January 2003. Opportunities for Universities in FP 6 Dr.-Ing. Martin Grabert KoWi Rue du Trône 98 B 1050 Brussels [email protected]

January 2003January 2003


Opportunities for Universities in FP 6Opportunities for Universities in FP 6

Dr.-Ing. Martin GrabertDr.-Ing. Martin GrabertKoWiKoWi

Rue du Trône 98 Rue du Trône 98 B 1050 BrusselsB 1050 Brussels

[email protected]@bru.kowi.dewww.kowi.dewww.kowi.de


Public expenditures in R&DPublic expenditures in R&D

in the European Union 1997in the European Union 1997

total [Bn €] Per-capita [€] DE 15,9 FI 233 FR 12,9 FR 220 GB 8,5 DK 204 IT 6,2 SE 195 NL 2,6 DE 194 ES 2,4 NL 168 SE 1,7 GB 144 BE 1,4 AT 140 FI 1,2 BE 136 AT 1,1 IT 109 DK 1,0 ES 62 PT 0,5 IE 60 GR 0,3 PT 48 IE 0,2 GR 29

ERA ERA / FP 6/ FP 6


Civil GERD [M €]

project funding [M €]

Relative project funding

Austria 1 445 141 10 % Belgium 1 418 373 26 % Denmark 1 182 467 40 % Finland 1 262 523 41 % France 10 132 689 7 % Germany 15 000 4 579 31 % I taly 6 697 1 203 18 % Netherlands 2 875 628 22 % Spain 2 932 339 12 % Sweden 1 739 581 33 % UK 6 307 1 649 26 %

EU / FP5 3485

Relation of public Gross Expenditures on R&D / Project Funding in 2000Relation of public Gross Expenditures on R&D / Project Funding in 2000



European Universities: FP5 Contracts (1998 - 2002)European Universities: FP5 Contracts (1998 - 2002)


AustriaAustria 284284BelgiumBelgium 534534BulgariaBulgaria 3232Czech RepublicCzech Republic 9191DanmarkDanmark 299299FinlandFinland 328328FranceFrance 864864GermanyGermany 16121612GreeceGreece 416416HungaryHungary 7676IrelandIreland 267267ItalyItaly 960960NetherlandsNetherlands 749749NorwayNorway 187187PolandPoland 197197PortugalPortugal 285285RomaniaRomania 3535SlovakiaSlovakia 3232SloveniaSlovenia 5151SpainSpain 765765SwedenSweden 706706SwitzerlandSwitzerland 444444TurkeyTurkey 2525United KingdomUnited Kingdom 23342334

Total FP5Total FP5 1157311573

Source: European CommissionSource: European Commission


Dimensions of the ERA Concept in FP 6Dimensions of the ERA Concept in FP 6



The European Research Area concept leading to the Lisbon processThe European Research Area concept leading to the Lisbon process

Overcome structural weaknesses Overcome structural weaknesses >> FP 6 / Member state actions FP 6 / Member state actions

Reduce the gap with US and JapanReduce the gap with US and Japan

Improve impact of European research Improve impact of European research >> Lisbon summit (2000) Lisbon summit (2000)

Strengthen coherence of activities/policies Strengthen coherence of activities/policies >> Barcelona summit (2002) Barcelona summit (2002)

Increase public and private RTD efforts Increase public and private RTD efforts >> Barcelona summit (2002) Barcelona summit (2002)

Promote new contract between science and societyPromote new contract between science and society



Basic ideas for FP6 in the European Research Area conceptBasic ideas for FP6 in the European Research Area concept

From project to program level approachFrom project to program level approach

Longer term, more structural fundingLonger term, more structural funding

Larger scale projectsLarger scale projects

Reinforcement of existing instruments Reinforcement of existing instruments

(ex. mobility, infrastructures)(ex. mobility, infrastructures)

Variable geometryVariable geometry

Synergies with other instrumentsSynergies with other instruments

DecentralisationDecentralisation

ERA / ERA / FP 6FP 6


Legal basis of the Framework ProgrammesLegal basis of the Framework Programmes

Article 163 Article 163

1. The Community shall have the objective of 1. The Community shall have the objective of strengthening the scientific and strengthening the scientific and

technological bases of Community industrytechnological bases of Community industry and encouraging it to become more and encouraging it to become more

competitive at international levelcompetitive at international level, while , while promoting all the research activitiespromoting all the research activities

deemed necessary by virtue of other Chapters of this Treaty.deemed necessary by virtue of other Chapters of this Treaty.

