UK research and the European Union The role of the EU in funding UK research
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UK research and
the European Union
The role of the EU in
funding UK research
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 1
The European research landscape is complex. Both the European Union and individual European countries fund research. Researchers collaborate with each other within Europe and internationally. UK research and the European Union: The role of the EU in funding UK research Working group Professor Carlos Frenk FRS Sir Tim Hunt FRS FMedSci Dame Linda Partridge DBE FRS FMedSci Dame Janet Thornton DBE FRS FMedSci Professor Terry Wyatt FRS The text of this work is licensed under Creative Commons Attribution-NonCommercial-ShareAlike CC BY-NC-SA. The license is available at: creativecommons.org/licenses/by-nc-sa/4.0 2 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH
UK research and the European
Union: the role of the EU in
funding UK research
A referendum on the United Kingdom’s at building capacity in the least economically
membership of the European Union (EU) developed regions of the EU. Excellent research and
will take place before the end of 2017. This innovation help us to
report sets out to show the role of the EU in The UK was the second largest recipient in live healthier, fuller and
funding UK research. absolute terms after Germany in the most better lives.
recent Framework Programme (FP7). If
This is the first part of a phased project structural funds are taken into account, Poland
gathering evidence about the influence is ranked second and the UK fourth. In the
of the UK’s relationship with the EU on UK, universities are by far the most successful
research. It is intended to inform debate. in attracting Framework Programme funding,
Subsequent phases will look at researcher taking 71% of the total funds awarded to the
mobility and collaborations, and the role of UK during Framework Programme 71. UK
EU regulation and policy. businesses attracted 18%2. By contrast, if we
consider the distribution of where research
Excellent research and innovation help us to and development is conducted in the UK;
live healthier, fuller and better lives. Europe is 64% conducted by businesses and 26% in
home to world-class research, and researchers universities3.
come from all over the world to collaborate with
researchers that are based here and to use The proportion of research income that EU
European scientific infrastructure. Within this funding represents for universities has been
community, the UK has created a world-leading increasing. Since the 2010 UK spending review,
research base that interacts with the best and universities have seen their total research
most ambitious in the rest of the world, keeping income rise slightly, despite experiencing a
UK research at the cutting edge. drop in UK government funding for research
through the Higher Education Funding Council
The European research landscape is complex. and the Research Councils. This is due to
Both the EU and individual European countries increases in research income from other
fund research. Researchers collaborate with sources including the EU and the private sector.
each other within Europe and internationally.
The UK’s relationship with the EU is complex
The UK contributes more overall to the EU and the EU’s influence varies across different
budget than it receives. However, the UK is one parts of the UK’s research ecosystem. The
of the largest recipients of research funding evidence presented in this report focuses on
in the EU: it receives a greater amount of EU the financial aspects of the UK’s relationship
funding for research and development than the with Europe and should not be considered
proportion of its contribution analyses suggests in isolation. The monetary value of a funding
is earmarked for this. stream is not the sole guide to its value
for research. Small amounts of funding in
There are two major routes by which the EU areas where little funding is available, or that
directly funds research in the UK – Framework offer researchers mobility and encourage
Programme funding and structural funds. The collaborations can have a bigger impact than
UK is very successful in attracting Framework their monetary values might suggest. This value
Programme funding, particularly that allocated is difficult to quantify and we have not sought to
for excellence. The UK recieves relatively little do so in this document.
structural funding, which is largely targeted
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 3
Who funds research in Europe?
The European Union (EU) is one of many The European research landscape is complex.
According to estimates research funders in Europe. Regional, national and international actors
by the League of interact at multiple levels.
European Research
Universities (LERU), FIGURE 1
15% of publicly funded
research conducted Flow of research funding in Europe.
in EU Member States
comes from, or is EU Member State national governments
coordinated by, the EU
or by intergovernmental
organisations.4
Key
DG = Director General
European Research-
DG REGIO intensive Flow of funds
Commision DGs
Funding of researchers
based outside EU
Member States
DG RTD
(research)
Framework
Structural
Sectoral R&I Programmes
and Investment
programmes Horizon 2020
funds (ESIF)
(2014 – 2020)
EU Researchers
Universities
Research infrastructures Associate
Businesses
Research institutes countries
Businesses
Charities
Third
Charities
countries
4 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH
How does the EU fund research?
The EU supports research, development In addition the EU provides indirect support
and innovation through several interlinked for research, development and innovation The EU has a total
programmes. These are estimated to provide through specific programmes. estimated budget of
€120 billion5 to directly support research, €120 billion to directly
development and innovation activities over support research
the period 2014 – 2020.6 and innovation
activities between
FIGURE 2 2014 and 2020.5
Estimated EU expenditure on research, development and innovation. 2014 – 2020.
€40.2bn
Structural funds for
R&D activities
€120 billion
€74.8bn
Horizon 2020
€5bn
Sectoral R&D
programmes
Additional programmes indirectly supporting research and innovation activities:
• C
ompetitiveness for Enterprises and Small • The Life programme
and Medium Size Enterprises (COSME) • The Connecting Europe Facility
• Erasmus+ • European Fund for Strategic Investment
• The Health programme
Source: References 1, 8, 28 and 29.
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 5
Framework Programmes How is funding distributed?
Up to December 2014, What are Framework Programmes? Horizon 2020 funding is mostly allocated
almost half of the Framework Programmes (FPs) are the main EU competitively through calls for proposals to
scientific publications funding mechanism for research, development which researchers and organisations can
resulting from and innovation. The current Framework apply. Criteria for allocating funding vary
completed Framework Programme is called Horizon 2020. and include scientific excellence, alignment
Programme 7 projects with a number of strategic objectives (grand
were in high impact Who manages them? challenges), geographical and disciplinary
peer reviewed Horizon 2020 is managed by the European diversity and potential for commercialisation.
journals.10 Commission’s Directorate-General for The calls for proposals are managed under a
Research and Innovation (DG RTD). number of schemes and agencies, including
Eight other DGs with a research dimension the European Research Council (ERC),
(Energy, Communication, Agriculture, Marie Skłodowska-Curie Actions (MSCAs),
Education and Culture, Growth, Home the Small and Medium sized Enterprises
Affairs and the Joint Research Centre (JRC)) (SME) instrument, the European Institute of
share ownership and responsibility for the Innovation and Technology (EIT), the European
Programme with DG Research. Investment Bank and partnerships with
Member States and industries.
