National report on joint and open programmes ITALY

Transcription

1 JOREP Joint and Open REsearch Programs [Contract No. RTD/DirC/C3/2010/SI ] National report on joint and open programmes ITALY Disclaimer: The opinions expressed in this study are those of the authors and do not necessarily reflect the views of the European Commission.

2 Joint and Open Research Programme (JOREP) National Report: Italy Document Information Sheet Deliverable Title Abstract Authors National report on joint and open programmes: Italy This report provides an overview of the Italian policy and its participation to joint and open research funding programmes. It represents a step forward in the analysis of joint and open R&D programmes and their economic impact according to the tender on Investments on Joint and Open Programmes funded by the Directorate General Research of the European Commission (JOREP project, contract RTD/DirC/C3/2010/SI ). Emanuela Reale, Emilia Primeri CERIS CNR Copyright 2011 The European Communities, all rights reserved. This document may not be copied, reproduced, or modified in whole or in part for any purpose without written permission. It may also change without prior advice. 2

3 Joint and Open Research Programme (JOREP) National Report: Italy CONTENTS 1. Introduction Overview of public research funding in Italy R&D funding and execution Public research funding: overview Project funding overview...11 The Ministry for Education, University and Research (MIUR)...15 ASI...17 CNR...17 INFN Public research funding: some quantitative data Mapping joint and open programs An introductory overview Joint programming Opening of national programs Mapping the programs Participation to European and international programs Joint programs at the European level (with national cofunding) Bilateral programs with other countries...26 Bilateral program Italy USA for sanitary and health research PR Executive Bilateral Programmes for scientific and technological cooperation National programs funding performers abroad Cases of exclusion: revision of the national perimeter after the data collection Overall assessment and discussion Availability of data and methodological issues Problems encountered with data availability and measures taken to overcome problems Discussion on national participation to joint and open R&D programmes Participation to joint initiatives (EU and national): Level of funding: general observations on national financial commitment on joint R&D activities Relationship with other EU initiatives Relationships with national R&D programmes References

4 Joint and Open Research Programme (JOREP) National Report: Italy Tables and figures TABLE 1: Overview of R&D funders and performers (as % of GERD) in 2008 and 2009 in Italy and in EU TABLE 2. Execution and funding of R&D in Italy TABLE 3. Overview of the main project funding organizations in Italy TABLE 4 European and international programs with Italian participation TABLE 5 Joint programs at the European level (with national co-funding) with Italian participation TABLE 6 Overview of bilateral programs in Italy FIGURE 1 Repartition of public funds

5 Joint and Open Research Programme (JOREP) National Report: Italy 1. Introduction This report provides an overview of the Italian policy and its participation to joint and open research funding programmes. It represents a step forward in the analysis of joint and open R&D programmes and their economic impact according to the tender on Investments on Joint and Open Programmes funded by the Directorate General Research of the European Commission (JOREP project, contract RTD/DirC/C3/2010/SI ). The aim of the report is to provide an overview of joint and open programmes in Italy on the base of the results of data collected and to contribute to the analysis of motivations and impact of these programs. The report is organized in the following sections: Firstly a general overview of the national research funding system with a focus on the organization of project funding is presented. This information shall provide the required background to understand the policy towards open and joint programs. Secondly the report describes an overall mapping of joint and open programmes, highlighting the main patterns characterizing these programmes and providing an overview of the perimeter for the JOREP analysis, including a detailed description of each program. Thirdly, an overall assessment of the national situation and a discussion of the availability of data and methodological problems is presented. This section also includes a summary of problems encountered during the data collection and solutions adopted to overcome them. Finally the report introduces a discussion on national participation to joint and open programmes, the level of funding and their connectedness with other EU and national initiatives. The report integrates information retrieved through the data collection exercise and some examples are provided with citation of the joint programme according the common numbering shared in the JOREP databases. This report has been prepared by the CERIS CNR under the JOREP contract; its contents engage only its authors. 5

6 Joint and Open Research Programme (JOREP) National Report: Italy 2. Overview of public research funding in Italy This section provides a general overview of public research funding in Italy, as well as some more specific information on project funding. This will allow to better frame the role of open and joint programs in the overall funding landscape. 2.1 R&D funding and execution The R&D expenditure as a share of GDP in 2009 was 1.27 %, of which business research covered 0.65% and the rest was covered by public and not-for-profit sectors. Private business research is concentrated in the few large companies that form the industry along with very numerous small and medium enterprises (SMEs). Public research is mainly done by the universities, with a significant share covered by public research organizations (PROs). Italy R&D expenditure is not appropriated if compared with its economic profile. In 2009 GERD/GDP was 1.27% 1 and BERD/GDP was 0.65% 2, with a trend that for both measures during 2000s has remained more or less stable. Private funding of GERD is even lower: in 2009 it represents 45.2% on the total gross expenditure in R&D in Italy. The higher level of BERD/GDP (0.60%) have been reached in the past 80s, while the highest level of GERD financed by firms (0.48%) was reached at the end of the 90s. Government funding of business expenditures on R&D is concentrated mostly on aerospace, health and industry which represent more than 12% of BERD. Among the sectors, aerospace attracts the highest share amounting to 29% of the total government funding, while pharmaceuticals is at the sixth position with 4.3%. Italy traditionally faces the problem of low business R&D investment, highly concentrated in large firms. 82% of intra-muros R&D expenditure is made by enterprises with over 250 employees (ISTAT, 2006 updated data not available). Intramural expenditure of Business sector was per inhabitant in Italy in 2009 while it was 294 at EU-27 (ERAWATCH country report, 2010). The same indicator for GOVERD in Italy was 44.6 and for HERD was 100.7, while it was respectively of 62.5 and at EU-27 level. As for the innovation performance, Italy is below the EU average and its relative position has not significantly improved over the past five years (the synthetic Innovation Index was in 2004 and is in 2008). According to the European Innovation Scoreboard (EIS), Italy positions itself in the group of 'moderate innovators', showing slow progress and registering a below-average annual growth rate (1.8 in 2008 vs. 2.3 EU average) (source, ERAWATCH country report 2010). 1 GERD/GDP was 1,23% in BERD/GDP was the same as in 2008 and it is 0.64%. in