2. For this purpose the Community shall, throughout the Community, encourage 2. For this purpose the Community shall, throughout the Community, encourage

undertakings, including small and medium-sized undertakings, research centres and undertakings, including small and medium-sized undertakings, research centres and

universities in their research and technological development activities of high quality; it universities in their research and technological development activities of high quality; it

shall shall support their efforts to cooperatesupport their efforts to cooperate with one another, aiming, notably, at with one another, aiming, notably, at

enabling undertakings to exploit the internal market potential to the full, in particular enabling undertakings to exploit the internal market potential to the full, in particular

through the opening-up of national public contracts, the definition of common standards through the opening-up of national public contracts, the definition of common standards

and the and the removal of legal and fiscal obstacles to that cooperationremoval of legal and fiscal obstacles to that cooperation. .... ...



• Basic philosophyBasic philosophy sharing riskssharing risks sharing costssharing costs sharing resultssharing results building-up of critical massbuilding-up of critical mass creation of European added valuecreation of European added value

• Basic characteristicsBasic characteristics multi-annual fundingmulti-annual funding implemented through specific programsimplemented through specific programs combination of bottom-up and top-down approachcombination of bottom-up and top-down approach pre-competitive RTDpre-competitive RTD

• Basic rulesBasic rules transnational, multi-partner cooperationtransnational, multi-partner cooperation public calls for proposalspublic calls for proposals peer review evaluationpeer review evaluation selection criteria: scientific excellence and European added valueselection criteria: scientific excellence and European added value no national quotasno national quotas financial incentives (no institutional funding)financial incentives (no institutional funding)

Basic Principles of the Framework ProgrammesBasic Principles of the Framework Programmes



0

2.000

4.000

6.000

8.000

10.000

12.000

14.000

16.000

18.000

20.000

FP2 87-91 FP3 90-94 FP4 94-98 FP5 98-02 FP6 02-06

M€

ERA

International

Mobility

SME

JRC

Societal Research

EURATOM

Energy

Materials/Production/Transport

Environmental Research

Bio- and Medical Sciences

Information Technologies

Development of Framework Programmes BudgetsDevelopment of Framework Programmes Budgets



FP 6 timetableFP 6 timetable

Commission ProposalCommission Proposal 21. February 200121. February 2001Framework Program 2002-2006Framework Program 2002-2006Commission ProposalsCommission Proposals 30. May 200130. May 2001Specific ProgramsSpecific ProgramsParliament OPINIONParliament OPINION 14. November 200114. November 2001Framework ProgramFramework ProgramCouncil COMMON POSITION Council COMMON POSITION Pol. AcoordPol. Acoord 10. December 200110. December 2001Parliament 2Parliament 2ndnd READING READING 24. April 200224. April 2002Framework ProgramFramework ProgramParliament ADOPTION Parliament ADOPTION 15. May 200215. May 2002Framework ProgramFramework ProgramCouncil ADOPTION Council ADOPTION 3. June 20023. June 2002Council + EP ADOPTIONCouncil + EP ADOPTION 30. October 200230. October 2002Spec. Programs / Part. RulesSpec. Programs / Part. RulesKick-off event (Brussels)Kick-off event (Brussels) 11.-13. November 200211.-13. November 2002First CallsFirst Calls 17. December 200217. December 2002 First DeadlinesFirst Deadlines mid March 2003mid March 2003


January 2003January 2003 ERA / ERA / FP 6FP 6




Common Principles with the New InstrumentsCommon Principles with the New Instruments

Public (initial) call launched by the CommissionPublic (initial) call launched by the Commission

Evaluation by independent Experts (ex-ante)Evaluation by independent Experts (ex-ante)