What is the budget?
Horizon 2020 has a budget of €74.8 billion9 What has Framework Programme funding
for the period 2014 – 2020. The budget achieved?
and remit of Framework Programmes has Looking at the most recent Framework
increased since their inception in 1984 Programme, (FP7 running 2007 – 2013), 48%
(see timeline on page 9). of projects were completed by December
2014 and had produced over 43,000
Who can receive funding? publications, 47% of which were published
Universities, research organisations, small in high impact peer reviewed journals10
and large businesses, charities and individual (defined as the top 10% of the SJR index11 of
researchers from EU Member States are all journals within a given scientific category).
eligible for Framework Programme funding. These projects also reported more than 1,500
Non-EU countries also participate in patent applications.
Framework Programmes.
What do Framework Programmes fund?
Framework Programmes fund a variety
of different research, development and
innovation activities across the private and
public sectors, spanning from fundamental
research to technological development.
These funded activities aim to broaden
understanding of the world, harness scientific
progress for economic and technological
development, and solve some of the ‘grand
challenges’ Europe faces.
6 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHThe European Research Council (ERC)
What is the ERC? The ERC is the first What does the ERC fund? The ERC is unique
pan-European funding body for frontier among EU research funding schemes in
research12, established in 2007. The ERC funding individual researchers solely on the
has rapidly established itself as a world basis of their scientific excellence and their
leading funder of excellent research and its proposed projects. Unlike other forms of
funding is highly prized by researchers for EU research funding, its grants have neither
the status it confers and because it comes thematic priorities nor geographical quotas.
with relatively few restrictions attached.
What has ERC-funded research led to?
What is the budget? The ERC budget for As of September 2014, 48% of the scientific
2014 – 2020 is €13 billion, 17% of the total publications from completed ERC-funded
Horizon 2020 budget.13 projects were in the top 10% most highly cited
publications in their scientific discipline and
year of publication, and 11% were in the top
1% most highly cited publications worldwide.14
Marie Skłodowska-Curie Actions (MSCAs)
What are Marie Skłodowska-Curie Actions? What is the budget? The budget for Marie
These enable researchers to work in Skłodowska-Curie Actions for 2014 – 2020
different countries, sectors or disciplines. is €6.2 billion, 8.2% of the total Horizon 2020
They are designed to encourage the budget.15
development of early stage and more
experienced researchers by enabling them What do Marie Skłodowska-Curie
to spend a period of time working abroad in Actions fund? MSCAs support international
an academic or non-academic setting in the training networks for PhD and early
EU and overseas. Prior to 2014 these were career researchers, international mobility
known as Marie-Curie Actions. We shall refer fellowships for experienced researchers,
to them by their current name throughout. international exchanges of research staff and
other programmes related to international
and intersectoral research training and
career development.16
The SME Instrument
What is the SME Instrument? What does the SME Instrument?
The Horizon 2020 SME Instrument is a SMEs from a wide variety of different
mechanism for the EU to invest in, and sectors18 can access funding and support
support, small and medium enterprises looking through this scheme. These include: low
to convert successful and innovative research carbon technologies and energy efficiency;
into market-leading businesses. SMEs transport; medicine and medical devices;
considered to have strong potential for growth biotechnology; nanotechnology; space;
on an international scale will receive funding food production; and eco innovation and
as well as business support and mentoring. production of raw materials. There are
currently 155 listed SMEs in the UK that
What is the budget? The SME Instrument are receiving SME Instrument funding.
budget for 2014 – 2020 is €3 billion, 4% of
the total Horizon 2020 budget.17
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 7Sectoral research and innovation What activities are funded?
programmes19 Research and innovation activities funded
What are the EU sectoral research by the European Structural and Investment
and innovation programmes? Funds include the construction of research
Sectoral programmes fund research and infrastructure, support for technology transfer
innovation activities in specific sectors: and research intensive businesses, and skills
• Nuclear energy: Euratom Research programmes.
and Training Programme (ERTP) and
International Thermonuclear Experimental Programmes connected to research and
Reactor (ITER) innovation activities
• Space: Copernicus and Galileo satellites Five other EU programmes indirectly
programmes, complementing space support research, development and
research under Horizon 2020 innovation activities, although they do
• Coal and steel production not fund these directly:
• COSME (supports Small and Medium
What is the budget? Enterprises (SMEs), including to develop
The total research budget for these Research & Development capabilities).
programmes is about €5 billion over the • Erasmus+ (student mobility).
period 2014 – 2020, of which the majority • The Health Programme (supports healthcare
(€4.5 billion) is for research into nuclear frameworks including research hospitals).
energy. These numbers are not exact because • The Life Programme (supports policy
these programmes do not all run within uptake of environmental research).
the same timeframe. • The Connecting Europe Facility (includes
€1.14 billion for trans-European telecoms
Structural funds infrastructures).
What are the structural funds?
European Structural and Investment Funds European Fund for Strategic Investment
(ESIF) are a set of funds targeted especially (EFSI)21
(though not exclusively) at building capacity What is EFSI?
in the least economically developed regions The European Fund for Strategic Investment
of the EU. In the UK, these include Cornwall, (EFSI, also known as the ‘Junker Plan’) is
parts of Wales and the Scottish Highlands. one pillar of the European Commission’s
Investment Plan for Europe. It aims to mobilise
Although a large proportion of these funds investment to stimulate jobs and growth in
are spent on projects such as building Europe across a range of infrastructure and
infrastructure, support for research and innovation projects.
innovation activities is also one of their
priorities. Structural funds and Framework What is the budget?