7 Joint and Open Research Programme (JOREP) National Report: Italy The lower level of business R&D intensity in Italy is partly linked to the structural composition of its economy: the share of high-tech industry in total manufacturing value added is low. Italy remains non-specialized in all high-technology sectors (except chemicals), although in some cases it shows a scientific specialization (such as in pharmaceuticals) or a high concentration of patents (such as in other machinery and electrical equipment). The industrial R&D expenditure is also traditionally concentrated at a geographical level: 73.9% is in the north of Italy, and only 10% is realized in industrial firms located in the Mezzogiorno of Italy. As to market funds for innovation, in Italy venture capital to early stages as % of GDP was in 2005, while it was ten times (0.022) in EU15. Financial market in Italy is less developed than in other industrialized countries and there is a low firms demand of capital equity. The Italian total State aid showed a slight upward trend in the most recent years (+1.1%), even if lower than the average EU25 (+1.8%). This upward of the State aid for research and development is given to additional R&D funding brought by Large Strategic Programmes managed by MIUR and by the Industria 2015 initiative, launched by 2007 Financial law. These two instruments represent a change in the direction of a more top down oriented R&D policy. The remarkable role of public funding is one of the distinctive, key features of the Italian research system. Universities in Italy carries out a high share of national R&D activity, larger than the EU average (31.3% of total R&D national expenditure in 2009, while at EU-27 it is 23.68) (Eurostat, 2010). There are 89 universities in Italy, of which the majority is public (54 State universities). The HERD, R&D performed by Higher education sector as percentage of GDP is 0.48% in Italy, while it is 0.4% in EU-27 and GOVERD/ GDP is 0.18% in Italy compared to the European average of 0.27% (2009. Source ERAWACTH country report 2010). HE sector expenditure in 2009 was equal to approximately 6,048million. Public research institutions share of the national R/D is decreased in the last years: it was 17.3% in 2006, higher than the EU-27 average (13.5%), and it is 13.9% in 2009, similar to the EU-27 average (13.2%). In 2008 the not for profit sector contributed with 616 meuro to the whole expenditure on R&D, representing about the 3,2% of the GERD (Istat, 2009). The amount is calculated on about not for profit institutions which are performing research activities according to the survey of Moreover, funding is allocated mostly to applied research (4,8%) compared to basic research (3,3%) and to experimental development (0,4%). 7

8 Joint and Open Research Programme (JOREP) National Report: Italy TABLE 1: Overview of R&D funders and performers (as % of GERD) in 2008 and 2009 in Italy and in EU 27 Italy EU 27 GERD financed by GOV (% of total GERD) 42,9 33,9 GERD financed by enterprise (% of total GERD) 45,2 54,7 GERD financed by abroad (% of total GERD) 7,8 8,7 R&D performed in Business Sector (BERD as % of 51,5** 62 ** GERD) R&D performed in Higher Education Sector (HERD 31,3** 23,7** as % of GERD) R&D performed in Government Sector (GOVERD as % of GERD) 13,9 ** 13,2** *Year 2008 data **Year 2009 data Source: EUROSTAT, 2011 TABLE 2. Execution and funding of R&D in Italy 2007 Funding Execution Private economy* State* Higher education* PNP* Private economy 78,6 4,4 1,4 6,5 State 6,6 86,9 90,8 24,8 Higher education 0,0 0,2 4,0 0,2 PNP 0,2 2,2 1,1 62,8 Abroad 14,6 6,3 2,7 5,7 Total** Source: Istat * Data are expressed in percentages ** Total are expressed in million Euro, prices at Public research funding: overview In Italy most of the government funding for R&D is under the responsibility of MIUR Ministry of University and Research, which is in charge of coordinating and financing the RTDI system since Before the creation of the MIUR in 1989, the National Research Council was the body responsible for coordinating the public research system. In turn, the National Research Council acted under the supervision of the Prime Minister. An overview of the Italian structure of RTDI system and of Ministriesinvolved in research funding is provided in the following graph. 8

