Information Society Information Society TechnologiesTechnologies

Industrial Industrial participation in the participation in the

programmeprogramme

Industrial Industrial participation in the participation in the

programmeprogrammeJosé C. COTTAJosé C. COTTA

Head of Unit - International Head of Unit - International AspectsAspects of the Programme; Innovation of the Programme; Innovation DG Information Society DG Information Society European Commission European Commission

Slide 2

OverviewOverview Snapshot of IST’s First CallSnapshot of IST’s First Call

Global statisticsGlobal statistics Statistics concerning the NACsStatistics concerning the NACs

IST ActivitiesIST Activities ““Take-up” actionsTake-up” actions Types of “take-up”Types of “take-up”

The proceduresThe procedures From proposal to projectFrom proposal to project Funding modelsFunding models IPRsIPRs

Some useful www addressesSome useful www addresses

Slide 3

Snapshot of IST’s First CallSnapshot of IST’s First Call

Initial focus on RTD activitiesInitial focus on RTD activities

ResponseResponse

2494 proposals………………….for 5.32 BEuro funding2494 proposals………………….for 5.32 BEuro funding

Retained for NegotiationRetained for Negotiation

536 proposals……………..…….for 928 MEuro funding536 proposals……………..…….for 928 MEuro funding

Selection RatioSelection Ratio

~1:5 for proposals……….…………….~1:6 for funding~1:5 for proposals……….…………….~1:6 for funding

Slide 4

First call – who participatedFirst call – who participated

University & Research

Centres41%

Small business

22%

Large business

24%

Others13%

Slide 5

First call – distribution by First call – distribution by activityactivity

Proposals

KA123%

KA219%KA3

22%

KA428%

CPA4%

FET4%

Funding

KA122%

KA218%

KA319%

KA434%

CPA4%

FET3%

Slide 6

First call – some general First call – some general observationsobservations

Content (RTD projects)Content (RTD projects) LLack of technological innovationack of technological innovation Aims too general, current state of art missingAims too general, current state of art missing

  PPlanninglanning Management structure vagueManagement structure vague MMilestones missing or too generalilestones missing or too general LLinks missing between objectives inks missing between objectives & & detailed work plandetailed work plan AAllocated responsibilities not clearllocated responsibilities not clear RRisks issues not addressed , no contingency plansisks issues not addressed , no contingency plans

  ManagementManagement VagueVague or or weak exploitation weak exploitation && dissemination plan dissemination plan Consortium not balancedConsortium not balanced ( (users, industrial partusers, industrial partners)ners)

Slide 7

Newly Associated CountriesNewly Associated Countries

Estonia, Latvia, Lithuania, Poland, Estonia, Latvia, Lithuania, Poland, Czech Republic, Slovakia, Czech Republic, Slovakia, Hungary, Slovenia, Romania, Hungary, Slovenia, Romania, Bulgaria, CyprusBulgaria, Cyprus

All 11 countries were associated at All 11 countries were associated at the time of selectionthe time of selection

Slide 8

NACs participations vs NACs participations vs successsuccess

0

50

100

150

200

Slide 9

Retained participations from Retained participations from NACsNACs

6%

17%

77%

LE

SME

Other

Slide 10

Analysis of “non retained”Analysis of “non retained”

Few rejections on formal groundsFew rejections on formal grounds - formal mechanism is well understood- formal mechanism is well understood

Weak on innovationWeak on innovation - proposals have little new- proposals have little new

Weak on consortium structureWeak on consortium structure -consortia are unbalanced-consortia are unbalanced

Weak exploitation planWeak exploitation plan - low or no information on exploitation or - low or no information on exploitation or

disseminationdissemination

Weak end user involvementWeak end user involvement - little involvement of e.g. larger industry- little involvement of e.g. larger industry

Slide 11

Lessons from the First callLessons from the First call

Don’t artificially adapt a proposal to an Action Don’t artificially adapt a proposal to an Action LineLine Define the actual “centre of gravity”Define the actual “centre of gravity”

Carefully look at evaluation criteriaCarefully look at evaluation criteria Good scientific quality alone ….. is not enoughGood scientific quality alone ….. is not enough

Scientific quality is evaluated anonymouslyScientific quality is evaluated anonymously Don’t rely on your scientific reputationDon’t rely on your scientific reputation

  Don’t only read “your” Action LineDon’t only read “your” Action Line Take time to understand the broader IST contextTake time to understand the broader IST context

Give realistic cost estimatesGive realistic cost estimates

Slide 12

Take-up Take-up

Dissemination Dissemination and awarenessand awareness

ActivitiesActivities

NetworksNetworks of excellence of excellence

RTDRTD

SuppliersSuppliers

UsersUsers

from discovery ………………………moving towards market

Slide 13

Types of activitiesTypes of activities

Research and DemonstrationResearch and Demonstration• Shared cost R&D (50% of eligible cost)Shared cost R&D (50% of eligible cost)• Demonstration (35% of eligible cost)Demonstration (35% of eligible cost)

• Combined R&D/DemonstrationCombined R&D/Demonstration

(35% - 50% of eligible cost)(35% - 50% of eligible cost)

