Affordable Aircraft through eXtended, Integrated and Mature nUmerical Sizing

MERLIN

Development of Aero Engine Component Manufacture using Laser Additive Manufacturing

MODERN

Mobility, Development and Energy use ReductioN

MUGGES

Mobile user-generated geo services mugges

OPENAIR

Optimisation for Low Environmental Noise Impact Aircraft

PERNASVIP

Personal navigation system for visually disabled people

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POWERFUL

Powertrain for future light-duty vehicules

SARTRE

Safe Road Trains for the Environment (SARTRE)

SECUREMETRO

Inherently secure blast resistant and fire safe metro vehicles

SECURESTATION

Passenger station and terminal design for safety, security and resilience to terrorist attack

SRATCH

Services for smes in collaborative aeronautical technical research

THIMCA

Thin-Walled Magnesium Castings for Aviation Industry

TRANSFEU

Transport Fire Safety Engineering in the European Union

TrioTRAIN

Aerodynamics Total regulatory Acceptance for the Interopable Network FER

TRIPOD

TRIPLE ENERGY SAVING BY USE OF CRP, CLT AND PODDED PROPULSION

PPP.GC

EM SAFETY BY SENSORS DEVELOPMENTS AND HAZARDS MIGRATION BY PROPER EV DESIGN

PPP.GC

CAPIRE

PPP.GC

ECOGEM

Coordination action on PPP implementation for road-transport electrification Cooperative Advanced Driver Assistance System for Green Cars

PPP.GC

E-LIGHT

Advanced Structural Light-Weight Architectures for Electric Vehicles

PPP.GC

Green eMotion

Green Cars Initiative

PPP.GC

SOMABAT

Development of novel SOlid MAterials for high power Li polymer

JTI.Clean Sky

ActiPPTSens

Active Pressure, Position and Temperature sensors for Turboshaft engines

JTI.Clean Sky

ASE-TB

Design and development of an Adaptive, Smart and Eco-efficient Test Bench for synchronized testing of linear actuators in the aeronautic sector

JTI.Clean Sky

CORR

Contoured Ring Rolling

JTI.Clean Sky

HP-SMART-EMA

High Power Density Electromechanical Actuators

JTI.Clean Sky

REMFOS

DESIGN, MANUFACTURING AND RELIABILITY EVALUATION OF EMBEDDED SENSOR

JTI.Clean Sky

SAGE

Sustainable and Green Engines (JTI)

JTI.Clean Sky

TiAlBLADE

(Blades into) High temperature material

JTI.Clean Sky

VEDISYS

VEDISYS. Versatile and Eco-efficient Direct Drive Systems for Testing the Starters/Generators of Aircraft Engines

JTI.Clean Sky

VEGETEBLE

Versatile, Green and Eco-efficient Test Bench for Large Aircraft Starter/Generators Endurance and Reliability Testing

Socio-economic Sciences y Humanities Acronym

Title

CRIC

Identity and Conflict. Cultural Heritage and the Reconstruction of Identities after Conflict

FESSUD

Financialisation, economy, society and sustainable development

GEITONIES

Generating Interthnic Tolerance and Neighbourhood Integration in European Urban Spaces

REMEDIE

Regenerative medicine in Europe:emerging needs and challenges in a global context

TOLERACE

The semantic of tolerance and (anti)racism in Europe: institutions and civil society on a comparative perspective

Space

144

Acronym

Title

AGAPAC

Gaw Packaging

BETs

BETs. Propellantless deorbiting of space debris by bare electrodynamic tethers

HARMLES

Dry lubricated Harmonic Drives for space applications

HIPER

High Power Propulsion

OPERR

Operational Pan-European River Runoff

ROV-E

LIGHTWEIGHT TECHNOLOGIES FOR EXPLORATION ROVERS

SIDER

Radiation shielding for electronic space enclosures

SMARTEES

Smartees. Multifunctional components for agressive enviroments in space applications

BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

Security Acronym

Title

ALERT4ALL

Alert for all - A4A

CAPER

Collaborative information, acquisition, processing, exploitation and reporting for the prevention of organised crime

CRESCENDO

Coordination action on Risks, Evolution of threatS and Context assessment by an Enlarged Network for an r&D rOadmap

CUSTOM

Drugs And PreCUrsor Sensing By ComplemenTing Low COst Multiple Techniques

DECOTESS1

DEmonstration of COunterTErrorism System-of-Systems against CBRNE phase 1

DEMASST

Demo for mass transportation security: road-mapping study

ETCETERA

Evaluation of critical and emerging technologies for the elaboration of a security research agenda

EUSECON

A new Agenda for European Security Economics

GLOBE

Integrated Border Management Roadmap

SecriCOM

Seamless Communication for Crisis Management

SecureCHAINS

Integration of Security Technology Supply Chains and Identification of weaknesses and untapped potencial

XXX

Wide maritime area airbone surveillance security of critical infraestructures related to mass transportation

Coordination of Research Activities Acronym

Title

BNFS

Bening Familial Neonatal Seizures (BFNS) as disease model for human idiopathic epilepsies

ERNEST

European Research NEtwork on Sustainable Tourism

ETB-PRO

EUROpean programme for TRANS-national R&D&I cooperations of BIOtech SMEs

EURONANOMED

European network of trans-national collaborative rtd in the field of nanomedicine

LEAD ERA

Lead market european research area network

LISRIK

Risk Assessment of Listeria traditional ready to eat food items

MANUNET2

Supporting SMEs towards a new phase to European Research Area on new processes, adaptive manufacturing systems and the factory

MATERA +

ERA-NET Plus on Materials Research

MNT 2

MNT 2

MNT-ERA.NET II

Micro and nano technologies for a new hightly competitive european industry

project nº 08125

Detection of traces of allergens in foods

SmartGrid

SmartGrid ERA-NET

XXXXX

ERA-NET on Eco-Innovation_Boosting eco-Innovation through joint cooperation in research and dissemination

IDEAS Acronym

Title

DYNAMO

Dynamical processes in open quantum systems: pushing the frontiers of theoretical

GEDENTQOPT

Generation and detection of many-particle entanglement in quantun optical systems

MATRIX

Mixed-Matrix interfaces for Enhanced Fine chemicals Downstream Processing and Monitoring

NUMERIWAVES

New analytical and numerical methods in wave propagation

SPINTROS

Spin Transport in Organic Semiconductors

TERATOMO

Near-field Spectroscopic Nanotomography at Infrared and Terahertz Frequencies

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PEOPLE

146

Acronym

Title

................

Suporting International and Training in Bizkaia

ABIADA

Fromo Minimally Autonomous Biological Individuals to Collectively Associated Autonomous Adaptive Agents

BIOREGENT

Biocontrol and Bioremediation agents and their role in Agriculture and Forest health

CAMMISP

Characterization of Applied Magnetic Materials for Industrial Scale Products

CCQED

Circuit and cavity quamtum electrodynamics

DESIRNA

Design of Novel Polyelectrolyte Multilayer Based Delivery Systems for Therapeutic Antibodies and siRNA

DNA-UHRF1

Recognition of hemi-methylated DNA by UHRF1

DYNACOP

Dynamaics of Architecturally Complex Polymers

EuroGlycoArrays

Development of carbohydrate array technology to systematically explore the functional role of glycans in healthy and diseased states

GCs-CNSIS

Pro-inflammatory and anti-inflammatory effects of glucocorticosteroids in the central nervous system

INDYNAUTS

Interaction dynamics and autonomy in social cognition

ITAMOSCINOM

Injection, transport and manipulation of spin currents in new organic materials.