9 Joint and Open Research Programme (JOREP) National Report: Italy Structure of the Italian RTDI system Parliament Chamber of Deputies (Culture Committee) Senate (Education, Cultural Heritage Committee) Council of Ministers (CM) Inter-Ministry Committee for the Economic Planning (CIPE) Funding Ministries University and Research Health (MIS) Agricultural and Forestry Policies (MAF) Other Ministries Economic Development (MED) Cultural Heritage (MBC) Defence (MD) National Agency for the Evaluation of Universities and Research Institutes (ANVUR) Research Agencies and Institutes Association, Consortia, Foundations University National Council (CUN) Firms Universities We can divide public funding of research in Italy in three main channels: - General funding to higher education institutions. This includes the Ordinary Fund for Higher Education (FFO) provided by MIUR to public and private universities. FFO is distributed partly through non competitive procedures (the so called historical component). A 7% of FFO funds is distributed through a formula that is based for 30% on students, 30% on university performance on education, 30% on the university performance research, 10% on incentives for special aims determined by the government. FFO concerns expenditures for both teaching and research activities 3. - General funding of public research, excluded Universities. This includes the core funding provided by the different Ministries to the Institutes under their control (more than 70 organizations). No funds are transferred from the state to local administrations to finance their R&D activities. Since 1998 a legislative decree has transferred 37 industrial 3 FFO is being reduced from 2009 until L. 133/2008 foresees a stable value for FFO in 2009 and cuts of 10.2% in 2010 and 12.2% in 2011 with respect to the 2008 amount. Source: ERAWACTH country report Italy

10 Joint and Open Research Programme (JOREP) National Report: Italy financial incentives (previously managed by the state) to the regions, including R&D measures. - Project funding. Italy does not have intermediary funding agencies, with the exception of the ASI-Italia Space Agency- so almost all funding instruments for research are managed by the MIUR which plays a leading role in higher education, research and innovation policies. Other Ministries, as the Ministry of Health (MOH) and the Ministry of Economic Development (previously Ministry of Productive Activities) and the Ministry of Environment, Land and Sea, are often responsible for research funding in their specific fields. At example the Ministry of Health finances the FSN, the Fund for the Finalized Research, devoted to the realization of the priorities included in the National Health Plan and also supports with funding several initiatives coordinated by the ISS (Istituto Superiore di Sanità-National Health Institute). Both the general funding means and the project funding instruments are covered by budget items that are established each year by the financial law. In the following figure (Figure 1) a repartition of public funds between different channels, expresed in percentages, is presented. We notice that Project funding directed to private companies is twice and half the project funding directed to public research, academic and not academic, organizations. FIGURE 1 Repartition of public funds Source: The repartition presented is an estimation made by the authors based on the data of project funding for 2002 in Potì B., Reale E., 2006, Project funding report Italy, assuming the stability in the repartition of resources. 10

11 Joint and Open Research Programme (JOREP) National Report: Italy 2.3 Project funding overview Project funding in Italy is mostly channeled through the MIUR the Ministry of University and Research 4, while the role of other Ministries is less relevant except in the case of specific programmes as those concerning Heath, where the Ministry of Health has a leading role, or those concerning the environment, mainly funded and coordinated by the Ministry of Environment, Land and Sea. Also the Ministry of Economic Development is involved as funder in joint initiatives aimed at improving productivity and market capability of small and medium enterprises in specific fields (textile, manufacturing, etc...). Nevertheless MIUR plays the leading role in number of instruments and amount of funds managed. MIUR ensures funds for Italian participation to several EU joint programmes and initiatives: COST, ERANET, JTI, EUREKA, art. 185 initiatives. Italy participates through the MIUR also to the EFDA - European Fusion Development Agreement, an agreement between European fusion research institutions and the European Commission to strengthen their coordination and collaboration, with the scientific and technical support of ENEA National Agency for new Technologies, Energy and Sustainable Economic Development- and the CNR. No intermediary funding agencies exist with the exception of the ASI. ASI finances research projects and does not do research on its own. ASI participates to important European projects as the Galileo project, promoted by the European Commission and the ESA. ASI collaborates with the ESA- European Space Agency for scientific activities and also contributes with funds coming from MIUR. MIUR funds to ASI are also devoted to national projects. In 2008, 732,40 Meuro 5 of ordinary contribution have been transferred from the MIUR to ASI. At present, funds for large projects are directly given to companies chosen by ASI on the basis of their specific competencies. These funds are defined in the three years PASN National Aerospace Plan, at present the PASN for , approved by the MIUR Ministry of University and Research accordingly to the National Research Plan guidelines. 4 Also the Italian participation in the EU VII Framework Programme is supervised by the MIUR Ministry of University and Research. In the VI EU FP Italy covered a ratio of 9.9% of funding. More than 25,000 proposals were submitted by Italian scientists, of which 4,600 were admitted to negotiation. The total number of participants was around 6000; the success rate was 18.6%. Structural funds are also managed by MIUR through the National Operative Programme (PON) National Operating Programme. Research and Competitiveness (NOP) for scientific research, technological development and higher training. The programme covers about six years and is devoted to fund industrial firms and public research institutions located in the special areas of objective 1 in the south of Italy. The PON had a total budget of 1,323 million EUR; 60% of these resources have been devoted to the regional development, while 40% have gone to the Social European Fund. Both the EUFPs and the structural funds have not been retained in the analysis of this report. 5 Details available in the PASN National Aerospace Plan on the ASI web site 11