Programmes have different objectives and EFSI has a seed fund of €16 billion of EU
awarding criteria, and support different public funds that are intended to leverage
activities, but funding from the two external investment of €315 billion. €2.2 billion
programmes is increasingly coordinated have been redeployed from Horizon 2020 to
and synergies are encouraged. form part of the seed money.
What is the budget? What does EFSI fund?
An estimated €40.2 billion of structural funds The Commission has guaranteed that
will be allocated to research and innovation research and innovation projects will be
activities over the period 2014 – 2020.20 among the activities for which EFSI will
leverage investment. However, precise
details are yet to be determined.
8 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHWho decides the EU’s priorities
for its research funding?
Decisions about the budget and strategic negotiations that shape EU research funding.
priorities of EU research funding are agreed However, they can participate in Framework
by the European Parliament, Commission Programmes, contributing funds and
and Council. Countries that are not Members accessing funding under specific conditions.
States of the EU do not have a role in the
FIGURE 3
Timeline of EU research activities22
2014
Horizon 2020 (2014 – 2020) –
€80 billion. 2010
2007 2007
Seventh Framework Programme Treaty on the European Union
(2007 – 2013) – €55.9 billion. (Treaty of Lisbon) signed. The
European Research Council (ERC)
2002 is launched.
Sixth Framework Programme
(2002 –2006) – €19.3 billion. 2000 2000
The Lisbon European Council launches
1998 the European Research Area (ERA).
Fifth Framework Programme
1996
(1998 – 2002) – €14.9 billion.
Marie Curie Actions launched.
1994 Renamed Marie Skłodowska-Curie
Fourth Framework Programme Actions in 2014.
(1994 – 1998) – €13.2 billion.
1990 1990
Third Framework Programme
(1990 – 1994) – €6.6 billion.
1987
Second Framework Programme 1986
(1987 – 1991) – €5.4 billion. Single European Act signed, which
includes a chapter on research,
1984 the first time this has been included
First Framework Programme in an EU Treaty.
(1984 – 1987) – €3.3 billion. 1981
1980 European Commission proposes
supplying research funding under
a single framework.
1958
1957
European Economic Community
European Atomic Energy Community
Established.
(EURATOM) established, providing
funding for research into nuclear
1951 energy between countries. The Joint
European Coal and Steel Community Research Centre (JRC) is launched.
1950
(ECSC) established, providing funding for The JRC now provides the European
research in the coal and steel industries. Commission with independent
scientific and technical advice.
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 9Which countries can access
EU research funding?
All European Union (EU) Member States can
Case study Switzerland
access EU research funding.
Switzerland is not an EU member state
In addition, a number of mechanisms exist to
but is partially associated to the EU
enable scientific institutions and researchers in
Framework Programme until the end
non-EU countries to participate in, and receive
of 2016. During this time, researchers
funding from, EU Framework Programmes.23
based in Switzerland can access some
parts of Horizon 2020 funding on the same
Associated Countries24
basis as those in an EU Member State.
Thirteen counties (including Norway,
Extension of this access through to 2020
Israel and Switzerland) have ‘Associated
is dependent on Switzerland’s ratification
Country’ status and contribute to Framework
of an agreement on free movement of
Programme budgets proportionally to their
people related to Croatia joining the EU.
GDP. This enables their researchers and
organisations to apply for Horizon 2020
projects with the same status as those from
EU Member States. Associated Country status Case study Norway
is open to countries that are members of the
European Free Trade Association (EFTA) and Norway is not an EU member state
current EU candidate nations. The terms of but is an official ‘Associated Country’
their association differ slightly by country. meaning it participates in Framework
They do not have a role in the negotiations Programmes under the same conditions
that shape EU research funding. as EU Member States. The nature of
the agreement signed between Norway
Non-associated third countries and the EU means that terms do not
Institutions and researchers from other need to be renegotiated with each new
countries can also apply and participate in EU Framework Programme.
Framework Programmes, under the ‘openness’
strategy, and in some circumstances receive As an ‘Associated Country’ Norway is not
direct funding. Depending on the exact represented on the European Council
scheme, third countries might have to provide or in the European Parliament so has
matching funds. limited ability to influence the direction of
European research funding. However, it
Scientific and technological cooperation does engage extensively in EU-funded
The EU has international agreements for research, contributing to, and receiving
scientific and technological cooperation with funding from, EU Framework Programmes.
20 countries. These create a framework
for participation in joint projects, sharing of
facilities, staff exchanges or the organisation
of specific events.
10 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHThe European Research Area (ERA) An ERA Board advices the European
Work is underway to create a European Commission on the realisation of the ERA and
Research Area (ERA). This is intended to be: helps develop, promote and evaluate policy
initiatives and actions. The board consists of 22
“a unified research area open to the world high-level experts from academia, business and
based on the Internal Market, in which industry appointed in their personal capacity26
researchers, scientific knowledge and by the European Commission. The current chair
technology circulate freely and through which is Professor John Wood CBE FREng.