ITN - LCG

Initial Training Network - Language, Cognition and Gender

MAPACOMAS

Materials analysis based on partially correlated magnetic switching

MINILUBES

Mechanisms of interactions in nanoscales of novel ionic lubricants with functional surfaces

NanoPhotoCrhrome

Energy Conversion within the Hybrid Materials Engineered from the Nanocrystals Quantum Dots and Photochroic membran proteins

NANOPOLY

Hybrid Models for Tailoring Nano-Architectures of Polymers

nanoPV

Spectroscopic insight with nanoscale resolution on model photovoltaic systems

NICaiA

Nature Inspired Computation and its Applications

PIL-4-E-S&P

Novel polymeric ionic liquids for environmental sensing and purification

PIL-to-MARKET

Towards Commercialization of Polymeric Ionic Liquids

Q-NET

Quantum nanoelectronics

QuRelSim

Quantum Simulations of Relativistic Systems

SEA2GRID

Grid connection of Wave Energy Converters: investigation on storage requirements and solutions

SMART BRAIN

Attracting International Experienced Researchers to the Basque Country in any Research Field

SMART FELLOWS

Attracting International Visiting Fellows to the Basque Country in any Research Field

SPBUILD

Sustainable Peace Building

SUSHGEN

Sustainable Hydrogen Generation

TESIS

Towards on Embodied Science of Intersubjectivity

TIFER

Tecnalia’s International Fellowships for Experienced Researchers

TRASNADE

Transport studies on polymer based nanodevices and assemblies for delivery and sensing

UEPHA-MS

United Europeans for the development of Pharmacogenomics in Multiple Sclerosis

Value Ageing

Incorporating european fundamental values into ict for ageing: a vital political, ethical , technological, and industrial challenge

VERBAGRENCODING

Verb agreement encoding during language production and comprehension

WAVETRAIN 2

Initial Training Network for Wave Energy Research Professionals

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Acronym

Title

DERRI

Distributed Energy Resources Research Infrastructure

ESMI

European soft matter Infrastructure

EST

The large aperture european solar telescope

ETSF

European Theoretical Spectroscopy Facility I3

EUMINAfab

Integrating European research infraestructures for micro-nano fabrication of functional structures and devices out of a knowledgebased ultimaterials’ repertoire

JERICO

Joint European Research Infrastructure for Coastal operational Observatories

MARINET

Marine research infrastructures network for energy technologies

NeutronSourceESS

NeutronSourceESS?The European Spallation Neutron Source (ESS)

QNano

A pan-European infrastructure for quality in nanomaterials safety testing

RIEEB

Research Infrastructures on Energy Efficiency in Buildings

SOPHIA

SOlar PHotovoltaic European Research Infrastructure

Research for the benefit of SMEs Acronym

Title

................

Treatment of high organic load, high temperature and high salinity industrial waste water containing recalcitrant contaminants

……………

Integrated Chemical synthesis and Screening in patient Cells

ADD CONTROL

Advanced Control Solutions For waste Water Treatment

AQUASZERO

Development of a new absorventmaterial for efficient and economic removal of Arsenic from potable water

ASPIRATE

Increase of productivity, safety, greenness and cleanliness in the machining of carbon fibre reinforced composites

AutoSpar

Development of an Automatic hervesting System for white and violet Asparagus

BIMOSYN

Development of new ecological pesticides by incorporation of synergic bio molecules

CAMEL-MCG

Development of higly efficient and enviromental friendly grinding technology a minimum coolant approach

CERES

CERES

CLAIM

Customised Laser-assisted Plasma Arc Welding of Light Alloys and Steels

eBEST

Empowering Business Ecosystems of Small Service Enterprises to Face the Economic Crisis

EFFACEUR

InnovativE anti-graFFiti product for Application in the Cultural Heritage of EURope

EMBROIDERY

Development of ultra light composite parts and self heating moulds and membranes for energy efficient composite manufacturing technologies based on tailored fibre placement technology

FACIT-SME

Facilitate IT-providing SMEs by Operation-related Models and Methods

FACOMP

Polymeric nanocomposite profiles for curtain walls

HEFEST

Smart fire-retardant coatings based on intumescent nanocomposites

HILYSENS

Highly sensitive and specific low-cost lab-on-a-chip system for Lyme disease diagnosis

IMOSHION

Improving Occupational Safety & Health in European SMEs with help of simulation and virtual reality

INNOYEAST

Innovation and Improvement of Europan wine industry competitiveness by the research and developmemt of native microencapsulated wine yeasts to produce quality

Intelli-flue

Intelligent combustion management of flue gases for solid fuel domestic heating systems

KARMA

Knowledge Based Process planning and Design for Additive layer Manufacturing

NOFIRE

High Speed Fire Stopping Sectional Door

NOZZLEINSPECT

Autonomous Robot for an Automatic Inspection of Nozzle Welds in Nuclear Environment

PIEZOSELEX

PIEZOSELEX

PINVIALEG

Portable microfluidic-based device for in situ of viable Legionella

PLC

Improving PLC Programming Through a new Graphical Object-oriented and Brandindependent Programming Framework

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POLYSOL

Development of a Modular, All-Polymer, Solar Thermal Collector for domestic hot water and heating contribution

PRESTO

Identification of Priority RESearch TOpics for SMEs associations in the construction sector with a focus on new technologies in the Energy, ICT and New Materials domains

SelfPOCNAD

Development of a Point of Care Detection Unit, Microfluidic Chip, and Self-Sampling Device for Cervical Cancer Screening

SmartHeat

An intelligent modular domestic heating and hot water platform that enables effective integration and use of renewable energy systems

TABANOID

Trap for the novel control of horse-flies on open-air fields

TIGI

Toward an Innovative galvanic industry

TRAYSRENEW

Development of innovate renewable trays for poultry products, based on biopolymers and bast fibers

Regions of Knowledge Acronym

Title

KEEN Regions

Knowledge and Excellence in European Nanotechnology Regions

MINOS

European Concept for the additional Qualification Mechatronic of skilled

REGCON

Support action for innovation driven clusters in construction. Regional approaches, multi-stakeholder engagement and cross regional co-operation.

RESGen

RES Generation - From Research Infrastructure to Sustainable Energy and Reduction of CO2 emissions

ROK-FOR

Sustainable forest management providing renewable energy, sustainable construction and bio-based products

TECFORLIFE

Assistive Technology Cluster for Quality of Life

Science in Society Acronym

Title

GAP1

Bridging the gap between science and stakeholders: Phase I - Common Ground

GAP2

Making a difference by enabling participatory research between stakeholders & scientists:Integration of evidence-based knowledge & its application to science & management of fisheries & marine environ

HELENA

Higher Education Leading to ENgineering And scientific careers

SCICOM

EUROPEAN NETWORK OF SCIENCE CENTRES IN COMMUNICATING ENERGY-RELATED TOPICS

SHYBEL

Synthetic Biology for Human Health: Ethical and Legal Issues

Activities of International Cooperation Acronym

Title

e-WindTech

Design of an e-Learning training programme for Wind Mills Maintenance Technicians enriched with interactive Virtual Reality simulations.

INDIGO

Initiative for the Development and Integration of Indian and European Research

Acronym

Title

EURATOM

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2

EFDA

Radiation Effects Modelling and Experimental Validation

1

FEMAS

Fusion Energy Materials Science - Coordination Action

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PASCA project: “Platform for Advanced Single Cell-Manipulation and Analysis”. Innoprot is participating.

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9.3.

ANNEX 3. Support Services for Enterprises in European R&D&i Programmes

9.3.1.

Enterprise Europe Network

participating in tenders (public contracting, business opportunities).

- Proactively promote community initiatives, policies and programmes of interest for SMEs and advise them on the procedures in order to participate in these programmes (alert services).

