FP7 Specific Programme Capacities (March 2007)

Dr. Wolfram Rieneck, NCP Health - Austria

Specific Programme „Capacities“

Wolfram Rieneck


7th Framework Programme


Capacities

Dev. of policies1,5% - 70 M€

INCO4,5% - 180 M€

Science in Society8% - 330 M€

Research Infrastructures42% - 1715 M€

SMEs33% - 1336 M€ Research Potential

8% - 340 M€

Regions of Knowledge

3% - 126 M€


•supporting European competitiveness

•facilitating contacts with partners in third countries for better access to research carried out elsewhere

•tackling specific problems that third countries face or that have a global character on the basis of mutual interest and mutual benefit (e.g. Millennium Development Goals and addressing global climate change).

International Cooperation - Objectives


1- Associated countries

2- Industrialised countries (USA, Canada, Japan, Australia….) with a S&T agreement with the EU

3- International Cooperation Partner Countries (ICPC):

Countries neighbouring the EU (Mediterranean Partner Countries, Western Balkans, Eastern European and Central Asian Countries)

Developing countries (ACP, ASIA, Latin America)

Emerging economies (e.g. China, India, Brazil, Russia, South Africa)

Classification of third countries


INCO-NET: Bi-regional coordination of S&T cooperation including priority setting and definition of S&T cooperation policies

Objective: To bring together relevant policy makers, scientific community, civil society and private sector stakeholders of the EU and of third countries

17 M€, funding scheme 'Coordination and Support Actions'.

BILAT: Bilateral coordination for the enhance-ment and development of S&T Partnerships

6 M€, funding scheme 'Coordination and Support Actions'.

Capacities INCO - Calls 2007/2008 (1)


ERA-NET, ERA-NET+: Supporting the coordination of national policies and activities of Member States and Associated States on international S&T cooperation

Objective: to increase the cooperation and coordination of research programmes carried out at national or regional level in the Member States and Associated States

ERA-NET projects can network four types of activities: (1) Information exchange amongst Member States and Community

on S&T international cooperation (2) Definition and preparation of joint activities(3) Implementation of joint activities (4) Funding of joint trans-national research actions.

Capacities INCO - Calls 2007/2008 (2)


Research for the benefit of SMEs:

Objectives Strengthen the innovation capacities of SMEs to develop new products and markets by outsourcing of research:

•Increase their research effort •Acquire technological know-how •Extend their networks •Improve the exploitation of research results

SME action in Capacities (1)


Research for SMEs: •Low to medium technology SMEs with little or no research capability •research intensive SMEs that need to outsource research to complement their core research capability

Research for SME associations: •SME associations representing their members and their common technical problems

•Bottom up approach! No thematic focussing



Basic principle: SME invest in RTD!“Customer-seller” relationship between SMEs and RTD-performers

•SMEs invest in the RTD project and outsource part of the research activities to RTD performers

•RTD performers invoice their services to SMEs.

•EC contribution: Grant to the project (and not to individual participants) which covers only part of the total investment

•SMEs and "Other participants and end users" contribute with own resources to the project

•Collective leadership of the SMEs in the project



The financial support of the Community in accordance with the Rules for participation will be capped at a value not exceeding 110% of the estimated price to be invoiced by RTD providers to SMEsor SMEs Associations. The default IPR regime remains full ownership by the SMEs or SME Associations.

-> The consortium may however reach different agreement in their own best interests, as long as the SMEs and SME associations are provided with all the rights that are required for their intended use and dissemination of the project results.




Research for SMEs Research for SME associations

Duration 1-2 years 2-3 years

Number of partners

5-10 10-15

Total budget € 0.5 - 1.5 Million

€ 1.5 - 4 Million

Activities R&D, demonstration, management, other activities

R&D, demonstration, management, training(!), other activities


Funding Scheme:

Funding rates according the rules for participation•Normal Partners:

–RTD 50%–Demonstration: 50%–Training: 100%–Management: 100%

•SME, universities public bodies:–RTD 75%–Demonstration: 50%–Training: 100%–Management: 100%

•Maximum: 110% of the calculated „subcontracting“ by RTD•Attention: The lower one of the two values determines the funding rate!