the Union and its Member States strengthen
their scientific and technological bases, The European Research Area and Innovation
their competitiveness and their capacity Committee (ERAC) advises the EU and
to collectively address grand challenges.” 25 Member States on research and innovation
issues that are relevant to the development
The aim of the ERA is to maximise the return of the ERA. The ERAC is chaired by the
on research investment for both the EU and its Commission and includes representatives
individual Member States; avoid unnecessary of all Member States. A number of non-EU
duplication of research and infrastructure countries that are associated to EU research
investment at national level; and improve the and innovation programmes, including
effectiveness and efficiency of the European Norway, Israel and Switzerland, participate
research community. as observers.27
Its key priorities are:
• More effective national research systems
• Optimal transnational co-operation and
competition
• An open labour market for researchers
• Gender equality and gender mainstreaming
in research
• Optimal circulation, access to and transfer
of scientific knowledge
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 11The UK and EU research funding
The analysis in the following section is based The UK is one of the largest recipients of
on the most recent completed EU financial research funding in the EU and, although
framework, that operated during 2007 – 2013. national contributions to the EU budget are not
itemised, analyses suggest that the UK receives
How much does the UK contribute to EU a greater amount of EU research funding than it
research and how much does it receive? contributes. The UK Office of National Statistics
Overall the UK is a net contributor to the (ONS) report an indicative figure for the UK’s
EU budget. Over the period 2007 – 2013, contribution to EU research and development
the UK contributed €77.7 billion to the EU of €5.4 billion over the period 2007 – 2013.29
(10.5% of the total EU income from Member During this time, the UK received €8.8 billion
States), and received €47.5 billion in EU in direct EU funding for research, development
funding (6% of the total EU expenditure and innovation activities.30
to Member States.28
FIGURE 4
Flow of funds between the UK and EU 2007 – 2013 (€ billion).*
Key
Share for research, development and innovation activities Total funds
€bn
0 10 20 30 40 50 60 70 80
UK contribution Total €77.7bn
to the EU
€5.4bn
EU funding Total €47.5bn
to the UK
€8.8bn
Source: References 1, 8, 28 and 29.
12 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHWhat types of research funding does the UK
receive from the EU?
The UK receives most of its EU research
funding through Framework Programmes and
structural funds. Over the period 2007 – 2013,
the UK received €6.9 billion of Framework
Programme 7 (FP7) funding31, of which
€1.7 billion were in European Research
Council grants32 (19%) and €1.1 billion for
Marie Skłodowska-Curie Actions33 (12%).
The UK was allocated €1.9 billion of structural
funds for research and innovation activities
over the same period.34
FIGURE 5
Sources of EU funding to UK research, development and innovation. 2007 – 2013.
22%
Structural funds
for R&D
€8.8 billion* 47%
FP7 – Other activities
19%
FP7 – ERC
12%
FP7 – Marie-Curie actions
Source: References 1 and 8.
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 13How much research funding does the
UK get from the EU and how does
this compare with other countries?
The UK is one of the largest recipients of In terms of funding awarded on a competitive
research funding in the EU. Over the period basis in the period 2007 – 2013 (Framework
2007 – 2013 the UK received €8.8 billion out of Programme 7), the UK was the second largest
a total of €107 billion expenditure on research, recipient after Germany, securing €6.9 billion
development and innovation in EU Member out of a total of €55.4 billion.36
States, associated and third countries. This
represents the fourth largest share in the EU.35
FIGURE 6
Distribution of EU expenditure on research, development and innovation (Framework
Programme 7 and structural funds) in EU-28 countries. 2007 – 2013 (€ billion).
Key FP7 Structural funds for research and innovation activites
GER 7.14 4.94
UK 6.94 1.91
FRA 5.14 2.21
ITA 3.59 6.07
NED 3.33 0.30
ESP 3.26 5.56
BEL 1.81 0.30
SWE 1.71 0.40
AUT 1.18 0.36
DEN 1.06 0.16
GRE 1.00 2.44
FIN 0.88 0.47
IRE 0.63 0.16
POR 0.52 4.51
POL 0.44 9.30
HUN 0.29 2.13
CZE 0.29 3.97
SLN 0.17 1.01
ROM 0.14 1.13
BUL 0.10 0.29
EST 0.09 0.68
CYP 0.09 0.04
CRO 0.09 0.12
SLK 0.08 1.30
LUX 0.06 0.02
LIT 0.06 0.99
LAT 0.05 0.75
MAL 0.02 0.08
Source: References 1 and 8.
14 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHHowever these figures do not take into account second only to the Netherlands. In contrast,
the relative size of each country’s economy. Germany, France and Italy perform less well
Adjusting these figures for GDP shows that the (see figure 7).
UK performs well for the size of its economy,
FIGURE 7
Difference between the percentage proportion of Framework Programme 7 funding received
and the percentage proportion of EU GDP for each EU Member State. 2007 –2013.
4
2
0
ROM
HUN
SWE
CRO
MAL
DEN
POR
AUS
GRE
GER
CYP
POL
BUL
NET
LUX
FRA
CZE
SLO
ESP
BEL
EST
SLK
LAT
FIN
IRE
ITA
LIT
UK
0
2
4
Source: Reference 1.
GDP values from ec.europa.eu/eurostat/tgm/table.do?tab=table&init=1&language=en&pcode=tec00001&plugin=1
Structural funds are allocated to build capacity total EU research and development funding
in the least economically developed regions of (FP7 and structural funds) for GDP. The UK,
the EU. Countries with lower GDPs therefore Germany and France are shown to receive
tend to receive a greater proportion of these. proportionally less overall funding when their
This is demonstrated by figure 8 that adjusts GDP is taken into account.
FIGURE 8
Difference between the percentage proportion of EU funding on for research, development
and innovation (Framework Programme 7 and structural funds) received and the percentage
proportion of EU GDP for each EU Member State. 2007 – 2013.
8
6
4
2
0
ROM
HUN
CRO
SWE
MAL
DEN
POR
AUS
GRE
GER
CYP
POL
BUL
LUX
NET
FRA
CZE
SLO
ESP
EST
BEL
SLK
LAT
FIN
IRE
ITA
LIT
UK
0
2
4
6
8
Source: References 1 and 8.
GDP values from ec.europa.eu/eurostat/tgm/table do?tab=table&init=1&language=en&pcode=tec00001&plugin=1
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 15Looking at Framework Programme 7 funding million in ERC grants over FP7 2007 – 2013,
Between 2007 – 2013, more closely, in terms of funding from the which was 22.4% of the total budget for the
3,454 UK-based European Research Council (ERC) and Marie programmes.37 Over the same period, through
researchers received Skłodowska-Curie Actions (MSCA), which Marie Skłodowska-Curie Actions, UK-based
funding from Marie are awarded solely on the basis of scientific researchers received €1,086 million, which
Skłodowska-Curie excellence, the UK was the top performer was 25.5% of the programme’s total budget.38
Actions to work among participating countries.
overseas and 8,120 UK based researchers received €1,665
overseas researchers
came to work in UK
FIGURE 9
organisations with
Marie Skłodowska- Distribution of European Research Council (ERC) and Marie Sklodowska-Curie Actions (MSCAs)
Curie Actions support.38 funding among participating countries. 2007 – 2013 (€ million).