The European Commission, from the Directorate General for Enterprise and Industry, launched the Enterprise Europe Network in 2008 with the aim of providing support and advice to enterprises, specifically SMEs. The Network helps small and medium enterprises to develop their innovative potential and increase their awareness in the European Union’s policies.

· Make the European Commission aware of the business reality.

- Exploit the tools that measure the impact of the current legislation on SMEs (the issues that the community legislation may pose to SMEs when they carry out their business activities).

- Invite and encourage Basque enterprises to participate in the European process of developing policies, thus allowing them to present their proposals and express their opinions on this matter.

Enterprise Europe Network offers information and advice on business opportunities and policies on a European level, as well as support in technology transfer processes and access to European R&D&i funding programmes.

This Network is composed of 532 organizations that provide support to enterprises in 91 consortiums, and has around 4,000 professionals in 45 European countries —27 of which are members of the EU—, as well as in candidate countries (Turkey and the former Republic of Macedonia), Norway, Iceland and other countries such as Armenia, Egypt, Syria, Chile, Russia, Switzerland, the USA, China, etc.

In spite of its size, the Basque Country is not large enough to form a Consortium —a population of 6 million is required. However, the Basque activity has allowed the Autonomous Community of the Basque Country to establish the Node Basque Enterprise Europe Network, which is led by the SPRI (the Society for Competitive Transformation) and includes the participation of the Chambers of Commerce of Alava, Bilbao and Gipuzkoa, BEAZ (the Business and Innovation Centre of Biscay) and Innobasque (the Basque Innovation Agency).

The Basque Node offers businessmen a one-stop-shop from where they can obtain advice and take advantage of an easily accessible wide range of support services for enterprises. The following services are offered.

9.3.1.1.

European information, enterprise cooperation and internationalisation Provide enterprises with information and advice on all matters that affect the carrying out of their activity, which may be structured in three sections: · Information and Advice .

- Widespread information on Europe and provide advice to enterprises on the operation and opportunities that the internal market of goods and services offers, including the possibilities of

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· Enterprise Cooperation and Internationalization.

- Help SMEs to perform cross-border activities (commercial and financial), create international networks and implement them in other European countries.

- Provide support to SMEs with the aim of finding suitable partners in the public or private sector using the appropriate instruments.

9.3.1.2.

Innovation and technology The aim is to improve the innovative capacity of SMEs, universities and research centres of the Basque Country by means of enterprise cooperation and the transfer of technology, services or innovative products between generators and seekers. Specifically by: · Promoting any type of innovation, becoming a linking and binding instrument between research and innovation. · Providing support services for innovation, such as the management of intellectual property rights and specifically the international transfer of technology between generators and seekers. · Wide-spreading the different technology produced in country members of the Network. · Promoting the technology and results from R&D projects generated in the Basque Country abroad.

These services are structured in 5 sections: · Information and contact.

- Visits to and technological diagnosis for companies.

- Seminars and conferences on innovation and intellectual property. · Identification of technological offers and demands.

- Prioritise technological offers and demands.

- Document them for promotion.

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· Promotion of technological offers and demands.

- Technology Offers and Requests via an Automatic Machine Tool (AMT).

- Brokerage events.

- Thematic groups.

- Information bulletins. · Advice.

- Industrial / Intellectual Property.

- Funding innovation. · Support in the negotiation process.

9.3.1.3.

European R&D&i Projects Promote and support enterprise participation, especially of SMEs in the European Research Area (EU Seventh Framework Programme for R&D&i, ERA-NET, Competitiveness and Innovation Framework Programme-CIP). To this end, activities are carried out specifically aimed at involving the SMEs in European research programmes by means of organising local information events and seminars, the development of information tools and channels, and the creation of support services for the promotion of the participation of SMEs in European R&D projects: · Information and circulation.

- Presentation conferences on relevant calls: EU Seventh European Framework Programme for R&D&i, Competitiveness and Innovation Framework Programme (CIP), etc. · European R&D advice.

- Personalised advice and meetings for SMEs aimed at their participation in European projects. · Training.

- Specific training seminars on European R&D programmes, preparation of proposals, management of European projects, exchange of better practices, etc. · Support on forming Consortiums (Searching for partners).

Contact: http://www.eenbasque.net/index.php http://www.eenbasque.net/index.php?option=com_content &task=view&id=148&Itemid=196 For further information:

9.3.2.

NETWORK OF PI+D+i: Network of Information Points on R&D&i The Network of PI+D+i was born in 2006 with the objective of providing advisory and information services on the funding instruments for R&D&i that best meet their technological-entrepreneurial projects.

The Network is coordinated and supervised by the Centre for Industrial Technological Development (CDTI). The Network has over 350 agents distributed in over 150 information points in all the Autonomous Communities.

The Network of PI+D+i is characterised by: · Being a general window providing information and advice. It offers global support: by telephone, online and in person. · Providing a universal coverage of grants: local, autonomic, national and international. · Its high level of specialisation and precision in the response to queries. · Being a single information point (local visibility) with automatic scaling. · Allowing the access to available information and reports by all the agents in accordance with their level of coverage.

To use this service, enterprises and entrepreneurs have to fill in an electronic form via CDTI’s website: http://www.redpidi.es and attach the documents that they consider necessary for their initiative to be assessed.

Within 10 working days, the users receive a report from an expert advisor on the most appropriate way to fund their initiative using public funding for R&D&i instruments.

The form is divided into two information blocks: 1) Details of the applicant.

2) Description and classification of the query.

In block 1 they will have to complete a series of basic identification details to be able to send them the result of the advisory service.

In block 2, they will have to briefly outline their query and can attach any documents they consider appropriate.

For further information: http://www.redpidi.es Telephone: +34 902 34 74 34

http://www.enterprise-europe-network.ec.europa.eu/index_en.htm

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9.3.3.

Units of International Innovation (UIIs) These are entities approved by the CDTI whose objective is to support “new” enterprises in the preparation and presentation phases of quality proposals in the Seventh Framework Programme.

List of Entities Selected for the Creation of Units of International Innovation

Name

Association

Link

AEDHE

Asociación de Empresarios del Henares

www.aedhe.es

Fundación CIRCE Centro de Investigación de Recursos y Consumos Energéticos

Plataforma Tecnológica española del CO2 - PTECO2

http://circe.cps.unizar.es/

FEAMM

Federación Española de Asociaciones Empresariales de Moldistas y Matriceros

www.feamm.com

The Network of National Contact Points (NCPs) is the main structure that provides advice, information and support in all aspects for the participation in the Seventh Framework Programme.

Fundación INNOVAMAR

Plataforma Tecnológica Marítima Española (PTME)

www.innovamar.org

FENIN

Federación Española de Empresas de Tecnología Sanitaria

www.fenin.es

NCPs are national structures established and funded by the governments of the 27 Member States of the EU and other associated countries of the Framework Programme. NCPs provide immediate customised support in the language of the candidates. The NCP systems present a wide variety of settings in the different countries, from very centralised to decentralised networks, and cover a large variety of agents, from ministries to universities, research centres and special agents to private consultancy enterprises. This is a true reflection of the diversity in national traditions, work methods, research realities and funding regimes.

FER

Federación Española de la Recuperación

www.recuperacion.org

SERNAUTO

PTE del Sector de Componentes para Automoción - SERtec

www.sernauto.es www.plataformasertec.es

ASIMELEC

Asociación Multisectorial de Empresas Españolas de Electrónica y Comunicaciones

www.asimelec.es

Atos Origin

Plataforma INES

www.ui3.es

Fundación de los Ferrocarriles Españoles

Plataforma Técnológica Ferroviaria Española

www.ptferroviaria.es

Within the widest network of National Contact Points are eighteen thematic networks operating throughout Europe and which correspond to each of the themes included in the Seventh Framework Programme. The goal of these thematic networks is to provide support to regional agents with the aim of improving development based on science and technology. These networks also provide services, training and information to enterprises, science institutes and regional authorities.