12 Joint and Open Research Programme (JOREP) National Report: Italy The CNR has the role of funder in the EUROCORES Programmes (European Collaborative Research Programmes) of the European Science Foundation, and participates as perfomer to several international programmes in different scientific sectors. CNR has also a quite relevant project funding activity of bilateral programmes designed and implemented with other European and non European countries. Italy, through the CNR, the Ministry of Foreign Affairs and MIUR and the collaboration of other Ministries and Universities is involved, since the end of the 80s, in the Ev-K2-CNR project. In 2007 an official External Research Unit under CNR s Earth and Environment Department (DTA) was opened. Today the project is regulated by a Committee, the "Comitato Ev-K2-CNR" which promotes scientific and technological research in mountain areas focusing especially on the fields of Earth Sciences, Environmental Sciences, Medicine and Physiology, Anthropology, and development of new technologies. The Committee is a private not for profit organization which carries out research activities with the collaboration of several international research groups in the areas of Hindu Kush Karakorum Himalaya (HKKH), Nepal, Pakistan, China (Tibet), India and Bhutan. For the execution of its scientific programs, Ev-K2-CNR works through a rich network of national and international collaborators, which includes CNR institutes, Italian and foreign universities, and intergovernmental agencies, NGOs and private companies. Important is also the participation of Italy to the PNRA-National Programme of Research in Antartide, with the collaboration of ENEA and CNR. After the signature of the Antartic Treaty in 1981 Italy became member of the SCAR (Scientific Committee on Antarctic Research) and after of the COMNAP (Council of Managers of National Antarctic Programs) joining also to the ATCM (Antarctic Treaty Consultative Meeting) and the CCAMLR (Convention on the Conservation of Antarctic Marine Living Resources). Italy has then stregnhthened its scientific participation in Antartic joining to several relevant international research programmes as the programme ACE (Antarctic Climate Evolution), CLIMSLIP (Climate Impacts of Short-Lived Pollutants in the Polar Regions) and ICESTAR (Interhemispheric Conjugacy Effects in Solar-Terrestrial and Aeronomy Research), involving research Institutes of the CNR and researchers of the ENEA. Finally it is worth to remind also that Italy, through the MIUR, participates to the activities of several international research infrastructures as the CERN, the ESA, European Space Agency, the IAEA-International Atomic Energy Agency, the EMBO-European Molecular Biology Organization, the ENBL- European Molecular Biology Laboratory, the ICTP- International Centre for Theoretical Physics and the IIAS - International Institute of Administrative Sciences (this last with also the financial contribution of the Ministry of Foreign Affairs). Thorugh the Ministry of Health and the ISS (National Health Institute) Italy takes also part to joint initiatives both funded at the EU level and international level. Among these we can recall here research projects in the frame of rare diseases or joint researchers funded on the 12

13 Joint and Open Research Programme (JOREP) National Report: Italy base of a Memorandum of Understanding signed by the MIUR and the USA HHS Department (Department for Human Health services). The Ministry and the ISS also participate to initiatives and infrastructures in the field of medical research as the European Clinical Research Infrastructures Network (ECRIN), a sustainable, not-for-profit infrastructure supporting multinational clinical research projects in Europe 6. The following table provides an overview of the main funding instruments managed by the MIUR, the ASI and the CNR, while in the following sections we shortly present them more in depth

14 TABLE 3. Overview of the main project funding organizations in Italy National funders Ministries Name MIUR Ministry of Health Ministry of Economic Development Ministry of Environment, Land and Sea Innovation agencies International agencies Research Council European Union Other international agencies and programs European Space Agency ASI CNR Framework programs Main instruments Project funding through several instruments Bilateral agreements, research activities carried out jointly with the MIUR Project funding and research activities carried out jointly with other Ministries, mainly the MIUR, and ENEA Project funding and research activities carried out jointly with other Ministries, mainly the MIUR Participation in ESA programmes, national and bi/multilateral programmes Participation in ESF initiatives (i.e EUROCORES programmes) and other international programmes Project funding Funds by the way of ASI Main Beneficiaries Higher education institutions, public research institutes, private companies Higher education institutions, public research institutes, private companies Mostly private companies Higher education institutions, public research institutes, private Higher education institutions, public research institutes CNR institutes Higher education institutions, public research institutes, private companies Mostly private companies

