The EU Framework Programmes for Research and Innovation (FPRI) are the main instrument used by the European Union (EU) to implement its common science and technology policy. FPRIs date back to the 1950s.
The ninth programme generation «Horizon Europe» began in 2021. Over the years, FPRI budgets have continually increased while their thematic priorities have changed in response to the EU's political needs. Below is an overview of the development of the FPRI from their origins to today.
The EU Framework Programmes for Research and Innovation (FPRI) are a successful instrument of EU policymaking. Their origins can be traced back to two main sources. In 1957, the Joint Research Centre was established under the Euratom treaty for the purpose of conducting research in a single area (essentially nuclear fission). In 1983, the ESPRIT programme, which focussed on computer and telecommunications technology, was proposed by French President François Mitterrand.
On 25 July 1983, the European Council adopted a resolution instituting «framework programmes for Community research, technological development and demonstration activities» (Council resolution on framework programmes for Community research, development and demonstration activities and a first framework programme 1984 to 1987, 31983Y0804(01), adopted on 25 July 1983, OJ of 4 August 1983, p. 1, entry into force in 1984, repealed on 31 December 1987. In EU jargon, the term «resolution» refers to a decision). The following year, 1984, the first Framework Programme was established.
The aim of these Framework Programmes is to encourage a balanced scientific and technological development in Europe. The FPRI establish the scientific and technological objectives to be achieved, the criteria for selection of research activities, the corresponding priorities as well as financial indications. As an instrument, the FPRI are designed to further the development of more integrated research within the EU. According to the European Council resolution, research activities may be justified if they offer advantages over national activities. This is the principle of subsidiarity. The FPRI are prepared by the European Commission, which then presents its proposal in consultation with the EU Member States.
Figure 1: Annual budgets of the framework programmes (in EUR billion, at current prices)
Figure 2: Breakdown and evolution over time of the budgets (in billions of euros) allocated to the different thematic priorities of the framework programmes
The first FPRI had a budget of EUR 3.3 billion (expressed in European Currency Units, ECU, at the time). It included the area of energy (with a large share of nuclear mission), which accounted for about 50% of the budget, as well as information and communication technologies (ICT, 25%), industry and materials (11%) and life sciences and environment (10%). Mobility and scholarships accounted for the remaining share of the budget. The first project of the European Framework Programmes with Swiss participation (EPF Lausanne) began on 1 January 1988.
After the establishment of the Single European Act in 1987, science fell under the responsibility of the European Communities for the first time. That same year, the FPRI 2 was launched. The research fields changed considerably. ICT received 40% of the total budget of EUR 5.4 billion (in ECU at the time) at the expense of energy, which dropped to 20%. Industry and materials nearly doubled their share and new specific programmes, such as support for SME and international cooperation, were added.
FPRI 3 had a budget of EUR 6.6 billion (in ECU at the time). While ICT continued to be the largest research field, their share of the total budget decreased by five percentage points compared to FPRI 2. Energy funding continued to fall as well while life sciences (health and food) increased their relative share. FPRI 3 maintained the focus on exact and natural sciences and was subdivided into four thematic programmes: Enabling Technologies (ICT as well as industry and materials); Management of Natural Resources (environment, energy, and life sciences); Management of Intellectual Resources (fellowships and mobility); Centralized Action for the Dissemination and Exploitation of Knowledge Resulting from the Specific Programmes.
During this period, the responsibility for Swiss participation in the EU Framework Programmes was transferred from the Federal Office for Professional Education and Technology (OPET, which at the time also included the Commission for Technology and Innovation) to the Federal Office for Education and Science (FOES). In return and due to its closer ties with the private sector, the Federal Council transferred the responsibility for the Eureka programme over to the OPET. In 2013, the two federal offices merged to form a single federal agency: the State Secretariat for Education, Research and Innovation (SERI).
FPRI 4 was a major quantitative and qualitative leap forward with respect to its predecessor. The total FPRI 4 budget (EUR 13.1 billion, in ECU at the time) was nearly twice that of the previous FPRI 3 (EUR 6.6 billion). In addition to existing research fields (ICT, industrial technologies, environment, life sciences, energy and transport, which account for 87% of the total budget), three horizontal programmes were added: International Cooperation; Dissemination and Exploitation of Results; and Stimulation of the Training and Mobility of Researchers. Up to and including FPRI 4, all participants in a given project received roughly the same amount, except for the coordinator, whose remuneration was generally 10%-15% higher. The launch of all specific programmes at the same time was a new improvement.
FPRI 5 changed little with respect to its predecessor. It was limited to four thematic programmes and three horizontal programmes (which were essentially the same three programmes as under FPRI 4 but named differently). Its budget was somewhat higher: EUR 14.9 billion (in ECU at the time). Over the course of the Programme, some projects began to reach very sizeable proportions, exceeding 80 partners in some cases. However, projects became very unbalanced, with some partners performing much more important tasks than others and receiving a budget far higher than that allocated to other partners.
FPRI 5 dropped the socio-economic factor as a criterion for the awarding of funding. In the past, the European Commission paid particular attention to ensuring that partners from less advanced European regions would be included in European projects.
By the end of this period, Switzerland roughly reached financial equilibrium in terms of investment and return.
FPRI 6 had a total budget of EUR 19.1 billion. It was structured differently from FPRI 5, although most of its budget was still allocated to thematic programmes such as ICT, Health, Sustainable Development, Transport, etc. Horizontal activities were intended to structure the European Research Area (coined for the first time under FPRI 6). Euratom was one of the main activities and was run as a separate programme component.