ASEBIO

Asociación Española de Bioempresas

www.asebio.com

FARMAINDUSTRIA

Plataforma Tecnológica Española Medicamentos Innovadores

www.medicamentosinnovadores.org

Instituto Tecnológico del Embalaje, Transporte y Logística (ITENE)

LOGISTOP y Plataforma Tecnológica Española de Envase y Embalaje

FUNDACIÓN LEIA - CDT

Plataforma Tecnológica Española de Seguridad Industrial (PESI)

www.leia.es www.pesi-seguridadindustrial. es

Fundación European Software Institute (ESI)

Plataforma Prometeo

www.prometeo-office.org/

IUCT

Plataforma Española de Química Sostenible

www.iuct.com

PIMEC INNOVACIÓ

PIMEC, Petita i Mitjana Empresa de Catalunya

www.pimec.es/webpimec/ que_oferim/serveis/ajuts/ presentacio.html

Up to this date 30 UIIs have been launched —15 in Associations and 15 in Technology Platforms. They are specialised by themes of the EU Seventh Framework Programme of R&D&i and offer comprehensive support services.

The Table (T.9.3.1) provides the name of each UII, the theme it specialises in and its website informing on the services offered.

9.3.4.

T.9.3.1

National Contact Points (NCPs)

Each thematic network operates and is managed independently, but share objectives with other networks.

As the NCPs are national structures, the type and level of services offered may differ from country to country. In general, the following basic services will be available in accordance with the Guiding Principles agreed by all countries: · Guidance on choosing thematic priorities and instruments. · Advice on administrative procedures and contractual issues. · Training and assistance on proposal writing.

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· Distribution of documentation (forms, guidelines, manuals etc.).

T.9.3.1

List of Entities Selected for the Creation of Units of International Innovation (cont.)

Name

Association

RedPCCCAM

Asociación Red de Parques y Clusters de la Comunidad de Madrid

FATRONIK

MANUFUTURE (E)

www.manufuture-spain.org

GAIA

Asociación de Industrias de las Tecnologías Electrónicas y de la Información del País Vasco

www.gaia.es/uii

Ariema

Plataforma Tecnológica de Hidrógeno y pilas de combustible

www.ariema.es

AFRE

Asociación de Fabricantes de Riego Españoles.

www.afre.es www.plataformaagua.org

IBEC

Plataforma Española de Nanomedicina

www.nanomedspain.net

TECNIBERIA

Asociación Española de Empresas de Ingeniería, Consultoría y Servicios Tecnológicos

www.tecniberia.es

AEI Movilidad

AEI movilidad

www.aeimovilidad.org

Plataforma Food for LifeSpain

Asociación: Federación Española de Industrias de Alimentación y Bebidas (FIAB)

www.foodforlife-spain.org

Fundación UNESID

Plataforma Tecnológica Española del Acero (PLATEA)

www.aceroplatea.es

UII Aeroespacial

Fundación Instituto de Investigación Innaxis con el apoyo de la Plataforma Aeroespacial Española

http://uii.innaxis.org/

U3IN

Asociación de Investigación de la Industria Navarra - AIN

www.ain.es

ANFACOCECOPESCA

Asociación Nacional de Conservas de Pescados y Mariscos - Centro Técnico Nacional de Conservación de Productos del Mar

www.anfaco.es

· Assistance in partner search.

Information on the NCPs in Spain is available via the website Micinn: http://www.oemicinn.es/programa-marco/puntos-nacionales-de-contacto, or via the European Commission Cordis website: http://cordis.europa.eu/fp7/ncp_en.html.

Link

9.3.5.

Other support services

9.3.5.1.

Research Enquiry Service (a service provided by the Europe Direct Contact Centre) Through this online service, queries about European research in general or the EU Research Framework Programmes in particular can be forwarded. This service replaces the Help Desk that has been used up to this date.

Submitting queries on the presentation of proposals at least two weeks before the call is closed is recommended in order to guarantee a timely response.

Access to this service is achieved via: http://ec.europa.eu/research/index.cfm?pg=enquiries.

9.3.5.2.

European Helpline Service on Intellectual Property Rights (IPR Helpdesk) The European IPR Helpdesk provides professional advice on specific intellectual property (IP) queries, free of charge, to current and potential beneficiaries of projects funded by the EU, focusing on RTD programmes and the Competitiveness and Innovation Framework Programme (CIP).

With the aim of wide-spreading the importance of the appropriate management of intellectual property goods in projects funded with community funds, the IPR Helpdesk performs several awareness and training activities throughout the EU on IP rights and different aspects of management. Each training and awareness activity is planned in accordance with the specific needs of the group it is aimed at.

The European IPR Helpdesk also provides support in IP to SMEs in the EU, including micro-enterprises in process of negotiation or completion of trans-national association agreements, especially through the Enterprise Europe Network (EEN).

There is a website providing information on IP and the projects funded by the EU, and there are several services currently active that send bulletins and newsletters including relevant information and contents on the latest news on IP. For further information: http://www.iprhelpdesk.eu/.

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9.3.5.3.

Ethics Help Desk for all projects of the Seventh Framework Programme The Ethics Help Desk for projects of the Seventh Framework Programme provides information and advice on ethical aspects of research funded by means of the Seventh Framework Programme. The aim of this Help Desk is to provide support to the participating scientists in research projects funded by the Seventh Framework Programme so they fit the European and international standard of ethics regarding matters included in the “Ethics check list”.

By using this service, the scientists can receive advice from the Ethics Review Sector of the General Directorate of Research, as well as from specialists within the corresponding scope of ethics, with the aim of reaching their research objectives and complying with the ethics requirements associated with their work.

For further information: http://cordis.europa.eu/MailAnon/inde x.cfm?fuseaction=Hiding.PostalForm&address=0049007300690 064006f0072006f0073002e004b0061007200610074007a006 10073004000650063002e006500750072006f00700061002e0 0650075&name=Isidoros%20Karatzas.

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LABONFOIL project: “Laboratory Band-Aids and SmartCards based on foils and compatible with a Smartphone”. Ikerlan-IK4, Gaiker-IK4 and the Sanitarias-Bioef Innovation and Research Foundation are participating.

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9.4.

ANNEX 4. Glossary of terms1

education in key areas of economic or social interest and by exploiting the results of its knowledge for the benefit of the European Union.

9.4.1.

Introduction

ERA (European Research Area)

With the aim of serving as an aid to understanding this Strategic Book, a series of short explanations have been provided regarding the terms used. Although most people dedicated to R&D&i are already aware of these terms, these explanations can be of great help to those who are exposed to matters related to European R&D&i for the first time.

Defined in 2000 by the then Commissioner for Research Phillipe Busquin as a new global market that connects people (researchers), groups, centres, universities and enterprises and constructs a genuine area for exchange, with global excellence, exigency and competitiveness rules, and which ends the historical fragmentation suffered by this group in Europe.

Therefore, the aim of this glossary of terms is to help the inexperienced user —in the most didactic and simplest way possible— by briefly explaining the terminology and nomenclature used in this Strategic Book.

A long series of terms used in the EU Framework Programme for Research has also been included and grouped within “programmatic” and “regulatory” scopes.

9.4.2.

Glossary of the Strategic Book Call Period awarded to present proposals in certain Themes of a work programme in a specific programme. The conditions are established in the corresponding announcement in the Official Journal of the European Communities (OJ).