15 The Ministry for Education, University and Research (MIUR) In Italy the Ministry for Education University and Research 7 (MIUR) coordinates national and international scientific activities, distributes funding to universities and research agencies, as the ASI, and establishes the means for supporting public and private research and technological development (RTD) funding (Law 168/1989). MIUR operates according to a yearly State budget, which is proposed by the Government and approved by the Parliament. MIUR coordinates the preparation of the triennial National Research Programme (currently the NRP ), the main governmental document for R&D planning that sets the strategic lines for the national system. It does this by interacting with all other interested stakeholders, including other Ministers. Since 2007 MIUR has been included in the Inter-ministerial Committee for Economic Planning (CIPE), which is the highest level of S&T policy coordination, especially competent on inter-sector and medium-term interventions; its role became more effective after a special section dedicated to research and education was created during the last decade. CIPE examines the document of economic and financial policy (DPEF). The document establishes strategic direction and priorities for scientific and technological research, financial resources and coordination among different public administrations, universities and research institutes. It includes the economic and financial measures for the following year, and is submitted by the Ministers' Cabinet to the Parliament each year. We can divide MIUR general research funding (block and grant funding) into two main channels: 1. general funding to higher education institutions: Includes the Ordinary Fund for Higher Education (FFO) provided by to both public and private universities; 2. the "Fondo ordinario per ricerca e sviluppo" (Ordinary Fund for R&D), which represents the core funding of the public non-university institutes. MIUR manages directly interventions through national and international project funding. For this purpose also special committees are set up which also are responsible for monitoring activities alongside the duration of the projects. The instruments managed by the MIUR for national project funding are: - COFIN (Prin) Fund for the co-financing of research activities of universities, through nationally relevant research projects; 7 See MIUR structure at 15

16 - FIRB Basic Research Investment Fund. It started in 2002 and it funds all the research performers (public and private), but the larger amount of funds goes to the public sector; - FAR Fund for Applied Research, which funds firms although a special action is devoted to collaborative public-private projects. The FAR is regulated by the MIUR decree n. 593 of 8 august 2000, n. 593, later improved in 2008 to be consistent with the EC law about government aids to research, development and innovation defined in the communication 2006/C 323/01; - FISR, the Special Integrative fund for Research. No longer existing, it operated since 1998 and it financed research through call for bids without market or industrial finalization. Projects were mainly collaborative involving public agents and with publicly owned results; - PON (see: research programmes in the Southern regions, aiming at structural changes within the larger strategy of the Development Plan for the Mezzogiorno; - PUS Funds for the diffusion of scientific culture. With FIRB and FAR the MIUR funds oriented projects, on call for bids and non-oriented ones, on proposals by individual agents. FIRB funds all the research performers, public and private, but the larger amount of funds goes to the public sector, while FAR funds firms. A special action of FAR is devoted to collaborative public-private projects. As to financial aspects, according to the last available data (2002), the share of project funding on GBAORD was 24%; that on GDP was of 0.16%. The relative importance of the different funding schemes managed by MIUR was higher for FAR Fund for the promotion of Research (FAR) and FIRB Basic Research Investment Fund (FIRB), that had respectively an amount of funds of 355 m EUR and 319 m EUR, with ratios over the total project funding of 11.2% and 10.1%. The amount of funds devoted to FIT was of 1251 m EUR (repayable loans included). As to international activities Miur ensures financial support for the participation to several EU programmes and initiatives as the ERANET 8 and other support actions, the EUREKA initiative for funding mainly industrial research projects, Joint Technology Initiative JTI for public-private research activities (the MIUR participates to the JTI Initiatives Artemis, Eniac, Clean Sky, Fch - Fuel Cells And Hydrogen, Imi- Innovative Medicine Initiative), the art. 185 initiatives Eurostars (to support SMEs) and AAL (Ambient Assisted Living). MIUR also takes part to initiatives under the COST programme- Cooperation in Science and Technology in Europe programme, although in Italy COST does not fund research but mainly coordination of research activities. 8 Also regional administrations, public agencies, public research institutes and other organizations participate to the ERANET. 16

17 The MIUR also contributes financially to the activities of several International research infrastructures as the CERN, the European organization for nuclear research, the IAEA, the International Atomic Energy Agency, the EMBL- European Molecular Biology Laboratory, the ICTP and the IIAS. ASI The Italian Space Agency came into being in Its purpose was to coordinate all of Italy's efforts and investments in the space sector that had begun in the 1960s. The ASI (National Space Agency) acts on the base of the National Research Programme (PNR), article 2, sub article 2, of the Legislative decree 204 of 1998 of Parliament and Government as for the aerospace activities and of foreign activities, on the basis of directives of the MIUR and in the frame of the international activities coordinated by the Ministry of Foreign Affairs with the task to prepare and to realize the National Space Plan (PSN). ASI finances research projects and doesn t do research on its own. Funds coming from the MIUR are transferred by ASI to the European Space Agency (ESA). At present, funds for large projects are directly given to companies chosen by ISA on the basis of their specific competencies. These funds are defined every three years in the PASN- National Space Planapproved by the MIUR Ministry of University and Research. CNR The CNR was the main intermediary agency under the MIUR control, with a multidisciplinary coverage. It has had a double role of research funder and performer until 2000 while now it mainly acts as research performer. At present the role of CNR as intermediary agency has been reduced, since the MIUR plays the major role in research policy co-ordination and for the RTDI funding allocation. CNR maintains the role of funder in the European Science Foundation EUROCORES Programmes and provides scientific support to several European and international joint research initiatives (Ev-K2-CNR project, PNRA). It also develops bilateral research projects with European and international partners on the basis of its own planning. INFN The INFN (National Institute of Nuclear Physics) activities are mainly dedicated to the study of the fundamental constituents of matter and it carries out theoretical and experimental research in the fields of subnuclear, nuclear, and astroparticle physics. It has also the role of funder in the European Science Foundation EUROCORES Programmes, although the CNR has a leading role. Moreover the INFN is involved in other EU initiatives as the ERANET (ASPERA PEU042 being an example). 17

