Information Society TechnologiesInformation Society TechnologiesIn the 6th Framework ProgrammeIn the 6th Framework Programme

Context and instruments Context and instruments

Outline of presentationOutline of presentation

ContextContext– TimetableTimetable– FP6 structure & budgetFP6 structure & budget

FP6 instrumentsFP6 instruments– Integrated ProjectsIntegrated Projects– Specific Targeted Research projectsSpecific Targeted Research projects– Networks of ExcellenceNetworks of Excellence– Coordination actions & support Coordination actions & support

measuresmeasures

The next steps of preparationThe next steps of preparation

The timetable for FP6The timetable for FP6

October 2001 ………..October 2001 ……….. Parliament ’s first reading of FP6Parliament ’s first reading of FP6

10/12/2001 …………..10/12/2001 ………….. Council agreement on FPCouncil agreement on FP

January 2002 ………..January 2002 ……….. Council formal common positionCouncil formal common position

10/01/02………………10/01/02……………… Modified proposal on Rules for participationModified proposal on Rules for participation

31/01/02 ………………31/01/02 ……………… Modified proposal on Specific programmesModified proposal on Specific programmes

Feb - May 2002 ……...Feb - May 2002 ……... Parliament second reading of FPParliament second reading of FP

Sept-Oct 2002 ………. Conciliation procedure on FP (if necessary)Sept-Oct 2002 ………. Conciliation procedure on FP (if necessary)

October/Nov 2002 ….. Final adoption of FP, SP & participation rulesOctober/Nov 2002 ….. Final adoption of FP, SP & participation rules

~December 2002 …… First FP6 call~December 2002 …… First FP6 call

Commission proposal for FP6Commission proposal for FP6

INTEGRATING EUROPEAN RESEARCH

PRIORITY THEMATIC AREAS ANTICIPATING S/T NEEDS

Research for policysupport

Frontier research,unexpecteddevelopments

Specific SME activities

Specific international cooperation activities

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STRUCTURING THE ERASTRENGTHENING THE

FOUNDATIONS OF ERA

Researchandinnovation

Humanresources &mobility

Researchinfrastructures

Science andsociety

Coordinationof researchactivities

Developmentof research/innovationpolicies

FP6 Budget breakdownFP6 Budget breakdown Integrating & strengtheningIntegrating & strengthening

– Genomics Genomics 22002200 M€M€– ISTIST 36003600 M€M€– Nanotechnologies, int.. Nanotechnologies, int.. 13001300 M€M€– Aeronautics and spaceAeronautics and space 10751075 M€M€– Food quality and safetyFood quality and safety 685 685 M€ M€ – Sustainable developmentSustainable development 21202120 M€M€– Citizens and governance .. Citizens and governance .. 225 225 M€M€– Anticipation of S&T needsAnticipation of S&T needs

• SMEsSMEs 450 450 M€M€• Specific INCOSpecific INCO 300 300 M€M€• Anticipating needsAnticipating needs 570570 M€M€

Strengthening ERA foundationsStrengthening ERA foundations 330 330 M€M€

Structuring ERAStructuring ERA– Research and InnovationResearch and Innovation 300 300 M€ M€ – Human resourcesHuman resources 1630 1630 M€M€– Research InfrastructuresResearch Infrastructures 665 665 M€M€– Science/SocietyScience/Society 50 50 M€M€

Joint Research CentreJoint Research Centre 760760 M€M€

16,270 M€16,270 M€

Of which 100M€for GEANT/GRID

Of which 200M€ for GEANT/GRID

Of which 350 M€ in the initial phase

From “Project”-thinking to “Initiative”-thinkingFrom “Project”-thinking to “Initiative”-thinking– new instruments: “Integrated Projects” & “Networks of Excellence”new instruments: “Integrated Projects” & “Networks of Excellence”– more strategic thinkingmore strategic thinking

Develop Europe-wide approachesDevelop Europe-wide approaches– making sure that Community funding helpsmaking sure that Community funding helps

aggregate EU, Member State & private funded effort(s)aggregate EU, Member State & private funded effort(s)– it is not just supporting a particular RTD work… it is not just supporting a particular RTD work…

Different way of describing content and callsDifferent way of describing content and calls– a lighter workprogramme, different sequencing of calls, ...a lighter workprogramme, different sequencing of calls, ...

FP6 is not business as usual!FP6 is not business as usual!