CIP (Competitiveness and Innovation framework Programme) The Competitiveness and Innovation Framework Programme will provide a framework for all community actions in enterprise projects, SMEs, industrial competitiveness, innovation, development and use of the Information and Communication Technologies, Environmental Technologies and Intelligent Energy.

EC European Commission.

EIT (European Institute of Technology) The European Commission acknowledges that the EIT will be an important step to take in order to fill the current void existing between higher education, research and innovation. The EIT will promote innovation by means of research and transdisciplinary and interdisciplinary

(1) We would like to thank CRC marGUNE and Javier Garcia at Tecniker-IK4 for their collaboration in the preparation of this Annex.

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ERA-NET ERA-NET is a European Union initiative aimed at national and regional governments and designed to achieve the coordination and cooperation between its research, development and innovation programmes. ERA-NET programmes are launched by means of opening calls for proposals in any area of science and technology via a bottom-up approach.

ESFRI (European Strategy Forum on Research Infraestructures) ESFRI’s role is to promote a coherent approach for the establishment of policies in research infrastructures in Europe and to act as an incubator of international negotiations on specific initiatives. In particular, ESFRI is preparing a European Map with the aim of creating new research infrastructures of pan-European interest.

ETP (European Technology Platform) Technology Platforms are groups that include the most relevant representatives of the industry in each sector, which work together with the aim of defining and implementing the Strategic Research Agenda (SRA). European Technology Platforms have been set up in a number of areas where Europe’s competitiveness, economic growth and welfare depend on major research and technological progress in the medium to long term. The ETPs have contributed to the definition of Themes in the Cooperation Programme of the FP7, specifically, in areas of research of special relevance to the industry. The implementation of the SRA will be supported by the Cooperation Programme in areas where they would constitute true added value in Europe.

EU European Union.

FP (Framework Programme) The Framework Programme is the main instrument by means of which the European Union supports R&D&i in Europe.

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FP5 (Framework Programme Five)

RVCTI (Basque Science, Technology and Innovation Network)

The aim of the Fifth Framework Programme was to increase industrial competitiveness and improve the quality of life of European citizens.

The Basque Science, Technology and Innovation Network - SARETEK was born in 1997 as a Basque Government initiative with the aim of combining the efforts of entities —public and private— that try to encourage the use of Science, Technology and Innovation as a means to improve business competitiveness and to contribute to the economic and social development of the Basque Country.

FP6 (Framework Programme Six) The Sixth Framework Programme supported cooperative research and the integration of research efforts, promoted mobility and coordination, and invested in the mobilisation of research supporting other European Union policies.

SME An SME is an independent enterprise with less than 250 equivalent full-time workers, with an annual turnover of less than 40 MÐ euros or a balance sheet below 27 M€, with less than 25% of its share capital held by large-scale enterprises (except investment or private equity enterprises), and which is established and performs an activity in a country susceptible of receiving funding from the European Union. For the purpose of technological stimulation measures, consultancy companies and enterprises who exclusively offer R&D services are excluded.

FP7 (Framework Programme Seven) Subtitled “Building the European Research Area of Knowledge and Growth.” The FP7 is designed to meet the European Union’s needs for competitiveness and employment.

ICT Information and Communication Technologies.

SRA (Strategic Research Agenda)

IST

See definition of “ETP”.

Information Society Technologies.

TCs (Technology Centres)

NMP

Agents who perform an activity in the Basque Country within the scientific and technological scope.

Nanotechnology and nanosciences, knowledge-based multifunctional materials and new production processes and devices.

UCPs (University Contact Points)

PCEIS 2006-2009

University Contact Points are work groups in Themes of the Seventh Framework Programme whose main aim is to coordinate the actions of Universities, University Departments, research groups, etc. in Europe with the purpose of optimising efforts and the overall result obtained.

Basque Plan for Business Competitiveness and Social Innovation 2006-2009.

Return Return is the term given to the Funding obtained from the European Commission through the different R&D&i grant programmes. This term has been established because the European Commission’s budget —from where the funds distributed to the Framework Programmes are taken— is composed of the total amount of contributions made by the Member States, which are calculated according to their representative percentage (the Spanish State provides around 8% of the European Union’s total amount). After adding the funding obtained by all the agents of the Spanish State and comparing it to the State’s entire contribution, the term “returned amount” is used —as opposed to “contributed amount”— to know if the balance is positive or negative.

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9.4.3.

Glossary of the Seventh Framework Programme A selection of the terminology used in European Union documents is presented below, and despite knowing these common terms is insufficient to actively participate in it, this glossary serves as an aid when reading complete documentation related to programmes and calls, as well as when in dialogue with any other European agent using the common official language.

It is also worth noting that this is not a general glossary of terms, priority has been given to the terms used in the COOPERATION Programme.

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Capacities Programme

Lastly, an alphabetical order has not been followed to present the most relevant terms but an order that goes from more general to more specific or, on other occasions, they follow the order of community documents. Likewise, the key terms are covered in English, which is the language in which all the Framework Programme’s documents should be read.

9.4.3.1.

The aim of this specific programme is to approach funding and the stimulation of certain essential resources for research and innovation: research infrastructures (preferably large-scale installations) and their shared and optimised use, research for the benefit of SMEs, regional research driven clusters, unblocking the entire research potential in European regions in a process of convergence, matters regarding science’s relationship with society and horizontal actions of international.

Glossary of the Programme Framework Programme The Framework Programme for Research is a support instrument for R&D in Europe and has a multi-annual nature. The current version, FP7, covers the time period between 2007 and 2013.

Specific Programmes The Seventh Framework Programme is divided in 4 specific programmes: Cooperation, Ideas, People and Capacities.

Cooperation Programme It is the most traditional formula and it has been followed by the previous Framework Programmes. In essence, it intends to encourage the research carried out by multinational consortiums in Europe, which usually and simultaneously include partners from the academic scope, technology centres and enterprises. This research may adopt the structure of collaborative research —in which each partner performs a specific role and task—, networks, coordination formulas of other international cooperation programmes and international cooperation with entities in third countries (which are neither EU members nor EU candidates).

9.4.3.2.

Other Definitions Themes These are what the Sixth Framework Programme called thematic priorities. In essence, and for the purposes of this glossary, they are sub-programmes —of large dimension in spite of the term used— into which the specific Cooperation Programme is divided in. There are 10 Themes: - Health.

- Food, agriculture and biotechnology.

- Information and communication Technologies.

- Nanosciences, nanotecnology, materials and new production Technologies.

- Energy.

- Environment (including Climate Change).

- Transport (including Aeronautics and Air transport).

- Socio-economic sciences and the humanities.

- Security.

Ideas Programme

- Space.

This specific programme is new, and intends to stimulate the most basic European research with the aim of increasing knowledge. This programme is governed by the European Research Council, which administers the resources assigned to the Frontier Research conducted by individual groups competing in the European context in all the technological and scientific scopes.

“Researcher driven” research

People Programme This programme intends to encourage the training of European researchers —mainly by means of mobility— focusing primarily on their professional development and narrowing the relationships between national R&D systems.

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This term is used to define the type of research that is awarded grants in the Ideas programme. As opposed to, for example, the Cooperation programme, in which there are work programmes where a limited number of priorities are established, the competition in the Ideas programme is carried out from a voluntary initiative of the individual research groups in the European Community.

Research infrastructures A term preferably used to define European large-scale scientific installations. This framework programme destines resources to improving its use and access for the entire research community and, for the first time ever, to construct new large-scale installations.

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Regional research driven clusters This term is also new to the current framework programme and it is of great interest to the Basque Country inasmuch as the regional role in research is acknowledged in those cases where the research and/or socio-economic structures affected have a strong regional tint.