18 Few other funding agencies emerged during the data collection exercise, although with a less relevant role as funders compared to already cited organizations and ministries. Among these we can recall here the MIPAAF Ministry of Agricultural, Food and Forestry Policies, and the National Institute for Metrology Research this last being involved in very specific initiatives as the european Metrology Research Programme (Art European Metrology Research Programme -EMRP- PEU043). 2.4 Public research funding: some quantitative data Complete data on project funding based on OECD project are not yet available. 3. Mapping joint and open programs This section provides an overview of Italian participation to joint programs. The section highlights cases of inclusion and exclusion in the perimeter after the data collection. 3.1 An introductory overview Italy has a long tradition in international research collaborations which mainly rest on the initiatives of research performers (CNR, ENEA, Universities, ISS -Istituto Superiore di Sanità -National Health Institute) supported by the MIUR. The role of other Ministries, as the Ministry of Health or the Ministry of Economic Development also emerges as well as the participation of regional institutions in initiatives mainly devoted to joint activities as the ERANET for local economic development Joint programming Italy has a long-standing tradition of participation to joint programmes at the European and international level. In the domain of space the National Space Agency ASI ensures the collaboration of Italy to ESA- European Space Agency activities and to other European and international initiatives. In the field of nuclear energy Italy joins to several EU agencies and organizations (EURATOM, the IAEA International Atomic Agency). Furthermore, Italy participates with co-funding to several international research programs. The most relevant examples are the participations to the following international programmes the European Science Foundations joint schemes (Eurocores programmes -European Collaborative Research Programmes) through the CNR and the INFN; the PNRA-National Programme of Research in Antartide and the Ev-K2-CNR project; 18

19 the European technology initiative EUREKA, where the Italian participation is funded according to the Legislative Decree 297/99 and the MIUR decree D.M. 593 del 8/8/2000 exploiting the FAR - Fondo per le Agevolazioni alla Ricerca; the ERANET and other support actions as the COSINE2 Support action fundend within the FP7. The MIUR participates to several activities within the ERANET scheme as, recently, the coordination and co-operation activity named CHIST-ERA (European Coordinated Research on Long term Challenges in Information and Communication Sciences and Technologies) 9.; the Joint Technology Initiatives as ARTEMIS, ENIAC, CLEAN SKY, FCH - Fuel Cells And Hydrogen, IMI- Innovative Medicine Initiative; the art. 185 initiatives EUROSTARS (to support SMEs) and AAL (Ambient Assisted Living). The COST programme- Cooperation in Science and Technology in Europe- corodinated by the MIUR is also important although actions do not fund research but mainly networking and coordiation activities. Several bilateral and multilateral agreements, about 70 up to today, concerning different scientific sectors, are also established by the MIUR and the MAE with foreign scientific institutions and they are mainly managed by Universities, research Institutes and private organizations. Nevertheless bilateral agreements are devoted both to mobility actions, not included in JOREP, and, although to a limited extent, to joint research activities. Bilateral cooperation programs in the field of health instead, at example with the USA, are carried out by the Ministry of Health on the base of a Memorandum of Understanding signed in 2003 which is renewed after expiration on the base of tacit agreements.. Italy, through the MIUR, also participates to several international infrastructures, as the CERN-the European Centre for Nuclear Research, the IAEA-International Atomic Energy Agency, the EMBO-European Molecular Biology Organization, the ENBL- European Molecular Biology Laboratory, the ICTP- International Centre for Theoretical Physics and the IIAS - International Institute of Administrative Sciences, and initiatives as the EFDA - European Fusion Development Agreement, the Human Frontier Science Program, the Ministerial-level international climate change initiative CLSF- The Carbon Sequestration Leadership. These have not been analyzed in JOREP data collection as not consistent with criteria for their selection defined by the project methodology, but are recalled here as examples of the involvement of Italian research institutions and organizations in international activities for R&D. 9 Within CHIST-ERA, ten European funding agencies/ministries identify emergent scientific fields and support calls for proposals on them with national funding. Italy funds projects within one of the two priorities indentified by CHIST-ERA, the Quantum Information Foundation and Technologies with a maximum contribution of 500K. 19

20 Participation to European Framework programs and to structural funds is also relevant and has involved Italy since the beginning, although these are not covered in this report Opening of national programs Grant schemes devoted to favour researchers mobility or to allow hiring researchers from abroad are not included in this report 10, being open programmes defined as: -programmes opened to applicants from abroad without national funding -programmes opened to foreign applicants with funding for coordination costs -programmes funding foreign researchers carrying out research activities abroad. According to the definitions provided above, no Italian open programmes are detected Mapping the programs For the mapping, we make use of the classification of these programs provides in the JOREP tender in following categories: B1: programs managed by international agencies funded by direct contributions from national budgets (example: ESA, PNRA) B2: programs managed and funded by international agencies; funding from EU budget (example: European FP) B3: programs managed by international agencies, but with national (co-)funding C: joint programs between national funding agencies D: programs of national agencies open to performers abroad Information on programs B1 and B2 refers only to national conditions of participation, while detailed information on these programs is provided in the separate report on international and European funding agencies. 10 Among these we recall here schemes favouring Italian scientists working abroad to come back in Italy (brain gain) and programs addressed to foreign researchers supporting visits and exchanges, mainly managed by Universities and research institutions as initiatives funded within the Montalcini Programme and the FIRB fund as Futuro in ricerca. ( see footnote 10 and 11) 20