1800
Key
ERC MSCAs
1600
1400
1200
1000
800
600
400
200
0
UK
GER
FRA
NED
SWI
ESP
ITA
ISR
SWE
BEL
AUT
DEN
IRE
FIN
NOR
GRE
POR
HUN
POL
TUR
CZE
CYP
SLN
CRO
ICE
LUX
EST
SLK
ROM
BUL
LIT
LAT
MAL
Source: References 32 and 33.
16 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHHow does EU research funding
compare with UK domestic
research funding?
EU research funding through Framework is not captured in this as only some of these
Programme 7 represented 3% of UK activities fall under the ONS definition of
expenditure on research and development research and development used to calculate
between 2007 and 2013.39 EU research and the domestic data below. The real figure is
innovation funding through structural funds therefore likely to be higher than 3%.
FIGURE 10
UK expenditure on research and development by source of funding. 2007 – 2013.*
5%
Charities
3%
FP7 funding
17%
Other sources
€226.3 billion 45%
Business
11%
Government
departments
11%
Research Councils
8%
Higher Education
Funding Councils
Source: References 1 and 3.
Which UK sectors receive EU research A total of 13 UK universities are ranked in the
funding? top 25 European universities, rated in terms
Considering just Framework Programme of the number of participations in Framework
funding (as breakdown by sector is not Programme 7. Oxford, Cambridge, Imperial
available for structural funds), UK universities College and UCL occupied the top four
were among the most successful in securing spots.41 However no UK organisation was
EU research funding, receiving 71% of total ranked in the top 25 research organisations
Framework Programme (FP7) funding awarded participating in FP7, and only 4 were ranked
to the UK.40 in the top 50.
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 17This reflects that research architecture varies This distribution contrasts with where research
across participating countries, with research and development is conducted in the UK.
strength in some countries concentrated in 64% is conducted by businesses and 26%
research organisations (such as the Max Planck in universities.43 This reflects a low rate of
Institutes in Germany) rather than universities. private sector participation in EU research
funding in the UK. In the rankings of private-
UK businesses attracted 18% of the total funds for-profit organisations, only 2 UK companies
awarded to the UK through FP7. This is below (NEC Europe Ltd and Rolls Royce) were
the EU average of 26.7% and much lower than ranked in the top 50 European companies
countries such as Germany and France where in terms of FP7 participations.44
businesses secured 33% and 27% respectively
of the FP7 funding received by the country.42
FIGURE 11
Breakdown of sectors receiving Framework Programme 7 funding in the UK. 2007 – 2013.
1%
Others 2%
8% Public bodies
Research organisations
5%
Other businesses
13%
Total €6.9bn 71%
SMEs Universities
Source: Reference 1.
Data are not available about the breakdown by sector of structural funds received by the UK.
What impact does EU research funding have In 2009/10 UK universities received £409
on UK universities? million of research income from EU government
Over the period 2007 – 2013, universities bodies.* By 2013/14, this had risen to £687
received €4.9bn out of a total of €6.9bn million.48 * This is equivalent to the combined
awarded to the UK through FP7 Framework total research income of Kings College London
Programme.45 and Imperial College (£679 million), two leading
research-intensive universities.
Considering the years since the UK spending
review in 2010, the overall research income It is important to note that EU funding does
of universities46 has increased by 2.7% in real not always cover the full cost of research
terms (between 2009/10 and 2013/14).47 * overheads, meaning that recipients need
to meet such costs from other sources of
research income, such as Quality-related
Research (QR) funding or endowments.
18 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHFIGURE 12
Research income of UK Universities in 2009/10 and 2013/14*.
Overall funding
2009/10 Total £6.8bn
2013/14 Total £7.04bn
Breakdown
Other public sources Government science budget
(Government departments, (funding from BIS distributed through the
NHS and local authorities) Higher Education Funding Councils and
the Research Councils)
2009/10 £0.85bn 2009/10 £3.86bn
2013/14 £0.89bn 5% 2013/14 £3.63bn 6%
European Union Private sector
(includes both Framework Programmes (UK and foreign)
and Cohesion Policy)
2009/10 £0.41bn 2009/10 £0.46bn
2013/14 £0.69bn 68% 2013/14 £0.51bn 11%
Other sources Charities
(UK and foreign)
2009/10 £0.17bn 2009/10 £1.11bn
2013/14 £0.23bn 33% 2013/14 £1.11bn
Source:
Source: Reference
Reference 47. 47
In 2013/14, EU funding represented 9.7% of Over the same period, income from the
total research income for Higher Education Department for Business, Innovation and Skills
Institutions in the UK. This was a real terms (BIS)49 as a proportion of total research income
increase of 68.2% from 2009/1048.* for UK Higher Education Institutions has
declined by 4.5 percentage points, from 56%
to 51.5%. This is a real terms decline of 6.2%.*
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 19How does the EU fund research
facilities and major equipment?