Joint Research Centre (JRC) The JRC is the public research centre of the EU, and it is assigned some specific budget items included in the framework programme.

European Institute of Innovation & Technology (EIT) The EIT was born from the convergent action of the European Commission, other national authorities, the industry, universities, research bodies, etc.

With a very high private participation, in both financing and management, its aim is to become the catalyst of a qualitative change in the capacity for research of the European society.

Up to this date, the main contribution of the EIT has been initiating the Knowledge and Innovation Communities (KICs). Initially, the three constituted KICs are: – Climate change mitigation and adaptation (Climate KIC).

– Sustainable Energy (KIC InnoEnergy).

– Future Information and Communication Society (EIT ICT Labs).

Knowledge and Innovation Communities (KICs) KICs are legally and financially structured collaborative consortiums, although they are distributed geographically and thematically throughout Europe. The aim of each KIC is to become the global leader within their scope, thus being capable of having a measurable impact in the European competitive context. Each KIC consider both training aspects and industrial research and innovation.

– Connecting climate knowledge for Europe (Click’EU).

– Healthy and productive seas and oceans.

– More years, better lives - the potential and challenges of demographic change.

– The microbial challenge - an emerging thread to human health.

– Urban Europe - global challenges, local solutions.

– Water challenges for a changing world.

Knowledge-based society This is the final goal of all the measures established in the Seventh Framework Programme. Due to Europe not being able to maintain its position by improving traditional competitiveness factors (price of raw materials, salaries...), it can only resort to technology, that is, do what others have no knowledge on in order to maintain a dynamic and growing economy that will ensure employment for future generations.

European Technology Platforms Launching these platforms has been, without a doubt, the main novelty of the Seventh Framework Programme with respect to its predecessor. Technology platforms are private initiatives under industrial leadership that intend to trigger the collaboration of all the research agents (enterprises, technology centres and universities) and attend critical areas of research regarding Europe’s competitiveness, growth and welfare in the medium to long term. Although these platforms should appear as a result of industrial initiative, they are only official when the European Commission considers them as such.

The technology platforms recognised by the European Union are: – Advanced Engineering Materials and Technologies - EuMaT. – Advisory Council for Aeronautics Research in Europe - ACARE. – Embedded Computing Systems - ARTEMIS. – European Biofuels Technology Platform - BIOFUELS.

Joint Programming Initiatives

– European Construction Technology Platform - ECTP.

JPIs are multilateral initiatives —from several states within the European Union but not all in conjunction— aimed at tackling a specific challenge. Up to this date, the Commission and the participating states recognise the following JPIs:

– European Nanoelectronics Initiative Advisory Council - ENIAC.

– Agriculture, food security and climate change.

– European Steel Technology Platform - ESTEP.

– Cultural heritage and global change - a new challenge for Europe.

– A healthy diet for a healthy life.

– European Technology Platform for the Electricity Networks of the Future - SMARTGRIDS.

Likewise, new JPIs have been identified and defined, such as:

– European Technology Platform for Wind Energy - TPWIND.

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– European Rail Research Advisory Council - ERRAC. – European Road Transport Research Advisory Council - ERTRAC. – European Space Technology Platform - ESTP.

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– European Technology Platform on Smart Systems Integration EpoSS. – European Technology Platform on Sustainable Mineral Resources ETP SMR. – Farm Animal Breeding and Reproduction Technology Platform - FABRE TP. – Food for Life - FOOD. – Forest based sector Technology Platform - FORESTRY.

– Future Internet.

A new legal framework is being sought that will govern this collaboration between the Commission and certain private associations that encompass the interests of the industry and the research bodies. In some cases, there are already private associations aiming to become the private part of the contract: – European Factories of the Future Research Association (EFFRA), within the PPP FoF context.

– Future Textiles and Clothing - FTC.

– Energy Efficient Building Association (E2BA), within the PPP EeB context.

– Global Animal Health - GAH.

Strategic Research Agenda (SRA)

– Future Manufacturing Technologies - MANUFUTURE.

– Industrial Safety ETP - INDUSTRIALSAFETY. – Integral Satcom Initiative - ISI. – Mobile and Wireless Communications - eMOBILITY. – Nanotechnologies for Medical Applications - NANOMEDICINE. – Networked and Electronic Media - NEM. – Networked European Software and Services Initiative - NESSI. – Photonics 21 - PHOTONICS. – Photovoltaics - PHOTOVOLTAICS. – Plants for the Future - PLANTS. – Renewable Heating and Cooling - RHC. – Robotics - EUROP. – Sustainable Nuclear Technology Platform - SNETP. – Sustainable Chemistry - SUSCHEM. – Waterbone ETP - WATERBORNE. – Zero Emission Fossil Fuel Power Plants - ZEP. The objectives of these technology platforms are to set forth industrial and technological priorities for the following years, prepare Strategic Research Agendas and, as a result, Multiannual Roadmaps, which themselves provide priorities and topics for different calls.

Public-Private Partnerships (PPPs) Following the launch of the Seventh Framework Programme —within the framework of actions carried out against the economic crisis (Recovery Plan)— and using the previous work carried out by some technology platforms, the European Commission has given the green light to four public-private actions with their own calls and budgets although within the scope of the Framework Programme’s Themes:

The main objective that the European Commission has set for the different technology platforms is the preparation of their respective strategic research agendas. As a result, the main European players of technological change have been requested to suggest a strategic research agenda —by consensus— that covers all the competitiveness and sustainability issues in the mid to long-term (preferably in the long-term). The technology platforms have fulfilled this responsibility and they all have their respective SRAs. Road Maps Following the preparation of the Strategic Research Agendas (SRAs), the different technology platforms were called to prepare documents that were to be immediately applied, which would define the specific research priorities from the launch of the Seventh Framework Programme as well as establish the most urgent scopes of work and which of these could be tackled in the subsequent years.

The European Commission has very much considered both the SRAs and the road maps when preparing the work programmes. In fact, it seems obvious that the work programmes have been prepared mainly based on the work performed by the technology platforms.

The responsibility of defining the work programmes is currently being passed onto private associations of the Public-Private Partnerships (PPPs).

Support to trans-national cooperation This phrase refers to the Cooperation programme and specifies that it will be carried out under 4 modalities: Collaborative research, Joint Technology Initiatives, Co-ordination of non-Community research programmes and International Co-operation. These terms are analysed below.

– Factories of the Future (FoF).

– Energy Efficient Building (EeB).

– Green Cars.

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Collaborative Research

The current operating JTIs are:

It is the main formula that has been and will be used to award grants from the European Commission. In essence, it defines a consortium-type research that guarantees the collaboration between entities with a very different nature (universities, public research centres, technology centres, enterprises, consultancy companies...) and an essential international nature (which contributes to narrowing the scientific and entrepreneurial links between the different countries in the EU). This formula entails assigning different roles for the different partners of an international consortium and using the full capacity of each partner in order to perform the entrusted task.

– Innovative Medicines Initiative (IMI).

The collaborative research can be framed within different funding schemes: collaborative projects, networks of excellence and co-ordination/support actions (these different schemes will be covered after finishing the 4 collaborative research modalities).

Joint Technology Initiatives (JTI) JTIs emerge from few technology platforms when the relevance of the scope and the resources needed to successfully perform the strategic approaches for Europe require so. The JTIs have their own legal nature and a significant participation from the private industry, as well as receiving public contributions from the Commission (by means of direct grants from the Framework Programme and credits from the European Investment Bank). The formula followed by the JTIs is similar to the one chosen for the large-scale European GPS project, GALILEO, and it is legally supported by article 171 of the Treaty on the Functioning of the European Union or on the basis of Specific Programme Decisions, in accordance with article 166 of the same Treaty. The JTIs have been identified and admitted as such under the following criteria: – Added value of the European-level initiative.