21 3.2 Participation to European and international programs The following table (table 4) provides a summary of Italian participation to European and international programs, where Italian participation is managed and funded by an international agency with national contributions or funding from EU budget (B1 and B2). TABLE 4 European and international programs with Italian participation Program Funding agency Type Italian participation European Space Agency Contracts ESA/ASI B1 Full participation of Italy to ESA activities with direct contributions from Italian government through the national space agency (ASI). For year 2007 the amount of total Italian contribution to ESA was of 369,95 Meuro. More data about ESA contributions are available on ASI web site. EU Framework Programs (not covered by JOREP) European Commission B2 Full participation of Italy since the first FP. Quite detailed data on the MIUR web site. PNRA-National Programme of Research in Antartide Ev-K2-CNR MIUR B1 With MIUR decree Prot. 1247/Ric on October 2007 the National Scientific Commission for Antartide was set up. The mission is realized in the within of the Antaric treaty and activities are carried out by a Consortium for the National Programme of Research in Antartide (Consorzio PNRA S.C.r.l.) also established in Ev-K2-CNR Committee B1 The Ev-K2-CNR is a strategic project of the CNR, launched in Since 1990, over 180 national and international institutes have collaborated with Ev-K2-CNR. The Ev-K2- CNR Executive Committee is responsible for administration and financial affairs of the Association, it meets periodically to deliberate allocation of funds to research activities, to approve the annual financial report, to consider inclusion of new members and to discuss other administration business. It is also worth to mention here the programme Extraordinary Program in Oncology Research, launched by the Italian Ministry of Health with the decree 21 July 2006, which assigned about 30 Meuro to a national non profit agency, the Alliance against the Cancer Association (ACC) established by the Ministry of Health in 2002 and coordinated by the ISS (Istituto Superiore di Sanità) to support the participation of Italian medical research 21

22 organizations to international and especially European research initiatives in the field of oncology, biomedical and clinical research. The ACC co-funds national health institutes to strengthen international and European scientific collaborations through, at example, the participation to ERA-NET projects, to projects within the European Strategy Forum for Research Infrastructures (ESFRI) and the EUFP7 (Source: 3.3 Joint programs at the European level (with national cofunding) The following table (table 5) provides an overview of the Italian participation to European programs with national co-funding (B3). We distinguish between following categories: - B3-1: programs with both European and national funding. - B3-2: programs with only national funding. We provide also details on the Italian participation and co-funding, whereas a more complete description of the program itself can be found in the international mapping report. COST programme is not included in the list as it does not fund research. Also agreements as the EFDA - European Fusion Development Agreement and the CLS-Carbon Sequestration Leadership Forum are not included too as the initiatives funded under these programmes are rather episodic. 22

23 TABLE 5 Joint programs at the European level (with national co-funding) with Italian participation Program Managing agency Italian Funding organization Type Italian participation Data availability EUROCORES ESF CNR B3-2 CNR contributes to several ESF initiatives among which very important are the European Collaborative Research Programmes. CNR decides yearly case by case the projects to be funded, after positive international evaluation, according to their own research interest. Few information are available on the CNR web site and data should be collected project by project. Source: nali/esfstrumenticollab.html Era-NET schemes EU MIUR, other Ministries B3-1 Italian participates to several initiatives within ERANET schemes through the financial contribution of the MIUR and other Ministries, as the Ministry for Economic Development, the Ministry of Environment, Land and Sea and the Ministry of Health 11, Regions, public research institutions, PROs, and other organizations are involved. General data on MIUR contribution available on the MIUR web site. Availability of data project by project to be verified. 11 See at example the ERA-NET project NEURON the Ministry of Health participate to with its own funds to promote and improve a high quality scientific research in medical and services sectors to improve the population welfare state. 23