Outline of presentationOutline of presentation

ContextContext– TimetableTimetable– FP6 structure & budgetFP6 structure & budget

FP6 instrumentsFP6 instruments– Integrated ProjectsIntegrated Projects– Specific Targeted Research projectsSpecific Targeted Research projects– Networks of ExcellenceNetworks of Excellence– Coordination actions & support Coordination actions & support

measuresmeasures

Instruments: Rationale Instruments: Rationale

Higher integration and building critical massHigher integration and building critical mass– Realising ERARealising ERA

Simplifications of proceduresSimplifications of procedures

Larger autonomyLarger autonomy– higher responsibility for the consortium higher responsibility for the consortium

Higher flexibilityHigher flexibility

FP6: Six instruments for “Priority Areas”FP6: Six instruments for “Priority Areas”

Integrated ProjectsIntegrated Projects– Objective drivenObjective driven

Networks of ExcellenceNetworks of Excellence– Exploratory researchExploratory research

Article 169Article 169– Member states initiativeMember states initiative

Targeted research projectsTargeted research projects– (address specific issues)(address specific issues)

Co-ordination actionsCo-ordination actions

Support ActionsSupport Actions No longer available ….. No longer available …..

- Individual Take-up Actions- Individual Take-up Actions- SME Exploratory Awards- SME Exploratory Awards

FP6 instruments & financing schemesFP6 instruments & financing schemes

Grant for integration

Grant to thebudget

Grant as a lump sum

Networks of Excellence

Integrated Projects

Targeted research projects

Specific Research activities for SMEs

Integrated initiatives for Infrastructure

Actions to promote human resources and mobility

Coordination actions

Specific support actions

Integrated Projects - purposeIntegrated Projects - purpose

Designed to support research that is …..Designed to support research that is ….. objective and result drivenobjective and result driven

– clearly defined objectives and resultsclearly defined objectives and results

Each IP should Each IP should – integrate the types of activities needed to obtain the goalsintegrate the types of activities needed to obtain the goals– integrate the critical mass of resources needed to obtain the goalsintegrate the critical mass of resources needed to obtain the goals– integrate all elements of technology chain to attain high-impact goalsintegrate all elements of technology chain to attain high-impact goals– support industry-academia collaboration including SME’ssupport industry-academia collaboration including SME’s

Integrated Projects - activitiesIntegrated Projects - activities

Activities integrated in a project …..Activities integrated in a project …..may cover the full research spectrummay cover the full research spectrum

– research and technology development activitiesresearch and technology development activities– demonstration activitiesdemonstration activities– technology transfer or take-up activitiestechnology transfer or take-up activities– training activitiestraining activities– dissemination activitiesdissemination activities

Project should compriseProject should comprise– a coherent set of activitiesa coherent set of activities– with an appropriate management structurewith an appropriate management structure

Integrated Project - what is critical mass?Integrated Project - what is critical mass?

Resource wise: Resource wise: – will have the necessary size to achieve its ambitious objectiveswill have the necessary size to achieve its ambitious objectives– budget may range up to several tens of millions of €budget may range up to several tens of millions of € (no minimum threshold, provided necessary ambition(no minimum threshold, provided necessary ambition

& critical mass is achieved) & critical mass is achieved)

Partnership wise: Partnership wise: – minimum 3 participants from three different countriesminimum 3 participants from three different countries (but in practice likely to be substantially more)(but in practice likely to be substantially more)

Duration wise:Duration wise:– typically three to five yearstypically three to five years (more if necessary to deliver the objectives)(more if necessary to deliver the objectives)

Integrated Project - financial regimeIntegrated Project - financial regime

Community support in the form of a “grant to the budget”Community support in the form of a “grant to the budget”

Paid as a contribution to actual costsPaid as a contribution to actual costs– that are necessary for the projectthat are necessary for the project– determined in accordance with each participant’sdetermined in accordance with each participant’s

own accounting definitions and practicesown accounting definitions and practices– no pre-defined cost categories - only ineligible costs definedno pre-defined cost categories - only ineligible costs defined

Annually, each participant to provide aAnnually, each participant to provide asummary financial statementsummary financial statement

– certified by an independent auditorcertified by an independent auditor– with a justification of costs coupled to awith a justification of costs coupled to a

corresponding activity reportcorresponding activity report

Rolling advance scheme throughout durationRolling advance scheme throughout duration

Integrated Projects - Integrated Projects - further financial detailsfurther financial details

PROVISIONALPROVISIONAL

Possible continuation of FP5 cost modelsPossible continuation of FP5 cost models– FC: full actual direct and actual indirect costsFC: full actual direct and actual indirect costs– FF: full actual direct costs plus 80% flat rateFF: full actual direct costs plus 80% flat rate– AC: additional direct costs plus 20% flat rateAC: additional direct costs plus 20% flat rate