Research often needs specialised The EU supports transnational and virtual
Framework Programme infrastructure, including equipment and access, networking, and joint research
7 earmarked €1.85 buildings, or less tangible infrastructure activities. These create opportunities for
billion for research such as databases, archives, collections new and existing groups of researchers and
facilities, and the and computing systems. scientists to collaborate across disciplines and
Framework Programme countries, as well as platforms where science
for 2014 – 2020 These can be of great scientific value but are and industry can come together. Users can
(Horizon 2020) will sometimes expensive, and as a result are be researchers from academia, business,
support them with often shared and used by scientists from many industry and the public sector from countries
about €2.4 billion.50 different countries. Access to and networking participating in the programmes. The EU has
between different pieces of research supported 3,539 UK based researchers to
The EU has supported infrastructure represent an important part access 1,055 European research facilities
3,539 UK based of the European and international research between 2007 and 2013.51
researchers to access landscape. Different countries, including
1,055 European the UK, play host to the headquarters of In addition, 107 UK national research facilities
research facilities international research facilities. received support from the EU to grant
between 2007 access to international researchers, fostering
and 2013.51 Most of the cost of shared research facilities collaborations and exchange of ideas.52
is borne by participating countries, but the
EU often provides funding for activities EU funding is also available to create and
such as planning, strategic coordination, coordinate Europe-wide networks of research
networking and transnational access. The facilities in the same research area.53
Framework Programme for 2007 – 2013
(FP7) earmarked €1.85 billion for research Pan-European research facilities
facilities, and the Framework Programme A number of pan-European research
for 2014 – 2020 (Horizon 2020) will facilities exist. They are often distributed
support them with about €2.4 billion.50 across multiple sites within the EU and
beyond, with headquarters in one of the
National research facilities participating countries. They are funded
Most research facilities are built, funded and by participating countries.
managed at the national level. Although
national research facilities will serve mostly The EU does not directly fund the construction
their own national research community, their of these research facilities but can support the
research value can be greatly increased associated planning and coordination. It does
by creating international networks and this through the European Strategic Forum on
granting reciprocal access to researchers Research Infrastructures (ESFRI).
based elsewhere.
20 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHPan-European research facilities in the UK
The European Strategy Forum on
The UK hosts the headquarters of 6 pan-
Research Infrastructures (ESFRI)54
European research facilities, with facilities
The European Strategy Forum on Research
distributed across multiple participating
Infrastructures (ESFRI) is a multi-disciplinary
countries.56 These are:
forum to support coherent and strategic
• High Power Laser Energy research Facility
decisions regarding the planning and
(HiPER) – Harwell, Oxfordshire (Central
implementation of new or improved
Laser Facility)57
research infrastructures in Europe, and
• ELIXIR (European Life-science Infrastructure
to facilitate multilateral initiatives to best
for Biological Information) – Hinxton
support this approach.
• Integrated Structural Biology Infrastructure
(INSTRUCT) – Oxford
The ESFRI membership consist of two
• Infrastructure for Systems Biology-Europe
delegates from all EU Member States as
(ISBE) – London (Imperial College)
well as a number of additional Associate
• Square Kilometre Array (SKA) – Manchester
Nations and a representative of the
(Jodrell Bank)
European Commission. The current ESFRI
• European Social Survey (ESS ERIC) –
Chair is Prof John Womersley, the Chief
London (City University)
Executive of the UK’s Science and
Technology Facilities Council. The Forum
The UK also hosts 10 facilities58 that are
is a self-regulated body, operating in an
part of pan-European research facilities
open method of coordination, mainly on
headquartered in other European countries
the basis of consensus.
and is a member of pan-European research
facilities entirely based beyond its borders,
It does not allocate funding nor does it
such as the European Hard X-Ray Free
give “direct recommendations” for funding.
Electron Laser (European XFEL) based
However the ESFRI plays a major role in
in Germany.
the decision-making processes regarding
the strategy and implementation of new
The EU’s role in the UK’s engagement with
research infrastructure development
intergovernmental research efforts
and improvements.
Intergovernmental organisations are part of
the European research landscape providing
Under the Framework Programme for 2007
valuable facilities and infrastructures. Each of
– 2013 (FP7), the EU granted such projects
these organisations has its own institutional
about €300 million and further support is
arrangements and membership rules, and the
planned under the research programme
EU plays a different role in each. Some, such
Horizon 2020. Support is also provided for
as the ITER fusion experiment, are directly
conceptual design studies for new research
managed by the EU. Others predate the EU
facilities that demonstrate a clear European
itself and receive only a marginal part of their
dimension and interest. Sixteen design study
budget from the EU, such as CERN.
projects are funded by the EU under the
Framework Programme for 2007 – 2013.55
The six boxes below outline some of the
Structural funds can sometimes be used
most prominent European intergovernmental
to fund the construction phase.
research organisations, providing details
about their function, location, membership
and funding, and the role of the EU in
their operation.
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 21Image
The Large Hadron Collider. European Organisation of Nuclear Research (CERN)
CERN ©2014 CERN.
The ALICE project, What is CERN? The European Organisation nations from outside of Europe have non-
investigating the basic of Nuclear Research (CERN) is an member status to CERN, meaning they do
constituents of matter, intergovernmental research organisation, not participate in organisational decision
is a collaboration operating the largest particle physics making but have co-operation agreements
between more than laboratory in the world. It provides particle to participate in specific projects.
1000 scientists from physicists with state of the art equipment
30 countries.60 like particle accelerators and detectors, Who funds it? In 2014 CERN received €1.2
such as The Large Hadron Collider (LHC) billion in funding, 90% of which came from
59
to carry out ground breaking research. its member nations.61 The UK contribution
CERN organises and sponsors international to CERN funding in 2014 was roughly €126
research collaborations, promoting contacts million (the third highest contributing member
between scientists and interchange with nation behind Germany and France). In 2014,
other laboratories and institutes. The the EU provided 1.6% of CERN’s funding.62
experiments conducted at CERN are
the result of large-scale international What’s the role of the EU in it? The EU is
collaborations. For example, the ALICE not directly involved in the organisation
project60, investigating the basic constituents of CERN activities and policy but has held
of matter, is a collaboration between more ‘Observer Status’ at CERN since 1985. While
than 1,000 scientists from 30 countries. the direct investment from the EU at CERN is
relatively low, EU-funded research projects
Where is it located? CERN is situated astride conduct work at CERN and collaborate with
the Franco-Swiss border near Geneva. researchers who conduct work at CERN.63
During the seven years of EU Research
Which countries are involved in it? The Framework Programme 7 (2007 – 2013),
UK is one of 22 member nations of CERN, CERN participated in successful proposals
which includes 19 EU Member States as well for 87 new EU projects, 36 of which are
as Switzerland, Norway and Israel. Many coordinated by CERN.64
22 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHEuropean Synchrotron Radiation Facility (ESRF)
What is the European Synchrotron Which countries are involved in it?