– Degree of development and clarity in the definition of the objectives pursued.

– Credibility and relevance of the financial and industrial commitment.

– The degree of impact of the JTI on industrial competitiveness and economic growth.

– The relevance of the JTI’s contribution to community policies of wider scope.

– Embedded Computing Systems (ARTEMIS).

– Aeronautics and Air Transport (CLEAN SKY).

– Nanoelectronics Technologies 2020 (ENIAC).

– Hydrogen and Fuel Cells Initiative (FCH).

– Global Monitoring for Environment and Security ( GMES ).

The JTIs have posed some problems in praxis; as a result, the European Commission is searching for new public-private cooperation formulas. In any case, they all manage their own programme funds, announce calls and approve projects (some of them are co-financed by member states).

Coordination of non-Community research programmes Actions whose aim is to coordinate non-Community research programmes, especially national and regional programmes, will be financed. The schemes followed will be provided by the ERA-NET programme (which is covered in this glossary further below), and the European Community will participate in jointly implemented national research programmes (in accordance with article 169 of the Treaty on the Functioning of the European Union). In addition, this modality will allow improving the complementarity and synergy between the framework programme and intergovernmental structures, such as EUREKA and COST. The participation of the European Community in national research programmes that are jointly implemented (in accordance with article 169 of the Treaty on the Functioning of the European Union) is especially relevant in large-scale European cooperation, thus following a “variable geometric” approach between member states that share common needs and interests. The initiatives adopted under article 169 will cover areas that are in close engagement with different member states, and will conform to the following criteria: – Relevance of the initiative in achieving the Community objectives.

– The clarity of the objective pursued and its relevance in the achievement of the Seventh Framework Programme’s general objectives.

– The pre-existence of national programmes, whether operative or planned.

– European added value.

– Capacity to attract additional national support, leverage current and future industry funding.

– The critical mass, which is related to the size and amount of programmes involved, and the degree of similarity of the activities funded.

– Lack of alternatives based on existing instruments to achieve the objectives pursued.

– The adjustment of article 169 to the specific objectives pursued.

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Internacional Cooperation

Research for the benefit of specific groups (in particular SMEs)

International cooperation can be defined as the international cooperation carried out with “third countries”, that is, with countries that do not belong to the European Union. One of the conditions of this cooperation is the liberalisation of all the activities included in the framework programme so entities belonging to third countries may participate. Another alternative is to initiate specific cooperative actions, in each theme and bound by bilateral or multilateral agreements, if common priorities have been identified in third countries.

These are projects where most of the research is carried out by universities, public research centres and technology centres with the aim of benefiting certain group; these are usually SME groups or associations and comprehensive industrial sectors. This term will cover the programmes stemming from the Collective Research and CRAFT formulas from the Sixth Framework Programme, which are very similar to the Collective and CRAFT formulas. There is no work programme for SMEs and a bottom-up approach is followed. The modality intended for individual SMEs includes a duration of 1 to 2 years, a budget between 0.5 and 1.5 M€ and a number of partners between 5 and 10. On the other hand, the modality intended for SME associations includes a duration of 2 to 3 years, a budget between 1.5 and 4 M€ and number of partners between 5 and 15.

Collaborative Projects It is the first and most relevant funding scheme (previously called instruments). These are projects carried out by a consortium with participants from different countries that join forces with the aim of acquiring new knowledge, developing new technology, obtaining new products or initiating new common research resources. Collaborative projects may vary in size, from very small or medium-scale to large-scale integrating projects that mobilise large volumes of resources for them to be carried out.

Networks of Excellence The funding scheme aims is to help joint research programmes that are implemented by a group of organisations whose activities are integrated in a specific field within a frame of long-term cooperation. Initiating these joint research programmes require a formal commitment from the participating organisations, where the resources and activities made available to the group are bound an agreement.

Coordination and support actions These are oriented to secondary actions aimed at coordinating and supporting research activities or other policies (facilitating networking, exchanges, trans-national access to large-scale research infrastructures..., and promoting studies and conferences).

Individual Projects These are projects carried out by individual research groups. These projects are primarily related to the Ideas programme with the aim of supporting projects within the scope of the frontiers of knowledge managed by the European Research Council (ERC).

Support for training and career development of researchers These type of actions are primarily related to the People programme and they refer to mainly all the Marie Curie actions.

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Small or medium scale focused research projects This is the new term given to the STREPs (Specific Targeted Research projects) which were included in Sixth Framework Programme. In essence, this term refers to small or medium-scale collaborative projects (note the confusion by mixing the word collaborative with cooperative) with a significant level of innovation (at least in some Themes). Their global budget usually does not exceed 5 M€, and the average grant in the Seventh Framework Programme would be around 3 M€.

Large scale integrating projects These are also collaborative projects. In this case, it seems like the new terminology refers to projects previously called “integrated” whose budgets were around 14 M€ (with a grant of around 10 M€, this is the NMP Theme estimate). These projects must include, in addition to R&D tasks, demonstration training and wide-spreading actions.

There will also be large scale integrating projects whose average size will be significantly smaller. For NMP there would be an average grant of around 4 M€ and between 15 and 20 partners.

Calls for proposals These are different calls for proposals published by the European Commission within the scope of the Themes and defined in their respective WorkProgrammes. In each of the Calls, the Commission sets the presentation’s publishing date and deadline, the number of stages in the presentation of the proposal, the global budget assigned to the Call, the topics covered by the presentation, the evaluation procedure to follow, and the possible requirements to BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

fulfil regarding the project’s participation, evaluation and implementation.

sortium agreement is essential; otherwise, part of the background may be considered as foreground and thus shared.

National Contact Points (NCPs)

Participant

National Contact Points are structures established and funded by each of the 27 governments comprising the member states. The NCPs of each country give personalised support (and in the same language as the proposer) in each of the preparation stages, in the search for partners in Europe, to negotiate with the European Commission, to process the contract and even during the project’s execution stage.

Any legal entity may participate in an indirect action (project financed by the Commission) and therefore have the rights and obligations established in the grant agreement.

As far as Spain is concerned, the NCP network is managed mainly by the Centre for Industrial Technological Development (CDTI) and by some Universities and Research Centres.

9.4.3.3.

Glossary of Legal Terms Indirect Action Legal term that the Commission uses to define any project awarded a grant from the Framework Programme that is not executed by the Commission’s Joint Research Centre.

Legal Entity It refers to both individuals and corporate bodies governed by national or international legislation, with legal personality, which can act on their behalf and exercise their rights and obligations.

Foreground This term makes reference to the knowledge generated in the course of a project funded by the framework programme, whether it is susceptible of being protected or not. Initially the Foreground’s property is owned by whoever develops it; therefore, the contribution of each partner regarding the foreground must be properly established in the consortium agreement. In the event of the consortium agreement not saying anything in regard to this matter, the property of the developed item would be owned by all the partners proportionally. All the partners of a project are basically forced to share the necessary foreground so all the partners can perform their tasks in the project.

Background On the other hand, this term refers to the knowledge that the different partners of a consortium already had before carrying out the European project. Just as in the foreground, specifying it in the con-

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Grant Agreement This is an agreement that the Commission enters with a consortium benefiting from one of its grants.

Third Countries Any country which is not a member of the European Union (this definition has changed with respect to the one included in the Sixth Framework Programme). Initially any organization from a third country can participate in the EU Framework Programme; however, there are many differences in their treatment. The less legally problematic are the associated countries (defined below).