Core-Consortium as the stable Centre of ActivitiesCore-Consortium as the stable Centre of Activities

Dynamic Consortium StructureDynamic Consortium Structure

Autonomy in the Management of the ActivitiesAutonomy in the Management of the Activities

Ex-post Evaluation and AuditingEx-post Evaluation and Auditing


Four Characteristics will be compared in the followingFour Characteristics will be compared in the followingfor for ‘Integrated Projects’‘Integrated Projects’ and and ‘Networks of Excellence’‘Networks of Excellence’::

Purpose - Definition of Integration - Management Issues - CostsPurpose - Definition of Integration - Management Issues - Costs


IPIP

Integrated ProjectsIntegrated Projects

PurposePurpose

Integrated Projects are designed to give increased impetus to the Community's Integrated Projects are designed to give increased impetus to the Community's

competitiveness or to address major societal needs by mobilising a critical mass of competitiveness or to address major societal needs by mobilising a critical mass of

research and technological development resources and competence. Each Integrated research and technological development resources and competence. Each Integrated

Project should be assigned Project should be assigned clearly definedclearly defined ambitious scientific and technological ambitious scientific and technological

objectivesobjectives and should be directed at obtaining and should be directed at obtaining specific results applicablespecific results applicable in terms of, in terms of,

for instance, products, processes or services. Under these objectives they may include for instance, products, processes or services. Under these objectives they may include

more long-term or“risky”research.more long-term or“risky”research.

Integrated projects are distinguished by the scale of their ambition in terms of research Integrated projects are distinguished by the scale of their ambition in terms of research

effort and objectives and by their expected impact. Each is expected to assemble the effort and objectives and by their expected impact. Each is expected to assemble the

necessary necessary critical mass of activitiescritical mass of activities, expertise and resources to achieve its ambitious , expertise and resources to achieve its ambitious

objectives.objectives.



IPIP


Meaning of IntegrationMeaning of Integration

The detailed internal architecture of an integrated project will depend on the complexity The detailed internal architecture of an integrated project will depend on the complexity

and scope of the project, the topic it addresses, the objectives and the and scope of the project, the topic it addresses, the objectives and the managerial managerial

approachapproach taken. It should comprise a coherent set of taken. It should comprise a coherent set of component partscomponent parts, often in the , often in the

form of form of sub-projectssub-projects, implemented in close co-ordination, which may vary in size and , implemented in close co-ordination, which may vary in size and

structure according to the tasks to be carried out, each dealing with different aspects of structure according to the tasks to be carried out, each dealing with different aspects of

the overall project implementation plan needed to achieve its agreed objectives.the overall project implementation plan needed to achieve its agreed objectives.



IPIP


The scope of The scope of Consortium managementConsortium management will be defined in the model contract. It may will be defined in the model contract. It may

include:include:

• collective technical co-ordination;collective technical co-ordination;

• activities linked to overall financial and accounting management;activities linked to overall financial and accounting management;

• internal and external administrative co-ordination activities, including communicationinternal and external administrative co-ordination activities, including communication

with the Commission and all reporting; with the Commission and all reporting;

• management of consortium-level legal and ethical issues;management of consortium-level legal and ethical issues;

• conflict resolution;conflict resolution;

• co-ordination of the innovation-related activities;co-ordination of the innovation-related activities;

• the the launching of competitive calls by the consortiumlaunching of competitive calls by the consortium and subsequent evaluation and subsequent evaluation

and selection processes; and selection processes;

• dialogue with the citizen (organised at consortium level) on science and society issuesdialogue with the citizen (organised at consortium level) on science and society issues

related to the research activities conducted within the project. related to the research activities conducted within the project.



IPIP


Costs Costs chargeable to the contractchargeable to the contract

To be chargeable to the contract, costs must be actual and simultaneously fulfil the To be chargeable to the contract, costs must be actual and simultaneously fulfil the

following requirements:following requirements:

• be costs necessary for the project and economical;be costs necessary for the project and economical;

• be incurred during the lifetime of the project;be incurred during the lifetime of the project;

• be determined on a historic cost basis in be determined on a historic cost basis in accordance with the normal accountingaccordance with the normal accounting

practices of the participant; practices of the participant;

• be recorded in the accounts or in other relevant legal or financial documents or in taxbe recorded in the accounts or in other relevant legal or financial documents or in tax

documents; documents;

• exclude any other non-chargeable costs specified in the contract.exclude any other non-chargeable costs specified in the contract.