Maximum rates of support for FC/FF participantsMaximum rates of support for FC/FF participants– 50% for RTD components50% for RTD components– 35% for any demonstration component35% for any demonstration component– 100% (direct costs only) for management and training100% (direct costs only) for management and training

Additional cost participants supported at up to 100% of Additional cost participants supported at up to 100% of additional costs for all components of the projectadditional costs for all components of the project

Integrated Project - submission processIntegrated Project - submission process

Public calls for proposalsPublic calls for proposals– perhaps preceded by invitations for …..perhaps preceded by invitations for …..

submission of “expressions of interest”submission of “expressions of interest”

Simplified proposal-makingSimplified proposal-making– reflecting evolutionary nature of the project if appropriatereflecting evolutionary nature of the project if appropriate– but with sufficient detail to allow proper evaluationbut with sufficient detail to allow proper evaluation

• S&T objectives, socio-economic impactS&T objectives, socio-economic impact

• outline “implementation plan” for whole durationoutline “implementation plan” for whole duration

• detailed implementation plan for first 18 monthsdetailed implementation plan for first 18 months

• global budget estimateglobal budget estimate

• justification of resources and budgetjustification of resources and budget

• ethical and safety issues...ethical and safety issues...

Integrated Project - evaluation processIntegrated Project - evaluation process

Evaluation by a strengthened peer-review systemEvaluation by a strengthened peer-review system– possibly in stages, involving individual reviews, panel sessions, possibly in stages, involving individual reviews, panel sessions,

perhaps hearings of applicants…perhaps hearings of applicants…

Evaluation criteria includeEvaluation criteria include– Relevance to objectives of Specific ProgrammeRelevance to objectives of Specific Programme– Scientific & Technical excellenceScientific & Technical excellence– Effectiveness of knowledge managementEffectiveness of knowledge management– Scale of ambition and potential impactScale of ambition and potential impact– Critical mass in terms of activities and resourcesCritical mass in terms of activities and resources– Quality of project managementQuality of project management

Integrated Projects - contractual aspectsIntegrated Projects - contractual aspects

PROVISIONALPROVISIONAL

Participants shareParticipants share– Joint & several technical responsibilityJoint & several technical responsibility– Joint & several financial liability (exemption for public entities)Joint & several financial liability (exemption for public entities)

• integral part of internal flexibility and autonomyintegral part of internal flexibility and autonomy

• applied by Commission at last resort applied by Commission at last resort

Model contract will specify general conditionsModel contract will specify general conditions

Consortium agreementConsortium agreement– not mandatorynot mandatory– but practically indispensablebut practically indispensable– to be signed as early as possibleto be signed as early as possible

Integrated Projects - flexibility & autonomyIntegrated Projects - flexibility & autonomy

For the implementation plan, each yearFor the implementation plan, each year– consortium will propose detailed plans for the coming 18 monthsconsortium will propose detailed plans for the coming 18 months– and may propose to update the overall planand may propose to update the overall plan (both need approval of the Commission to enter into force)(both need approval of the Commission to enter into force)

For the Community contributionFor the Community contribution– the contract may not specify its distribution between participantsthe contract may not specify its distribution between participants

nor between activitiesnor between activities

For changes in the consortiumFor changes in the consortium– the consortium may decide to take in new participantsthe consortium may decide to take in new participants

(without additional funding)(without additional funding)

– the contract will specify when the addition of new participantsthe contract will specify when the addition of new participantsmust involve a competitive callmust involve a competitive call

– competitive call by Commission to add tasks and fundingcompetitive call by Commission to add tasks and funding

“Monolithic”

• Partners known at outset• Tasks identified• budget known

“Incremental” participation •Tasks identified• budget known• not all participants are in

“Incremental” funding• objectives known• technology roadmap known• tasks to be completed• budget to be changed• Participants as well

Integrated Projects - Integrated Projects - three possible implementationsthree possible implementations

0 6 12 18 24 30 36 42 48 Months

Reporting

Accepted costs

Reporting Detailed work plan

Accepted costs Adjusted advance

Reporting

Detailed work planAccepted costs

Adjusted advance

Reporting

Accepted costs Detailed work plan

Adjusted advance

Detailed work plan

Initial advance

Integrated Projects - Integrated Projects - payment & report schedulepayment & report schedule

Example of 4 year contract

Networks of Excellence (NoE) - objectives Networks of Excellence (NoE) - objectives

To reinforce To reinforce scientific and technological excellencescientific and technological excellence

Structuring European research by Structuring European research by integrating integrating research capacitiesresearch capacities across Europe. across Europe.