Calculation of the budget / funding


Type Estimated eligible costs EC Contribution

RTD

50%/75%

Demo

50%

Manag.

100%

Other

100%

Total

SMEs 820.000 70.000 30.000 920.000 715.000

RTD 10.000 20.000 30.000 30.000

Other 50.000 0 0 0 50.000 37.500

Total 870.000 0 80.000 50.000 1.000.000 782.500

Subcontracting to RTD excl. VAT 650.000

Maximum EC contribution = 110% of subcontracting to RTD 715.000

Requested EC contribution (lower value) 715.000

Funding rate at project level 71,5%

Compared to FP6 CRAFT scheme 56,5%


Proposal•Part A: Forms (A1,A2, A3.1, A3.2)

–Information on proposal, partners, budgets and requested EC contribution. –SMEs have to take into account the remuneration ("invoices") for the subcontracting to the RTD performers

•Part B: Description of work –New structure: detailed in Annex 4 of the GfA, along the evaluation criteria. –Economic benefit for the individual SMEs and collective leadership must be clearly described. –Consequences of the invoice-approach: Who acquires which results? Which remuneration?

Consortium agreement only required as deliverable



Evaluation


S/T QUALITY Scientific and/or technological excellence (relevant to the topics / activities addressed by the call)

IMPLEMENTATION Quality and efficiency of the implementation and the management

IMPACT Potential impact through the development, dissemination and use of project results

•Sound concept, and quality of objectives•Innovative character in relation to the state-of-the art•Contribution to advancement of knowledge / technological progress•Quality and effectiveness of S/T methodology and associated work plan

•Quality of the consortium as a whole (including complementarityand balance) •Appropriate allocation and justification of the resources to be committed (budget, staff, equipment)

•Contribution, at the European [and/or international] level, to the expected impacts listed in the work programme under the relevant topic/activity•Appropriateness of measures envisaged for the dissemination and/or exploitation of project results, and management of intellectual property


•EUROSTARS:Article 169 Initiative

•EUREKA initiative with a joint programme, based on national schemes.•Supporting trans-national, multi-partner R&D projects initiated and led by at least two R&D-performing SMEs(bottom-up approach).•Complements other SME-targeted actions at national and EU-level.•Up to twenty-two Eureka countries have agreed to participate in the joint programme.



Other Initiatives for SMEs within Capacities SP •ERA-NET

–Continuation of FP6 ERA-NET projects: ERA-SME & CORNET–Increase integration, coverage and number/budget of common calls

•Support to national and/or regional “exploratory awards”–Establish durable schemes and services to increase the number of awards provided by the national and/or regional schemes. –A first preparatory Coordination and Support Action dedicated to the development of implementation modalities.

•Network of National Contact Points (NCPs) –Identifying and sharing good practices, developing common tools. –Supporting less experienced NCPs to rapidly acquire the know-how accumulated in other countries.



•Optimising the use and development of the best existing research infrastructures in Europe.

–Integrating Activities to promote the coherent use and development of research infrastructures in a given field, implemented through:

•A bottom-upapproach for proposals open to all fields of science•Targeted approach with topics defined in cooperation with the FP7 thematic areas

–ICT basede-infrastructuresin support of scientific research•Helping to create in all fields of S & T new research infrastructures of pan-European interest needed by the European scientific community

–Design studies: to support the conceptual design for new facilities or major upgrades, of clear European dimension and interest through bottom-up calls –Support to the Construction of new infrastructures and major upgradesto existing ones

•Preparatory phase •Construction phase

Infrastructures in Capacities (1)


•aim: to intensify role of RTD in economic development to invest in research •actions:

–improve links between stakeholders –foster transnational cooperations –enhance mutual learning of regional actors –exchange experience and best practice –develop joint action plans

•Regionsof Knowledge: –Regional economical growthin selected domains –Response to the needsof regional communities–Mobilisationof local, national and community funds to implement defined regional action plans

•ResearchPotential: –Optimisation of international exposure and recognition, leadership potential, quality of scientists –Increase of visibility of their research groups and of participation in the ERA/FP

Regional aspects in Capacities (1)


Three Action Lines

1. A more dynamic governance of the science and society relationship Actions will involve a more direct focus on social needs and interests and implies a move from citizens' involvement as consumers of research findings to richer forms of engagement of citizens and organised civil society in research and research-based policies.

2. Strengthening potential, broadening horizons ...aims to boost gender equality in research and the take up of science studies and science careers by young people

3. Science and Society communicate

looks at how scientists and researchers and wider society communicate with each other, addressing the sometimes ambiguous feelings of citizens as regards potential benefits of science, and fighting the perceived isolation of the world of science from the everyday concerns of Europeans

Science in Society in Capacities (1)


Trans-national co-operation among NCPs Identifier: FP7-INCO-2007-4 Budget: € 370 000 Deadline: 02 May 2007

Activities of International Cooperation INCO-NET Identifier: FP7-INCO-2007-1 Budget: € 17 000 000 Deadline: 02 May 2007

FP7-INFRASTRUCTURES-2007-1 Identifier: FP7-INFRASTRUCTURES-2007-1 Budget: € 164 400 000 Deadline: 02 May 2007

Regions of Knowledge: Analysis, mentoring and integration of research actors Identifier: FP7-REGIONS-2007-1 Budget: € 8 800 000 Deadline: 24 April 2007

Regions of Knowledge: Facilitating the emergence of new clusters and mutual information Identifier: FP7-REGIONS-2007-2 Budget: € 800 000 Deadline: 24 April 2007

Capacities - Recent Calls


Regions of Knowledge: Trans-national co-operation among NCPs Identifier: FP7-REGIONS-2007-3 Budget: €400 000 Deadline: 24 April 2007

Research Potential: Unlocking and developing the research potential in the EUs convergence regions and outermost regions Identifier: FP7-REGPOT-2007-1 Budget: €23 500 000 Deadline: 24 April 2007

Research Potential: Providing evaluation facilities for research organisation in the EUs convergence regions and outermost regions Identifier: FP7-REGPOT-2007-2 Budget: € 1 000 000 Deadline: 24 April 2007

Research Potential: International Co-operation Identifier: FP7-REGPOT-2007-3 Budget: €8 000 000 Deadline: 24 April 2007



Research Potential: Trans-national co-operation among NCPs Identifier: FP7-REGPOT-2007-4 Budget: € 500 000 Deadline:24 April 2007

Science in Society Identifier: FP7-SCIENCE-IN-SOCIETY-2007-1 Budget: € 21 798 000 Deadline: 23 May 2007

Research for SMEs Call 1 Identifier: FP7-SME-2007-1 Budget: € 100 000 000 Deadline: 04 September 2007

Research for SME Associations Call 1 Identifier: FP7-SME-2007-2 Budget: € 10 000 000 Deadline(s): 01 June 2007, 28 November 2007

Coordination and Support Actions Call 1 Identifier: FP7-SME-2007-3 Budget: € 2 000 000 Deadline: 10 May 2007



Three Action Lines

1. A more dynamic governance of the science and society relationship Actions will involve a more direct focus on social needs and interests and implies a move from citizens' involvement as consumers of research findings to richer forms of engagement of citizens and organised civil society in research and research-based policies.