• all institution with “state aid” relevant funding will be subjected to the Additional Costall institution with “state aid” relevant funding will be subjected to the Additional Cost

Contract model; Contract model;

• There are no predefined chargeable cost categories.There are no predefined chargeable cost categories.



NoENoE

Networks of ExcellenceNetworks of Excellence

PurposePurpose

Networks of excellence are designed to Networks of excellence are designed to strengthen scientific and technological strengthen scientific and technological

excellenceexcellence on a particular research topic by on a particular research topic by networking networking together at European level the together at European level the

critical masscritical mass of resources and expertise needed to be a world force in that topic. This of resources and expertise needed to be a world force in that topic. This

expertise will be networked around a joint programme of activities aimed principally at expertise will be networked around a joint programme of activities aimed principally at

creating a creating a progressive and durable integrationprogressive and durable integration of the research activities of the of the research activities of the

network partners while, of course, at the same time advancing knowledge on the topic. network partners while, of course, at the same time advancing knowledge on the topic.

Networks of excellence are therefore an instrument designed primarily to Networks of excellence are therefore an instrument designed primarily to address the address the

fragmentation of European researchfragmentation of European research. Their main deliverable consists of a . Their main deliverable consists of a

restructuring and reshaping of the way that research in Europe is carried out on restructuring and reshaping of the way that research in Europe is carried out on

particular research topics.particular research topics.

It is important that these networks do not act as “closed clubs”, concentrating only on It is important that these networks do not act as “closed clubs”, concentrating only on

strengthening excellence inside the network. Each network will also be given a mission to strengthening excellence inside the network. Each network will also be given a mission to

spread excellencespread excellence beyond the boundaries of its partnership. beyond the boundaries of its partnership.



NoENoE


Meaning of integration Meaning of integration

Various elements may demonstrate integration within a network of excellence:Various elements may demonstrate integration within a network of excellence:

research activities in common:research activities in common: co-programmingco-programming of the participants’ research activities; of the participants’ research activities;

regular regular joint executionjoint execution of research projects; increased complementarity and mutual of research projects; increased complementarity and mutual

specialisation of the participants’ activities;specialisation of the participants’ activities;

common use of resources:common use of resources: sharing of infrastructures and equipment, building common sharing of infrastructures and equipment, building common

research platformsresearch platforms; exchanges of personnel, relocation of staff, possibly of whole ; exchanges of personnel, relocation of staff, possibly of whole

teams and equipment; joint training programmes;teams and equipment; joint training programmes;

common management:common management: creation of joint organisational structures; common approaches creation of joint organisational structures; common approaches

to science and society issues; common management of knowledge and intellectual to science and society issues; common management of knowledge and intellectual

property; interactive working between the participants using electronic communication property; interactive working between the participants using electronic communication

networks.networks.

Participants will be Participants will be expected to incorporateexpected to incorporate within the frame of a network within the frame of a network most if not most if not

all of their activities on the topicall of their activities on the topic..



NoENoE


Network managementNetwork management

The following activities are included within the broad heading of network management:The following activities are included within the broad heading of network management:

• organisation and management of the organisation and management of the joint activitiesjoint activities of the network; of the network;

• activities linked to consortium level activities linked to consortium level financial and accounting managementfinancial and accounting management and and

legal issues; legal issues;

• communication with the Commission services and all reporting; communication with the Commission services and all reporting;

• launching of launching of competitive calls by the consortiumcompetitive calls by the consortium for the addition of new for the addition of new

participants and the subsequent evaluation and selection processes; participants and the subsequent evaluation and selection processes;

• management of the knowledge generated by the network, including protection ofmanagement of the knowledge generated by the network, including protection of

intellectual property; intellectual property;

• overseeing the promotion of gender equality within the network;overseeing the promotion of gender equality within the network;

• support for the work of the governing council and other supervisory bodies. support for the work of the governing council and other supervisory bodies.