To To progress knowledgeprogress knowledge on a particular theme on a particular theme

To act as a “Virtual Centre of Excellence” To act as a “Virtual Centre of Excellence”

NoE - main featuresNoE - main features

““Virtual” centre of excellenceVirtual” centre of excellence– a clearly identified “a clearly identified “Joint Programme of Activity” (JPA)Joint Programme of Activity” (JPA) (RTD, training, transfer, mobility... )(RTD, training, transfer, mobility... )

– established or emerging fieldsestablished or emerging fields

SizeSize– Several M€ per year Several M€ per year – ParticipantsParticipants

• minimum of 3: Universities, Research Labs, Industrial Labs minimum of 3: Universities, Research Labs, Industrial Labs • bringing together a bringing together a “critical mass” of “critical mass” of universities, research centres, enterprises (SMEs & universities, research centres, enterprises (SMEs &

large companies),...large companies),...

FundingFunding– grant for integrationgrant for integration– should be less than 25% of total effort of the JPAshould be less than 25% of total effort of the JPA– funding is funding is NOTNOT a ratio of the total cost a ratio of the total cost

NoE - the “Joint Programme of Activity”NoE - the “Joint Programme of Activity”

““Re-thought” RTD activities of participantsRe-thought” RTD activities of participants– co-ordinated as “one” RTD programmeco-ordinated as “one” RTD programme– less redundancy, better coverageless redundancy, better coverage

Integrating activities e.g.Integrating activities e.g.– common software libraries, common software libraries, – common development platforms, ..common development platforms, ..– joint RTD teamsjoint RTD teams– exchange of researchersexchange of researchers– shared knowledge and IPR shared knowledge and IPR

DisseminationDissemination– training of researcherstraining of researchers– technology transfer to industry, SME’s…technology transfer to industry, SME’s…

Partner1

Partner 2

Partner 3

Partner 4

RTD activities in Europe RTD activities in Europe before the NoE(today)before the NoE(today)

Integrating activities“Binding”

Partner 1 Partner 2

Partner 4Partner 3

RTD activities in Europe with the NoE (the JPA)

Partner1

Partner 2

Partner 3

Partner 4

Coordinated

The NoE fieldThe NoE field

NoE - the JPA for integrating/shaping researchNoE - the JPA for integrating/shaping research

NoE - evaluation process & criteriaNoE - evaluation process & criteria

PROCESSPROCESSPublic calls for proposalsPublic calls for proposals

– possibly preceded by calls for “expression of interest”possibly preceded by calls for “expression of interest”

A “strengthened” peer evaluation system:A “strengthened” peer evaluation system:– in various stages, possibly involving individual reviews,in various stages, possibly involving individual reviews,

panel sessions, hearings of applicants…panel sessions, hearings of applicants…

CRITERIACRITERIAExcellence and ambition ofExcellence and ambition of

– the network as a whole, the JPA, the individual membersthe network as a whole, the JPA, the individual members

Extent, depth and lasting character of the integrationExtent, depth and lasting character of the integrationContribution to spreading of excellenceContribution to spreading of excellenceManagement and governance of the network…Management and governance of the network…

NoE - flexibility & autonomyNoE - flexibility & autonomy

For the joint programme of activities, each yearFor the joint programme of activities, each year– detailed JPA for the coming 18 monthsdetailed JPA for the coming 18 months– possible updating of the overall JPApossible updating of the overall JPA

For the allocation of the Community grantFor the allocation of the Community grant– distribution among partners & activitiesdistribution among partners & activities

on an autonomous basis (consortium agreement)on an autonomous basis (consortium agreement)– requires different liability schemerequires different liability scheme

For changes in the network partnershipFor changes in the network partnership– the partnership may decide to take in new partnersthe partnership may decide to take in new partners– can be through a competitive callcan be through a competitive call (to be specified in the contract)(to be specified in the contract)

NoE - financial regimeNoE - financial regime

PROVISIONALPROVISIONAL

Grant for integrationGrant for integration– a lump sum per researcher ‘involved’a lump sum per researcher ‘involved’– starts from 20K€ per researcher/per yearstarts from 20K€ per researcher/per year– diminishes as the number of researchers increases diminishes as the number of researchers increases – still to be further elaborated / validated…still to be further elaborated / validated…

PaymentsPayments– disbursed in annual instalments disbursed in annual instalments – according to planned progress in the JPA according to planned progress in the JPA – including the effort towards lasting integrationincluding the effort towards lasting integration– possibly degressive to avoid dependencepossibly degressive to avoid dependence– Can be used by the network for any activityCan be used by the network for any activity