Overall, a fine-tuning of themes was observed with regard to FPRI 6. For the first time, fundamental research was considered a separate field. Moreover, two specific instruments have emerged: Integrated Projects and Networks of Excellence. Integrated projects were major endeavours comprised of numerous research groups receiving total budgets as high as EUR 30 million. Networks of excellence also received a great deal of funding. The two instruments were aimed at sustainably integrating the research capacities of partners within a joint programme of activity.
During FPRI 6, in 2004, Switzerland became an associated member of the FPRI under the terms of its bilateral agreements with the EU. Researchers based in Switzerland were finally able to coordinate projects and have access to all research findings. Moreover, Switzerland was able to contribute to the elaboration of annual work programmes. Researchers were paid directly by the European Commission and no longer by the Confederation.
FPRI 7 brought about many changes. It newly covered a period of seven years and was linked to the financial perspectives and therefore to the EU's overall budget planning. Moreover, FPRI 7 received a total budget appropriation of EUR 55.6 billion, i.e. a real increase of 70% with respect to its predecessor (taking duration into account). This reflects the importance attributed to research in the Lisbon Strategy to make Europe the most competitive and dynamic knowledge-based economy in the world. As far as the thematic programmes were concerned, they received a slightly lower budget in favour of fundamental research as well as fusion research to cover the construction of the International Thermonuclear Experimental Reactor (ITER).
In terms of instruments, this FPRI was characterised by the European Commission's explicit desire to combine the research activities of Member States, associated countries and the private sector in a European Research Area (ERA). The European Commission increasingly promoted joint funding of projects. This was achieved through the coordination of Member States' public institutions in projects such as ERA-NET and ERA-NET+ (European Research Area Networks), the alignment of national funding programmes to create a permanent transnational programme to support research and development projects, and Joint Programming Initiatives (JPI). The latter consisted of the implementation of coordinated research programmes at European level on the major challenges facing European society (the fields of science and technology are very broadly defined). On the other hand, new instruments have also been created in cooperation with the private sector. For example, the European Technology Platforms (ETPs) have been transformed into Joint Technology Initiatives (JTIs). This has enabled the Commission to set up public-private partnerships involving industry, researchers and public administrations from Member States and associated countries.
The 8th EU Framework Programme for Research and Innovation, Horizon 2020, continued the path taken in FP7 towards the integration of European research. It was endowed with a budget of EUR 82 billion. In terms of content, the proportion of thematic programmes continued to decrease, from 62% in FP7 to 54% in FP8. This was mainly beneficial for basic research (from 14% to 16%) and the new Access to Risk Finance programme (3.7%). The establishment of the European Institute of Innovation and Technology (EIT), a kind of European MIT, should also be mentioned.
The instruments of Integrated Projects and Networks of Excellence, which were abolished in the course of FP7, were partially replaced in Horizon 2020. The European Commission launched two major projects, the so-called Flagship Initiatives for Future and Emerging Technologies (FET Flagship). These were supported with half a billion Swiss francs each for ten years, which the participants had to double (these funds could come from member states, associated states or the private sector). The Commission was also able to participate in the public-public partnership (P2P) initiatives of several member states. The Joint Programming Initiatives (JPI) also gained in importance.
The Knowledge and Innovation Communities (KICs) were introduced as new instruments of the European Institute of Innovation and Technology (EIT). They serve to strengthen cooperation between research institutes, universities and industry. One of the main features of Horizon 2020 was the greater inclusion of the innovation dimension in the framework programmes. Another innovation was easier access to risk financing for innovative companies. At the time, the Commission recognised that there was sometimes a large gap between research results and their actual application on the market. This problem was to be remedied with loans with a more or less secure interest rate.
The ninth European Union Framework Programme, Horizon Europe, runs from 2021 to 2027. With a budget of EUR 95.5 billion, It is the largest research and innovation funding programme in the world and the most ambitious such programme in the history of the EU so far.
Excellence in science continues to be funded and advanced by the European Research Council (ERC) and Marie Skłodowska-Curie Actions (MSCA). Knowledge-based innovations as well as the European Innovation Council (EIC) and the European Institute of Innovation and Technology (EIT) will drive forward the EU’s industrial competitiveness and innovative performance.
The new Framework Programme for Research and Innovation aims to strengthen the EU’s science and technology base by investing more in highly qualified workers and cutting-edge research. Horizon Europe should also help to drive forward the EU's strategic priorities. This includes building a resilient, inclusive and democratic European society that is prepared for and able to respond to threats and disasters, and restoring and safeguarding Europe’s ecosystems and biodiversity to ensure a clean and healthy environment. Guided by the United Nations’ Sustainable Development Goals (SDGs), Horizon Europe will therefore help in achieving green and digital transformation and strengthen the European Research Area (ERA).
Agreement (PDF, 442 kB, 29.01.2015)for scientific and technological cooperation between the European Union and European Atomic Energy Community and the Swiss Confederation associating the Swiss Confederation to Horizon 2020 — the Framework Programme for Research and Innovation and the Research and Training Programme of the European Atomic Energy Community complementing Horizon 2020, and regulating the Swiss Confederation's participation in the ITER activities carried out by Fusion for Energy
Impact of Swiss Participation in the Seventh European Framework Programme for Research (PDF, 9 MB, 07.08.2014)Report 2014, SERI
Swiss Participation in the EU‘s Seventh Research Framework Programme (PDF, 2 MB, 04.06.2013)Interim Report 2007–2012 – Facts and Figures
Effects of Swiss participation in EU Research Framework Programmes (PDF, 1 MB, 15.10.2010)Interim report 2009
Switzerland's Participation in the 6th EU Framework Programme (PDF, 1 MB, 18.12.2012)Facts and Figures 2008, SERI