NoENoE


The The financial regimefinancial regime for networks of excellence will be based on the concept that the for networks of excellence will be based on the concept that the

Community contribution is intended to act as an Community contribution is intended to act as an incentiveincentive to overcome the obstacles to to overcome the obstacles to

integration, integration, withoutwithout creating any financial creating any financial dependencedependence that would compromise the that would compromise the

continuation of the network beyond the period for which the Community funding is continuation of the network beyond the period for which the Community funding is

granted. These obstacles to integration are human and cultural, as well as being granted. These obstacles to integration are human and cultural, as well as being

organisational and financial.organisational and financial.

In such a context, it is expected that the Community contribution might:In such a context, it is expected that the Community contribution might:

• take the form of a take the form of a fixed grant for integration; fixed grant for integration; be calculated on the basis of (a) thebe calculated on the basis of (a) the

number ofnumber of researchers engagedresearchers engaged in the frame of the network’s joint programme of in the frame of the network’s joint programme of

activities, (b) a per capita grant, and (c) on the duration of Community support; activities, (b) a per capita grant, and (c) on the duration of Community support;

• be paid in be paid in annual instalmentsannual instalments depending on the network’s progress towards depending on the network’s progress towards

achieving a lasting integration (i.e. a result based payments system). achieving a lasting integration (i.e. a result based payments system).

The grant is also intended to complement the resources deployed by the participants in The grant is also intended to complement the resources deployed by the participants in

order to carry out the joint programme of activities. order to carry out the joint programme of activities.



FP 6 / NoEFP 6 / NoE


Calculation of the grantCalculation of the grant

The grant would be calculated on the basis of an amount in € for each researcher The grant would be calculated on the basis of an amount in € for each researcher

engaged on activities within the frame of the network’s engaged on activities within the frame of the network’s joint programmejoint programme of activities. of activities.

The amount will be specified in the relevant calls for proposals. It will have been The amount will be specified in the relevant calls for proposals. It will have been

calculated to ensure that it does not exceed one-quarter of the value of the capacities calculated to ensure that it does not exceed one-quarter of the value of the capacities

and resources being integrated per researcher. A bonus for PhD students in the NoE will and resources being integrated per researcher. A bonus for PhD students in the NoE will

be provided.be provided.

By way of illustration, the average annual grant to a network could vary with the number By way of illustration, the average annual grant to a network could vary with the number

of researchers in the following manner:of researchers in the following manner:

50 researchers50 researchers € 1 million/year€ 1 million/year




500 researchers and above500 researchers and above € 5 million/year€ 5 million/year



From Project funding to Program ManagementFrom Project funding to Program Management

Commission’s target: Massive reduction of contracts and Commission’s target: Massive reduction of contracts and

management tasks management tasks

Simple estimation: Priority 1 “Genomics” 2.255 M € in 4 fiscal years:Simple estimation: Priority 1 “Genomics” 2.255 M € in 4 fiscal years:

80/20 rule for relation IP / NoE give annually ~ 440 M € / 110 M € 80/20 rule for relation IP / NoE give annually ~ 440 M € / 110 M €

average EU-contribution IP ± 15 M € p.a. = 30 IP for FP 6 / P1 average EU-contribution IP ± 15 M € p.a. = 30 IP for FP 6 / P1

average EU-grant NoE ± 5 M € p.a. = 22 NoE for FP 6 / P1 average EU-grant NoE ± 5 M € p.a. = 22 NoE for FP 6 / P1

In total some five hundred IP and some four hundred NoE will be fundedIn total some five hundred IP and some four hundred NoE will be funded

This fact makes This fact makes new cooperation conceptsnew cooperation concepts a necessity! a necessity!