Targeted RTD projects (#1)Targeted RTD projects (#1)

Principle: focused on one specific activity & specific resultsPrinciple: focused on one specific activity & specific results– by supporting research activities of more limited scope & ambition by supporting research activities of more limited scope & ambition

than Integrated Projectsthan Integrated Projects

Similar to current RTD contractsSimilar to current RTD contracts– research (50%)research (50%)– demonstration (35%)demonstration (35%)– combined research & demonstrationcombined research & demonstration

Participation: at least two independent organisationsParticipation: at least two independent organisations– from at least two Member States or Associated Statesfrom at least two Member States or Associated States

Targeted RTD projects (#2)Targeted RTD projects (#2)

Launching: calls for proposalsLaunching: calls for proposals

Evaluation: peer reviewEvaluation: peer review

Funding: grant to budget up to 50 % / 35%Funding: grant to budget up to 50 % / 35%

Partnership: more limited than for Integrated ProjectsPartnership: more limited than for Integrated Projects– particularly for smaller research actors, including SME’sparticularly for smaller research actors, including SME’s

and for participants from candidate countriesand for participants from candidate countries

Cost models: AC, FC and FFCost models: AC, FC and FF

Joint and several financial liabilityJoint and several financial liability

FP6 - coordination & specific support actionsFP6 - coordination & specific support actions

Coordination ActionsCoordination Actions

Similar to current thematic networksSimilar to current thematic networks

Support to logistics, .. Support to logistics, ..

can cover up to 100% of additional costscan cover up to 100% of additional costs

Specific Support ActionsSpecific Support Actions

An evolved form of the accompanying measures of FP5An evolved form of the accompanying measures of FP5– e.g. conferences, seminars, studies and analyses,e.g. conferences, seminars, studies and analyses,

expert groups, operational support, dissemination, expert groups, operational support, dissemination, information and communication activities information and communication activities

Who?Who?

Member States ANDMember States ANDAssociated candidate Countries,Associated candidate Countries,same rights & obligationssame rights & obligations

European scientific cooperation European scientific cooperation organisations (ESA etc)organisations (ESA etc)

Minimum number of legal entitiesMinimum number of legal entities- IP and NoE = 3 (2 from MS)- IP and NoE = 3 (2 from MS)- Other instruments = 2 (1 from MS).- Other instruments = 2 (1 from MS).- Fellowships & support actions = 1- Fellowships & support actions = 1 (possible) (possible)

(Numbers can be adjusted by WP)(Numbers can be adjusted by WP)

3rd Countries3rd Countries

IN the ‘Integrating’ part ….IN the ‘Integrating’ part …. All countriesAll countries Funding possible for INCO countriesFunding possible for INCO countries

OUTSIDE ‘Integrating’ partOUTSIDE ‘Integrating’ part Countries with co-operation agreement Countries with co-operation agreement

under specified conditions under specified conditions Other countries if necessaryOther countries if necessary

FP6 Participation rulesFP6 Participation rules

NoEs

Industrial exploitation

Current Industrial strength/presence

Fundamental research

Basicresearch

Industry-driven research

TRPs

IPs

« Monolitihic »Incremental

IPs

Example of implementation in ISTExample of implementation in IST

Status updates - instruments and operationsStatus updates - instruments and operations

Detailed provisions and discussion papers on CORDISDetailed provisions and discussion papers on CORDISfor Integrated Projects & Networks of Excellencefor Integrated Projects & Networks of Excellence

– providing details on how these instruments will be providing details on how these instruments will be implemented, types of activities, financing, calls, evaluations,…implemented, types of activities, financing, calls, evaluations,…

Detailed provisions for the other instruments Detailed provisions for the other instruments – during April/May 2002during April/May 2002

http://www.cordis.lu/rtd2002http://www.cordis.lu/rtd2002

http://www.cordis.lu/rtd2002/fp-debate/cec.htm#integratedhttp://www.cordis.lu/rtd2002/fp-debate/cec.htm#integrated

Invitations for Expressions of Interest Invitations for Expressions of Interest

Open by March 20, deadline June 7Open by March 20, deadline June 7

Objectives: Objectives: – Stimulate partnerships and proposal buildingStimulate partnerships and proposal building– Input to the WP preparationInput to the WP preparation

Invitation for “embryonic” proposals in IPs & NoEs Invitation for “embryonic” proposals in IPs & NoEs – i.e. ideas supported by a consortiumi.e. ideas supported by a consortium

Response will be Response will be analysedanalysed and a report produced and a report produced

The report is expected to be made publicThe report is expected to be made public

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http:// www.cordis.lu/rtd2002

For further informationFor further information