Take upTake up • Trial, Best Practice, First Use Trial, Best Practice, First Use • (up to 100% of eligible cost)(up to 100% of eligible cost)• timing defined in each calltiming defined in each call

Accompanying MeasuresAccompanying Measures • Dissemination actionsDissemination actions• FellowshipsFellowships• SME exploratory awardsSME exploratory awards• Co-operative ResearchCo-operative Research• Up to 100% of eligible costsUp to 100% of eligible costs• Proposals submitted at any timeProposals submitted at any time

Concerted Actions / Concerted Actions / Thematic NetworksThematic Networks• Coordination/concertation ofCoordination/concertation of R&D, Standards R&D, Standards • Up to 100% of additional eligibleUp to 100% of additional eligible cost for coordination,concertation, cost for coordination,concertation,

information and dissemination information and dissemination

Slide 14

““Take-up”Take-up”

““Aimed at transferring leading-edge as well as Aimed at transferring leading-edge as well as established but insufficiently deployed established but insufficiently deployed

methodologies and technologies to industry and methodologies and technologies to industry and other organisations in order to achieve greater other organisations in order to achieve greater

efficiency”efficiency”

timeinnovators early adopters early majority

Technology TransferTechnology TransferRTDRTD Commercial PhaseCommercial Phase

“T a k e - u p”

Slide 15

““Take-up typesTake-up types

Trials: Trials: evaluation of promising, yet not fullyevaluation of promising, yet not fully

established technologies & solutionsestablished technologies & solutions

Best practice actions:Best practice actions: promote take-up of well establishedpromote take-up of well established

technologies & methods technologies & methods

Assessments:Assessments: evaluation of innovative productsevaluation of innovative products

Slide 16

From Proposal to From Proposal to ProjectProject

CECEligibility Check

Consortiumbuilding &proposaldrafting

experts+CECConsensusReport

IndependentExperts’Evaluation

Eligibility CriteriaEligibility Criteria

Evaluation CriteriaEvaluation Criteria

Slide 17

Funding ModelsFunding Models

Full CostFull Cost Reasonable flat rate overhead: 50% FundingReasonable flat rate overhead: 50% Funding On request for all organisationsOn request for all organisations Actual overhead: 50% FundingActual overhead: 50% Funding If analytical accounting enables actual overhead If analytical accounting enables actual overhead calculationcalculation Additional CostAdditional Cost 20% flat rate overhead: 100% Funding20% flat rate overhead: 100% Funding If no adequate analytical accounting If no adequate analytical accounting (EC view)(EC view) and no and no

request for full cost and flat rate overhead request for full cost and flat rate overhead ( in R&D and ( in R&D and demo)demo)

In concerted actions, thematic networks, etc.In concerted actions, thematic networks, etc.

Slide 18

Intellectual property rights Intellectual property rights (IPR)(IPR)

EU Funding 50% or less:EU Funding 50% or less:• IPR belongs to the contractorsIPR belongs to the contractors

EU Funding between 50% and 100%:EU Funding between 50% and 100%:• IPR negotiated between Commission andIPR negotiated between Commission and contractors contractors

EU Funding 100% of total eligible costEU Funding 100% of total eligible cost• IPR belongs to the Commission as general ruleIPR belongs to the Commission as general rule

Slide 19

From proposal to project: From proposal to project: phasesphases

Contract Negociation Contract Negociation (& Commitment Procedure)(& Commitment Procedure) Project Officer checks scientific value & reasonability of costsProject Officer checks scientific value & reasonability of costs Gestionnaire checks “financial viability” of partners, contractorsGestionnaire checks “financial viability” of partners, contractors Budget Services check overall validity of the budget availableBudget Services check overall validity of the budget available

Contract Signature Contract Signature (& Advance Payment)(& Advance Payment) Contract Signature = official approval for start projectContract Signature = official approval for start project Advance Payment (normally 40% in FP5)Advance Payment (normally 40% in FP5)

Slide 20

Cash-flow for a projectCash-flow for a project

Intermediate paymentsIntermediate payments submission of Project Progress Reports & Cost Statementssubmission of Project Progress Reports & Cost Statements payments subject to approval of the PPR & CSspayments subject to approval of the PPR & CSs Ceiling (85%) => retention (15%) from consortium’s fundsCeiling (85%) => retention (15%) from consortium’s funds usually periodicity of 6 or 12 monthsusually periodicity of 6 or 12 months

Final paymentFinal payment submission of Final Report & Consolidated Cost Statementsubmission of Final Report & Consolidated Cost Statement upon approval of FR & CCS the retention (15%) is paid by ECupon approval of FR & CCS the retention (15%) is paid by EC Documents justifying the costs should be kept 2 years (audit)Documents justifying the costs should be kept 2 years (audit)

Slide 21

Useful WWW addressesUseful WWW addresses

http://www.cordis.lu/irc/src/whoswho/whowho.htmhttp://www.cordis.lu/irc/src/whoswho/whowho.htm

http://www.cordis.lu/fp5/src/eoi.htmhttp://www.cordis.lu/fp5/src/eoi.htm

http://www.ideal-ist.net/http://www.ideal-ist.net/http://www.idealist-east.net/http://www.idealist-east.net/