There are some Themes that consider a joint cooperation in certain matters with developing countries (see below). Finally, and except in international collaboration frameworks such as Intelligent Manufacturing Systems (IMS), the participation of an entity of a developed third country (the USA, Japan, Canada, Australia) is accepted in beneficial terms for Europe: when there is no other possible partner in Europe with the required background or when the presence of the entity guarantees excellence at a level that cannot be reached in any other way.

Candidate Countries Countries which are going to be eventually incorporated to the European Union. Candidate countries are treated in exactly same way as member states.

Associated Country An associated country is a third country part of an international agreement with the Community under which it contributes to funding the activities of its entities in the framework programme, whether entirely or partially. Associated countries are a live list —permanently changeable— that must be consulted from time to time and at every specific call to be aware of the legal position of all the partners.

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International Organisation

Funding Schemes

This is an intergovernmental organisation different from the European Union, and by extension, any specialised agency that depends on these international organisations, that has legal personality before international legislation.

These are the mechanisms that the Commission uses to fund collaborative initiatives. As already mentioned, they were formerly referred to as instruments; this group includes networks, SSCPs, etc.

International European Interest Organisation

RTD performer

This term refers to international organisations whose majority of members belong to member states or associated countries and whose main objective is to promote scientific and technological cooperation in Europe (for example, COST and EUREKA).

This term refers to agents and entities that conduct technological R&D in funding schemes for the benefit of specific groups. The most relevant case is the projects designed for the benefit of SMEs (former CRAFT and Collective research schemes, which have to be differentiated from Collaborative).

International cooperation partner country

Minimum Conditions

Following the Commission’s terminology, it is a third country that is not included in the group of most developed countries. Depending on the income, they could be classified as:

Previously called eligibility criteria, they currently make reference to the minimum requirements for an entity to benefit from a collaborative-type indirect action. The two minimum conditions are:

– Low-income.

– At least three legal entities must participate, established in a member state or associated country, and each of them must be in a different country.

– Lower-middle-income.

– Upper-middle-income.

Public Body

– The three aforementioned legal entities must be independent from each other.

Any organisation established as such in accordance with the national legislation; this term also refers to international organisations.

Independence Two entities are considered independent when:

SMEs Micro, small and medium enterprises in accordance with the provisions established in the Recommendation 2003/361/EC of May 6, 2003. This definition must be met by enterprises if they wish to participate as such in programmes aimed at SMEs:

– They do not constitute a holding, by fact or law, or by the free discretion of the decision makers of both organizations.

– Micro enterprise: employs less than 10 people and has an annual revenue or balance sheet that does not exceed 2 M€.

– However, the following control relationships shall not be considered as such:

– Small enterprise: employs less than 50 people and has an annual revenue or balance sheet that does not exceed 10 M€.

– If the “controller” is a public investment organisation, an institutional investor or a private equity enterprise.

– Medium enterprise: employs less than 250 people and has an annual revenue or balance sheet that does not exceed 50 M€ and 43 M€, respectively.

– If both organisations are property of or are supervised by the same public body.

Work Programme This term makes reference to the specific list of scientific-technological scopes in which a proposal may be presented, that is, within a specific programme or Theme. The inadequacy of the project proposed to the open Themes will result in an automatic rejection of the application.

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– None of them exercise control over the other, which means owning over 50% of the share capital or of the voting rights in the board of directors (directly or indirectly).

Two-step evaluation procedure One part of the collaborative indirect actions of the Seventh Framework Programme is evaluated in two steps. In the first step, usually only the proposal’s scientific-technological quality is evaluated, as well as its adjustment to the Theme’s specific programme and to the work programme, and its compliance with the European Union’s ethical principles. A summarised version of the proposal will be preBASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

sented in the first step to reduce the preparation costs as much as possible. If the proposal is approved in this first step, the consortium will be requested to prepare the second step, which would be much more detailed in its description.

Independent Experts The Commission guarantees equal opportunity and objectivity in its selection process, amongst other things, by means of using independent experts in the evaluation of proposals (peer review).

Appointment Letter A letter signed by independent experts guaranteeing that there is no conflict of interest. If a conflict of interest arises before any evaluation process, this should be notified appropriately.

Consortium Agreement As opposed to a grant agreement, this agreement is not between the Commission and the performers of the indirect action, but an agreement that regulates their internal relationships as a group. The consortium agreement is compulsory for funded actions, and it must include: – The internal organisation of the consortium.

– The distribution of the financial contribution from the Commission.

indirect. With regard to justifying direct costs, there is no doubt that: justifying the number of hours dedicated, the hourly cost of employees, the invoices for consumables, stocks and travel expenses, etc. is required. Regarding indirect costs, the Commission sometimes offers the possibility of choosing the framework for their calculation (always depending on the legal nature of the benefiting entity and its accounting system): – Total indirect eligible costs (full costs - FC): this formula may only be adopted by entities following a cost accountancy system.

They must explain the internal accounting criteria followed in their calculation and their assignment to specific activities of the indirect action funded by the Commission.

– Flat rate: depending on the nature of the organization and on the indirect action, the beneficiary may resort to indirect costs that result from applying a fixed percentage to its direct costs.

– Lump sum: in this formula, the Commission establishes a price for a certain activity. As, for example, the cost of a researcher per year in an excellence network (23,500 €/year).

Upper funding limits The upper funding limits depend on the indirect action, the nature of the beneficiary and the type of activity, which are:

Coordinator

– For RTD activities, the Commission’s maximum contribution can be of up to 50% the total eligible costs. However, public bodies, secondary and higher education centres, research organisations and SMEs may obtain up to 75% (the “up to” is very difficult to define; it may always be possible in the most favourable case, but it is not completely established at 75%).

As the name implies it is the project’s coordinator, which must be responsible for the following tasks:

– For demonstration activities, the Commission’s maximum contribution is 50%.

– Ensuring that all the partners meet all the requirements to adhere to the grant agreement.

– For activities within the context of frontier research actions, coordination and support actions, and actions framed within the training and career development of researchers, funding may reach up to 100% of the total eligible costs.

– The way in which internal disputes will be settled.

– The additional rules and provisions established in the grant agreement.

– Receiving grants from the Commission and distributing them as stipulated by the consortium and grant agreements.

– Keeping records and managing the accounts regarding the Commission’s financial contribution and notifying the Commission on the distribution carried out.

– Acting as an intermediary between the participants and the Commission with the aim of achieving an efficient and suitable communication.

Eligible Costs Eligible costs are costs assigned to the performance of an indirect action funded by the Commission. They can be divided in direct and BASQUE PARTICIPATION IN EUROPEAN R&D&i ACTIVITY | 2011 STRATEGIC BOOK

– For management activities regarding the consortium, including audit certification, the funding may reach up to 100% of the total eligible costs (provided that the management does not exceed a certain percentage of the entire budget. This percentage was established at 7% in the previous Framework Programme). In the past Framework Programme, audits were compulsory for all partners every year. In this Framework Programme, the Commission only withholds, ex officio, a percentage in accordance with the risk assessment carried out.

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Non-eligible costs

European Investment Bank

These are costs arising from indirect actions for which there are no grants. The following are explicitly considered as non-eligible: indirect taxes, (including VAT), interests, provisions for possible future losses, losses originating from currency exchange and, in any case, profit margins. With the current economic crisis, the Commission repeatedly insists that the grants are awarded on cost budgets and not on market prices. This is the reason why they are so reluctant to allowing significant subcontracting.

The participants in European projects have the possibility of complementing the Commission’s grants with credits.

Risk-Sharing Finance Facility Help provided by the Commission so the EIB has funds available for the above-mentioned credits.

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MACPLUS project: “Component Performance-driven Solutions for Long-Term Efficiency Increase in Ultra Supercritical Power Plants”. Tubacex is participating.

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