Program Management / Consortium AgreementProgram Management / Consortium Agreement


Program Management / Consortium AgreementProgram Management / Consortium Agreement


• A A Project-Coordination-Committee (PCC)Project-Coordination-Committee (PCC) should be should be thethe management and management and coordination body for the project / programcoordination body for the project / program

• AA Sub-Project (SP) Sub-Project (SP) - level- level should be considered: SP should bear limited should be considered: SP should bear limited responsibilities - chairmen of SP Steering Committees should be ex-officio responsibilities - chairmen of SP Steering Committees should be ex-officio members of PCCmembers of PCC

• AA General Assembly General Assembly should be the final decision making body with clearly should be the final decision making body with clearly defined voting procedures defined voting procedures

• A right to A right to VetoVeto the accession of new partners should be granted to every the accession of new partners should be granted to every partnerpartner

Some basic issues to be considered in the CASome basic issues to be considered in the CA


Consortium Management IPConsortium Management IP


European Commission

Coordinator

Project Coordination Committee PCC

Project Office

GeneralAssembly

of allParties

Steering

CommitteeSP 2

Sub-Project

1

Sub-Project

2

Sub-Project

N-1

Sub-Project

N

Technical / Technological Panel Financial Panel Exploitation Panel

Information

Recommendations

Reporting

Reporting

Reporting

Approval

One Delegate for each SP

Reporting

Order for Execution

Request for Execution

Reporting and/or Advice

OPTIONAL

SteeringCommittee

SP 1

SteeringCommittee

SP N-1

SteeringCommittee

SP N


Consortium Management NoEConsortium Management NoE


European Commission

Coordinator

Project Coordination Committee PCC

Project OfficeExternalAdvisory

Board

Partner1

Partner2

PartnerN-1

PartnerN

Technical / Technological Panel Financial Panel Public Relations Panel

Information

Recommendations

Reporting

Reporting

Reporting

Approval

Reporting

Order for Execution

Request for Execution

Reporting and/or Advice

OPTIONAL

Execution of‘Joint Program of Activities’


FP 6 / EoIFP 6 / EoI

Expression of InterestExpression of Interest

The Commission issued anThe Commission issued an Expression of Interest Expression of Interest callcall 20 March 2002.20 March 2002.

The purpose of this activity was twofold:The purpose of this activity was twofold:

1.1. Prior to the formal adoption of FP6 and the Specific Programmes, and without pre-Prior to the formal adoption of FP6 and the Specific Programmes, and without pre-

empting the results of the legislative process, the Commission would like to empting the results of the legislative process, the Commission would like to

consult the research community on its consult the research community on its readiness to prepare research actions readiness to prepare research actions

using the new instrumentsusing the new instruments for topics within the Priority Thematic Areas of for topics within the Priority Thematic Areas of

Research. Research.

2.2. This initiative will assist the Commission in This initiative will assist the Commission in preparing Work Programmespreparing Work Programmes, as , as

well as defining the well as defining the scope of the first callsscope of the first calls for proposals of FP6 envisaged later for proposals of FP6 envisaged later

this year. It will also facilitate the understanding by the research community of this year. It will also facilitate the understanding by the research community of

the potential of the new instruments.the potential of the new instruments.


Deadline was Deadline was 7 June 2002 7 June 2002 -- exclusively electronic submission – ~12.000 EoI were sendexclusively electronic submission – ~12.000 EoI were send

Data published by the Commission in late SeptemberData published by the Commission in late September



Expression of Interest: Distribution to Priorities of Submissions Expression of Interest: Distribution to Priorities of Submissions (Σ 11855 EoI)(Σ 11855 EoI)


Radiation Protection1%

Radioactive Waste1%Citizens & Governance

10%

Global Change 12%

Transport4%

Energy short/medium4%

Energy medium/ long4%

Food Quality 9%

Aeronautics3%

Nanotechnologies 14%

IST21%

Genomics & Biotechnology 17%




Expression of Interest: Distribution to Priorities of four CountriesExpression of Interest: Distribution to Priorities of four Countries


0

5

10

15

20

25

shar

e of

tot

al E

oI in

Prior

ity [

%]

France

Germany

UK

Poland




Expression of Interest: Profiles of Priorities of four CountriesExpression of Interest: Profiles of Priorities of four Countries


0

5

10

15

20

25Genomics

Info Society

Nanotech.