2. Strengthening potential, broadening horizons ...aims to boost gender equality in research and the take up of science studies and science careers by young people

3. Science and Society communicate

looks at how scientists and researchers and wider society communicate with each other, addressing the sometimes ambiguous feelings of citizens as regards potential benefits of science, and fighting the perceived isolation of the world of science from the everyday concerns of Europeans

Capacities - Participation Rules


• Particular requirements for participation, evaluation and implementation: – At least 3 participants must be independent SMEs established

in at least 3 Member States or Associated Countries. – At least 2 participants must be RTD-performers (having the

capacity to carry out research at the request of SMEs), independent from any other participant.

– Other legal entities, such as other enterprises or end-users that make a particular contribution to the project and to solving specific problems or needs of SMEs may participate, though not in a dominant role. These other enterprises and end-users must be independent from the SME participants and the RTD performers.

SME - Particular participation and evaluation rules


• Evaluation procedure: the evaluation will follow a single stage procedure; proposals will not be evaluated anonymously.

• Indicative evaluation and contractual timetable: evaluation results estimated to be available 3 months after closure date; Contract signature: it is estimated that the first contracts related to the call will come into force 8 months after the closure date.

• Consortium agreements The participants will be required to submit a signed consortium agreement as a deliverable in the early stage of the project to further detail information already reflected in the Technical Annex to the contract. It addresses issues such as the internal organisation of the consortium, the management of the Community financial contribution, rules on dissemination and use, including intellectual property rights management, settlement of internal disputes. In particular, it should contain provisions related to the remuneration of the RTD- performers especially if different from the default regime, clearly indicating the ceiling for remuneration agreed within the consortium and the related consequences in terms of allocation of ownership and use and dissemination rights. This information is meant to be fully reflected in the Technical Annex to the contract.

SME - Particular participation and evaluation rules


Particular requirements for participation, evaluation and implementation:

• At least 3 independent SME Association/Groupings established in 3 MS or AC, otherwise 1 participant must be a European SME Association/Grouping established in a MS or an AC. This Association/Grouping must be made up of a minimum of 2 independent legal entities established in 2 MS or AC.

• SME associations/groupings are legal persons, composed mostly of and representing the interests of SMEs and/or physical persons having the same kind of activities.

• At least 2 participants, must be RTD performers (having the capacity to carry out research at the request of the Association(s)/Grouping(s)), independent from any other participant

• At least 2 participants must be SMEs (other enterprises or end-users) established in 2 MS or AC

SME AssociationsParticular participation and evaluation rules


Evaluation procedure: 2-stage procedure. The first stage will consist of an outline proposal of not more than 12 pages providing the essential aspects of the proposed project. For proposals which successfully pass the first stage, co-ordinators shall be requested to provide a full proposal. The closure date for the submission of the full proposal (stage2) will be detailed in the request (indicative closure date: November 2007). Proposals will not be evaluated anonymously. The evaluation of the first stage proposals will be limited to the criteria "S&T quality" and "Impact" and may be carried out entirely by a remote evaluation procedure.

The evaluation criteria and sub-criteria (including weights and thresholds), together with the eligibility, selection and award criteria, for the different funding schemes are set out in Annex 2 to the work programme.

Indicative evaluation and contractual timetable: results of stage 1 evaluation will be available within three months after closure date. Proposers of successful proposals post first stage evaluation will be asked to submit a stage 2 proposal with a specified deadline around November 2007. Contract signature: it is estimated that the first contracts related to this call will come into force 12 months after the first stage

closure date.



Consortium agreements

The participants will be required to submit a signed consortium agreement as a deliverable in the early stage of the project to further detail information already reflected in the Technical Annex to the contract. It addresses issues such as the internal organisation of the consortium, the management of the Community financial contribution, rules on dissemination and use, including intellectual property rights management, settlement of internal disputes. In particular, it should contain provisions related to the remuneration of the RTD-performers especially if different from the default regime, clearly indicating the ceiling for remuneration agreed within the consortium and the related consequences in terms of allocation of ownership and use and dissemination rights. This information is meant to be fully reflected in the Technical Annex to the contract.



Thank you very much for your attention

Questions and discussion

Business

FP7 Specific Programme Capacities (March 2007)