Radiation Facility? The European The ESRF has 21 partner nations, including
Synchrotron Radiation Facility (ESRF) mostly EU Member States as well as a
operates one of the most powerful X-ray number of non-EU countries from Europe
sources in the world, producing X-rays 100 and abroad, such as Russia, Norway,
billion times brighter than the X-rays used Switzerland, Israel and South Africa. Image
The Canadian
in hospitals.65 This allows research scientists
Light Source, ESRF
visiting the facility to investigate the inner Who funds it? Since it was formed in 1994, ©lightsources.org
molecular structure of materials and living it is estimated that the ESRF has received Courtesy: National
matter, carrying out innovative research in a around €2 billion of total investment, the Synchrotron Radiation
very wide variety of scientific fields including: majority of which comes from its individual Research Center.
chemistry, material physics, archaeology member nations. The UK provides funding
and cultural heritage, structural biology and to the ESRF through the Science and
medical applications, environmental sciences, Technology Facilities Council. The investment
polymer science, information science and from the UK in 2014 was €6.3 million, the
nanotechnologies. It is estimated that around fourth highest individual member contribution
6,500 academics visit the ESRF each year. behind Germany, France and Italy.66
Where is it located? The facility is located What’s the role of the EU in it? While the
in Grenoble, France. ESRF does not receive direct funding from
the EU, much of the research conducted at
the ESRF forms part of EU-funded projects
or as part of collaborations involving
EU-funded researchers.67
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 23European Molecular Biology Organisation (EMBO)
and European Molecular Biology Laboratory (EMBL)
What are the EMBO and EMBL? EMBO is EMBL is funded by 21 European member
an organisation of more than 1700 leading nations, including most EU Member States,
researchers that promotes excellence in the and by Australia and Argentina as associate
life sciences. Its major goals are to support member states. EMBL funding comes
Image talented researchers at all stages of their predominantly from its individual member
Scientist examining
careers, stimulate the exchange of scientific nations, of which the UK was the third
culture sample.
information, and help build a European highest individual contributor in 2014 after
research environment where scientists can Germany and France. Roughly one third of
achieve their best work.68 EMBL’s budget of € 210 million in 2014 was
contributed by third party funding.70
The European Molecular Biology Laboratory
(EMBL) was created in 1974 following plans What’s the role of the EU? EMBO and EMBL
elaborated by EMBO. Now an independent both act independently from the EU, but
organisation, the EMBL conducts basic work closely together and synergise their
research in molecular biology, engages activities with the European Commission.
in technology development and provides EMBL’s collaboration with the EC began
infrastructure, facilities, training and services with a cooperation agreement first signed
for researchers. in 1995. Today cooperation is based
on a Memorandum of Understanding
Where are they located? EMBO and EMBL’s implemented through biannual work plans.
headquarters are located in Heidelberg, The agreement grants the EC ‘observer
Germany. In addition, EMBL operates status’ in EMBL. While EMBL does not
outstations in 4 European countries, receive direct funding from the EU, the EU
including the European Bioinformatics funding programmes for research remain
Institute in Hinxton, UK. the biggest external funding source of EMBL
and with €13.5 million accounted for 30%
Which countries are involved in their of external funding awarded to EMBL in
funding and governance? Funding and 2014. 30% of EMBL’s research faculty hold
support for EMBO programmes of activities is ERC grants and in the years 2012-2014
provided by the European Molecular Biology EMBL coordinated 20 and participated
Conference (EMBC), an inter-governmental in 88 collaborative projects funded by
organisation with 27 member nations, the European Commission Framework
including mostly EU Member States as well Programmes.
as Norway, Switzerland, Israel and Turkey. In
2014, the UK provided 14.6% of total member
nation contributions to the EMBC.69
24 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHEuropean Southern Observatory (ESO)
What is the European Southern Which countries are involved in it? There
Observatory? The European Southern are 16 ESO member nations, along with the
Observatory (ESO) (more formally known as host state of Chile, including EU Member
the European Organisation for Astronomical States, non-EU countries (Switzerland) and
Research in the Southern Hemisphere) is an non-European countries (Brazil is in the
intergovernmental organisation, focussed process of ratifying its membership). Image
on the design, construction and operation of ESO telescope at La Silla
powerful ground-based observation facilities Who funds it? In 2014, ESO received €140.6 Observatory, Chile. ©Iztok
Bončina/ALMA (ESO/
for astronomy. This enables European million in funding from its member nations,
NAOJ/NRAO).
researchers to conduct ground-breaking of which the UK provides 15.7% (third highest
astronomical research that would not be contributor after Germany and France).72
possible in their home nations. ESO work has
paved the way to pioneering observations What role does the EU play in it?
and discoveries such as identifying extra- The ESO operates independently from
solar planets and black holes in the Milky the EU and is controlled by its own
Way. ESO is the most productive astronomical directorates and governing council. The
observatory in the world. In 2013, over 840 ESO plays a central role in a number of
refereed papers were published based on EU-funded research networks. For example,
data from ESO-based studies.71 The ESO also the OPTICON (The Optical Infrared Co-
promotes the mobility and co-operation of ordination Network) project has received
European scientists, for example by hosting €10 million in EU funding and involves
externally-funded (e.g. Marie Skłodowska- several UK universities.73 The project aims
Curie Actions) researchers and maintaining a to bring together members of national and
programme of international conferences. international agencies and organisations to
help improve the quality of facilities and the
Where is it located? Based in Garching, near standard of training and development for
Munich, Germany, the ESO operates three astronomy research.
observing sites in the Atacama Desert region
of northern Chile.