Aero/Space

Food Safety

Energy/short term

Energy/long term

Transport

Global Change

Citizen+Soc

Radioactive Waste

Rad. Protection

France

Germany

UK

Poland


[%][%]


Rules of ParticipationRules of Participation


General Aspects:General Aspects:

• Rules of Participation and for dissemination of research results are subject to theRules of Participation and for dissemination of research results are subject to theprocedure laid down in Article 251 of the Treatyprocedure laid down in Article 251 of the Treaty

• The Rules of Participation were adopted 5 November 2002The Rules of Participation were adopted 5 November 2002

• No separate implementing regulation foreseen (contrary to FP 5)No separate implementing regulation foreseen (contrary to FP 5)

Minimum Number of Participants:Minimum Number of Participants:

• For IP and NoE: three legal entities from three different Member States or For IP and NoE: three legal entities from three different Member States or Associated Countries, of which at least two should be Member States or AssociatedAssociated Countries, of which at least two should be Member States or AssociatedCandidate Countries.Candidate Countries.

• For other instruments: two legal entities of which at least one should be a MemberFor other instruments: two legal entities of which at least one should be a MemberState or Associated Candidate Country.State or Associated Candidate Country.

• Participation of individual entities possible (for instance: EEIG, grants)Participation of individual entities possible (for instance: EEIG, grants)

• The work programme may specify a higher minimum number of participantsThe work programme may specify a higher minimum number of participants




Implementation:Implementation:

• All participants are contractually linked to the Commission through CoordinatorAll participants are contractually linked to the Commission through Coordinator

• ““Joint and Several Liability” no longer mandatory for the participants (but stipulateJoint and Several Liability” no longer mandatory for the participants (but stipulate“Technical Collective Responsibility”)“Technical Collective Responsibility”)

• Changes in consortium membershipChanges in consortium membership- transparency of procedures- transparency of procedures- evaluation with assistance of independent experts- evaluation with assistance of independent experts- with Commission’s approval- with Commission’s approval

• Regulation for additional financial contribution by the CommunityRegulation for additional financial contribution by the Community

Three forms of Community financial contribution:Three forms of Community financial contribution:

• ““grant to the budget”, e.g. for IPgrant to the budget”, e.g. for IP

• ““grant for integration”, e.g. for NoEgrant for integration”, e.g. for NoE

• ““lump sum”, e.g. for fellowshipslump sum”, e.g. for fellowships

• Audit certificate by (external) auditors will be requiredAudit certificate by (external) auditors will be required




Follow-up and Monitoring:Follow-up and Monitoring:

• reinforcing ex-post controls to reduce ex-ante controlsreinforcing ex-post controls to reduce ex-ante controls

• permanent follow-up by the Commission (project officer or team of project officers)permanent follow-up by the Commission (project officer or team of project officers)assisted by independent expertsassisted by independent experts

• technical, technological and financial auditstechnical, technological and financial audits

Possible sanctions:Possible sanctions:

• exclusion criterion: financial irregularitiesexclusion criterion: financial irregularities

• recovery decisions (art. 256 EC Treaty)recovery decisions (art. 256 EC Treaty)

• other sanctions to be defined in contractsother sanctions to be defined in contracts




Intellectual Property Rights:Intellectual Property Rights:

as in FP 5:as in FP 5:

• participants own results they have generatedparticipants own results they have generated

• emphasis on use of results, dissemination if appropriate or if results are not usedemphasis on use of results, dissemination if appropriate or if results are not used

new in FP 6:new in FP 6:

• provisions relating to access rights are the same for all participantsprovisions relating to access rights are the same for all participants

• simpler table summarising the access rightssimpler table summarising the access rights

• protection of pre-existing know-how, no obligatory access rights between differentprotection of pre-existing know-how, no obligatory access rights between differentprojectsprojects

• control of pre-existing know-how by its ownercontrol of pre-existing know-how by its owner


Human Resources and Mobility in FP 6Human Resources and Mobility in FP 6


Science, research and development European Commission

Marie Curie SchemesMarie Curie Schemes

Host Fellowships for Early-StageResearch Training

Conferences and Training Courses

Research Training Networks

Chairs

Intra-EuropeanFellowships

Host Fellowships forTransfer of Knowledge

AdvancedTraining andExcellence

Transfer ofKnowledge

Early-StageTraining

Profile ofFellows

4 yearsexperience

or Ph.D.