24 Joint European programs under art. 185 Association AMBIENT ASSISTED LIVING (AAL) EUROSTARS (EUREKA secretariat) MIUR B3-1 Italy participates to the AAL- AMBIENT ASSISTED LIVING and the EUROSTARS programme stemming from the EUREKA initiative and addressing SME and industries research needs. Budget of these initiatives are both from EC and from national budgets (D.L.vo 297/1999 ed il DM 593/2000 (art. 7). At the moment 8 projects are going to be funded (call 2008) and after the call 2009, 9 Italian research projects started applying for funding from the MIUR. General data on MIUR contribution available on the MIUR web site. Availability of data project by project to be verified. EUREKA EUREKA MIUR B3-2 Italy participates in 346 on the nearly 1700 EUREKA projects launched from the beginning of the initiative. Italy's financial commitment in these projects amounts to 2200 m. 42.5% of projects with an Italian participation is concentrated on information technologies, 16% on robotics, 11.6% on the environmental disciplines. The breakdown of financial commitment by technological area shows an amount of 50% in information technologies, 16.3% in robotics and 14.7 in transportation (ERAWATCH Research Inventory Report: ITALY) In Italy, the funding of Eureka projects is not tied to any specific law or public fund. However, recently, the Ministry of Education, University and Research (MIUR) and the Ministry of Industry, Trade and Handicrafts (MAP) have issued co-ordinated laws which regulate the public financial aid to R&D projects. According to these laws, R&D projects with a predominant content of Industrial Research will be funded by MIUR (through its fund named FAR). Applicable laws are the "Decreto legislativo" n. 297 dated 27/7/1999 (D.Lg.vo 297/99) and the "Decreto Ministeriale" n. 593 dated 8/8/2000 (DM 593/00). Data available project by project on the EUREKA web site (Eureka projects database). Joint Technology Initiatives EC MIUR B3-1 JTI is a type of project created by the European Commission for funding research in Europe to allow the implementation of ambitious and complex activities, including the validation of General data on MIUR contribution available on the MIUR web site. 24

25 technologies at a high readiness level. For JTI funds come from the EC (FP7 budget), from member states and associated countries which take part to them and from private enterprises. ARTEMIS and ENIAC are the main initiatives which already launched joint calls. MIUR also participates to the following JTI: Availability of data project by project to be verified. - CLEAN SKY, dedicated to air transport industries; - IMI, to improve medicines production process; - FCH, for Hydrogen based technologies 25

26 3.4 Bilateral programs with other countries Italy has many international collaborations almost consolidated, especially with the United States, Great Britain, France and Germany. Several bilateral agreements for cooperation are developed by the MIUR and other Ministries with EU and non EU countries (table 6), although they are mainly carried out by research institutions and Universities, also with private research organizations participation. After the signature of a Framework Agreement between Italy and a foreign country, an Executive Program for Scientific and Technological Cooperation is issued by the MAE (Ministry of Foreign Affairs) and the MIUR with the foreign Ministry of Foreign Affairs ( or the Ministry of Education or Research Councils depending on the national legislation). Various topics are concerned and they are specified in the Executive Programme. Under an Executive Programme for Scientific and Technological Cooperation two types of projects can be presented by Italian and foreign research organizations: - mobility projects to support exchanges of researchers (on a bilateral basis); - projects of major importance (that are funded in Italy under the provisions of Law 401/1999). Mobility projects are submitted by Italian and foreign researchers to obtain funding for research-related travel and visits (study visits, a brief stay of maximum 10 days or longer stays). Projects of major importance funded under the Executive Bilateral Programmes for joint scientific and technological research are described below. However, projects funded under the Executive Bilateral Programmes have often two years duration only and most recent ones have been launched in So far they have not been included in the data collection. TABLE 6 Overview of bilateral programs in Italy Responsible agency Program Type Comments Ministry of Health Bilateral program Italy USA PR028 C Agreement signed on 2003 between the Italian Ministry of Health and the USA HHS Department (Department for Human Health services), to cofund joint research activities concerning research on cancer, rare diseases, bioterrorism. MIUR-MAE Executive Bilateral Programmes for joint scientific and technological research project C Bilateral agreements providing support (cofunding) to projects for mobility of researchers and scientific and technological collaborations between Italian research organizations and foreign organizations in EU, non EU and emerging countries. 26

27 Bilateral program Italy USA for sanitary and health research PR028 Name of the program Bilateral program Italy USA for sanitary and health research Type Description Participating agencies Type of projects and topics Bilateral program, international activities The Ministry of Health and the USA HHS Department (Department for Human Health services), which includes also the Office of the Assistant Secretary for Public Health Emergency Preparedness, the National Institutes of Health, the Food and Drug Administration, signed in 2003 a Memorandum to strengthen the collaboration in the context of medical research and to carry out joint research activities, including mobility of researchers, in the fields of cancer research, infective diseases and rare diseases, bioterrorism. Ministry of Health, ISS, USA HHS Department (Department for Human Health services) According to the agreement signed on 2003 joint research projects are developed by Italian and American health institutions on the following topics: cancer, rare diseases, bioterrorism. For each topic a coordinating body was identified in both countries. The Italian Ministry of Health indicated the ISS (National Health Institute) for the first two research fields and the Istituto nazionale Lazzaro Spallanzani for bioterrorism. The USA Department for Human Health services involves the Assistant Secretary for Public Health Emergency Preparedness, the National Institutes of Health and the Food and Drug Administration. Projects can concern : -mobility and exchange of researchers, technologies and information -organization of conferences -joint research projects and scientific programmes to be developed by Italian and America health research institutions. The agreement also concerns the support to the creation of networks involving Italian and American health research institutions. Project duration Origin of funding Funding mode Budget (Italy ) Periodic withouth a time limitation but with irregular call Ministry of Health, USA HHS Department (Department for Human Health services) Co-funding In 2003 the Ministry contributed to Italy-USA cooperation with the following amounts: 10 Meuro for cancer research 5 Meuro for rare diseases 1,5 Meuro for infective diseases 27