The ITER Organisation
What is ITER? ITER is an international- Who funds it? What’s the role of the
scale research and engineering project EU in it? The EU’s commitments to the
intended to demonstrate the scientific and ITER Agreement were agreed through
technological feasibility of nuclear fusion as the European Atomic Energy Community
an energy source and pave the way for a (EURATOM) Treaty. The EU is contributing
functioning fusion power plant. 45% of the construction phase (buildings, Image
machine components and assembly) cost and The ITER Facility, St
Where is it located? In 2010, construction 34% of the cost of operation, deactivation and Paul-Les-Durance, France
©MatthieuCOLIN.com
began of the world’s largest experimental decommissioning of the facility for the ITER
tokamak nuclear fusion reactor at a location project, with the other six parties contributing
adjacent to CEA-Cadarache nuclear research approximately 9% each. The current cost
centre in the south of France. estimates for the European contribution to
ITER construction phase (2007-2020) amount
Which countries are involved in it? The to €6.6 billion.75 UK industry has so far been
parties developing ITER are China, the EU, awarded over €170 million worth of contracts
India, Japan, the Russian Federation, South as part of the ITER project (ranked third
Korea and the USA, with the partners signing behind France and Italy).76
the ITER Agreement in 2007.74 This scale of
global scientific collaboration is comparable
only with the International Space Station.
UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCH 25European Space Agency (ESA)
What is the European Space Agency? The UK provided €322 million towards
The European Space Agency (ESA) is an this current ESA budget, the fourth highest
independent intergovernmental organisation individual contributor behind Germany,
devoted to conducting aero-space research France and Italy.
and exploration. ESA’s activities have
Image
Launch of Flight included human spaceflight missions (such as What’s the role of the EU in it? ESA is not
VA224 of the Ariane 5 experiments conducted on the International an agency or body of the EU. However, ESA
mission. ©ESA/CNES/ Space Station) and unmanned space maintains close ties with the EU and the
ARIANESPACE-Optique
exploration (such as the Rosetta spacecraft for two organisations have jointly developed
Video du CSG, S. Martin
studying comets), as well as the design, testing a European Space Policy.78 Roughly 23%
and operation of satellites for commercial and of ESA’s funding in 2015 was provided by
scientific purposes such as earth observation the EU, which is more than any individual
and telecommunication projects. member nation.
Where is it located? ESA headquarters ESA’s relationship with the International
are based in Paris but it also has research Space Station (ISS) The ISS is an
facilities in a number of locations around international collaborative project involving
Europe including the European Centre for the United States, Russia, Canada, Japan
Space Applications and Telecommunications and 10 of the 21 ESA member nations
(ECSAT) at Harwell in Oxfordshire, UK. (Belgium, Denmark, France, Germany, Italy,
the Netherlands, Norway, Spain, Sweden and
Which countries are involved in it? Switzerland). These ESA members contribute
ESA comprises 22 member nations, mostly approximately 8% of the total estimated
EU Member States as well as Norway costs for the development, construction
and Switzerland. Canada is an Associate and maintenance of the ISS.79 The UK is not
Member of ESA. involved in the construction of the ISS but
takes part in some of the research projects
Who funds it? In 2015 ESA received total carried out on board, such as the ESA
funding of €4.4 billion, 73% of which was Programme for Life and Physical Sciences in
contributed by individual member nations.77 Space (ELIPS).80
Other intergovernmental research facilities
The UK takes part in other intergovernmental
organisations. These provide research
infrastructures to European researchers
and include:
• European Incoherent Scatter (EISCAT)
• Copernicus (formerly Global Monitoring for
Environment and Security or GMES)
• Institut Laue-Langevin (ILL)
• European Centre for Medium-Range
Weather Forecasts (ECMWF)
• European Organisation for the Exploitation
of Meteorological Satellites (EUMESAT)
26 UK RESEARCH AND THE EUROPEAN UNION: THE ROLE OF THE EU IN FUNDING UK RESEARCHWhat role does the EU play
in supporting researchers to
collaborate and partner with
other countries?
Collaborations are vital for science, and Currently, ten JPIs are operational and the
scientists want to work with the best in their UK takes part in all of them.82 These are:
field irrespective of their geographical location • Neurodegenerative Disease Research
and institutional affiliation. (JPND)
• Agriculture, Food Security and Climate
Researchers often seek to collaborate. Change (FACCE)
Institutional frameworks can enable, facilitate • A Healthy Diet for a Healthy Life
and promote these. For example, researchers • Cultural Heritage and Global Change:
in different countries might operate on A Challenge for Europe
different funding cycles, which makes • Urban Europe
collaborations difficult. By pooling resources • Connecting Climate Knowledge for Europe
together and distributing them centrally, EU (CliK’EU)
funding can overcome these challenges, • More Years, Better Lives – The Potential
lowering the cost of collaborations and and Challenges of Demographic Change
simplifying them.81 Most EU funded research • Antimicrobial Resistance (AMR)
is intrinsically collaborative, bringing together • Water Challenges for a Changing World
expertise from different sectors and countries • Healthy and Productive Seas and Oceans
to share knowledge and expand networks. (OCEANS)
A number of specific EU initiatives seek to Four joint programmes have been initially
promote and support such collaborations: proposed under Horizon 2020:83
• European and Developing Countries
Joint Programming Initiatives Clinical Trials Partnership 2 (EDCTP2)
Joint Programming Initiatives (JPIs) aim to • The European Metrology Programme for
pool national research efforts to make better Research and Innovation (EMPIR)
use of Europe’s limited public research and • Eurostars 2 (support for high-tech SMEs)
development resources and tackle common • Active and Assisted Living Research and
European challenges more effectively in a Development Programme
few key areas.
JPIs are public-public research partnerships
between participating countries within the
European Research Area (ERA). Participating
countries agree, on a voluntary basis and in a
partnership approach, on common strategic
research agendas, to be implemented jointly.
The ERA-NET Cofund financially supports
the preparation, establishment, design and
implementation of these partnerships but the
operating costs of the partnership come from
participating member states.
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