< 4 yearsexperience

Teams Awards

InternationalFellowships

Re-integration


Human Resources and Mobility in FP6Human Resources and Mobility in FP6


Science, research and development European Commission

Marie Curie SchemesMarie Curie Schemes

Continuity and EvolutionContinuity and Evolution

• Bottom-up programme Bottom-up programme

• Marie Curie label generalisedMarie Curie label generalised

• Opening of schemes to 3Opening of schemes to 3rdrd country nationals country nationals

• No age limit, but experience criterion No age limit, but experience criterion

• Reintegration measureReintegration measure(including incentives to return to Europe)(including incentives to return to Europe)

• Excellence promotionExcellence promotion

Major FeaturesMajor Features


MobilityMobility

ChallengesChallenges

It has been recognised that mobility is an essential element in the It has been recognised that mobility is an essential element in the

construction of the European Research Area, so any remaining general construction of the European Research Area, so any remaining general

obstacles to mobility of workers and students affect researchers obstacles to mobility of workers and students affect researchers

considerably.considerably.

Differences in the Differences in the social security systemssocial security systems and levels of and levels of taxation in different taxation in different

Member StatesMember States may make it unattractive to move from countries with a high may make it unattractive to move from countries with a high

level of social security benefits (for instance, a long maternity leave) or to level of social security benefits (for instance, a long maternity leave) or to

countries with high taxation and social security contributions.countries with high taxation and social security contributions.

CREST High-Level Expert Group on “Improving Mobility”, June 2001*CREST High-Level Expert Group on “Improving Mobility”, June 2001*

* * http://www.kowi.de/rp6/default.htmhttp://www.kowi.de/rp6/default.htm



MobilityMobility

ChallengesChallenges

Third country researchers do not enjoy Third country researchers do not enjoy free movementfree movement as EU citizens do. This as EU citizens do. This

can pose problems for third country researchers, active in the EU, to travel to can pose problems for third country researchers, active in the EU, to travel to

non-Schengen countries, for instance for scientific conferences or for the use of non-Schengen countries, for instance for scientific conferences or for the use of

special research infrastructures.special research infrastructures.

Concerning Concerning recognition of diplomasrecognition of diplomas, non-recognition is often based on the , non-recognition is often based on the

presumption that training obtained in another Member State is insufficient and presumption that training obtained in another Member State is insufficient and

that further training has to be followed in the host Member State.that further training has to be followed in the host Member State.

The barriers to The barriers to intersectorial mobilityintersectorial mobility … were not limited to the administrative … were not limited to the administrative

and legal issues …, but also extended to the lack of understanding of the and legal issues …, but also extended to the lack of understanding of the

nature of the other sector.nature of the other sector.



ConclusionsConclusions

Concepts for the futureConcepts for the future

ERA is the new political concept to support this endeavour.ERA is the new political concept to support this endeavour.

Ultimate goal as declared by the Lisbon summit, June 2000: To make theUltimate goal as declared by the Lisbon summit, June 2000: To make the

EU the world’s most competitive and dynamic knowledge economy in ten EU the world’s most competitive and dynamic knowledge economy in ten

years time. More concrete the Barcelona summit, March 2002: target is years time. More concrete the Barcelona summit, March 2002: target is

3% GDP for R&D by 2010 in all member states. 3% GDP for R&D by 2010 in all member states.

FP 6 is only one part of the puzzle. It represents ~25 % of the researchFP 6 is only one part of the puzzle. It represents ~25 % of the research

project funding presently distributed in competitive schemes in the EU. project funding presently distributed in competitive schemes in the EU.

ERA has opened a new debate on the level of national funding organisationsERA has opened a new debate on the level of national funding organisations

to combine their efforts. to combine their efforts.


Thank you for your attentionThank you for your attention

Documents

January 2003. Opportunities for Universities in FP 6 Dr.-Ing. Martin Grabert KoWi Rue du Trône 98 B 1050 Brussels [email protected]