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The Sixth Research Framework

Programme of the European Union

Jean-Louis LAVROFFCounsellor

Head of Section Science and TechnologyTransport, Energy and Environment

Delegation of the European Commission to Russia

Jean-Louis. Lavroff@cec.eu.int

Jean-Louis LAVROFFCounsellor

Head of Section Science and TechnologyTransport, Energy and Environment

Delegation of the European Commission to Russia

Jean-Louis. Lavroff@cec.eu.intVoronezh, 10 February 2005

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Outline of the presentation

• The research policy of the European Union• The main components of the 6th FP (2002-2006)• Focusing and integrating Community research• Structuring the ERA• Instruments• Financial Provisions• Rules for participation• Intellectual Property Rights (IPR)• Evaluation• Information• What is in for Russia?• How to get involved in FP6?

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The research Policy of the European Union (I)The European Research Area

A blueprint for the future of research in Europe Broad support at the highest political, scientific and industrial levels Being implemented

European research

policy

National programmes

‘Open Coordination’

Framework programme

European organisations

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3.27

5.366.6

13.1214.96

17.5

0

2

4

6

8

10

12

14

16

18

20

1984-1987 1987-1991 1990-1994 1994-1998 1998-2002 2002-2006

€ Billion

The research Policy of the European Union (II) Budgets of the EU Framework Programmes

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ActivitiesBudget

(€ million)

1. European Community 16 270

2. Euratom 1 230

Total 17 500

The 6th FP Main Components (I)

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FOCUSING and INTEGRATING

European research

STRENGTHENING the foundations of the European Research Area

STRUCTURING the European Research Area

Concentration: on selected

priority research areas

Structuring effect: through a stronger link with national, regional and other

European initiatives

Coordination - Simplification

BASIC PRINCIPLESBASIC PRINCIPLES

The 6th FP RTDMain Components (II)

EUR 12585 M EUR 2605 M EUR 320 M

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The 6th FP RTD

Focusing and Integrating Research (I)

285

I. Focusing and integrating research

Budget (€ million)

1. Life sciences, genomics and biotechnology for health Advanced genomics and its applications for health Combatting major diseases

2 255 1 100 1 155

2. Information Society technologies 3 625 3. Nanotechnologies and nano-sciences, knowledge-based

multifunctional materials and new production processes and devices

1 300

4. Aeronautics and space 1 075 5. Food quality and safety 685 6. Sustainable development, global change and ecosystems Sustainable energy systems Sustainable surface transport Global change and ecosystems

2 120 810 610 700

7. Citizens and governance in a knowledge-based society 225 8. Specific activities covering a wider field of research

Policy support and anticipating S and T needs Horizontal research activities involving SMEs Specific measures in favour of international cooperation

1 300 555 430

315 Total 12 585

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1. Genomics and biotechnology for health Advanced genomics and its application for health

Fundamental knowledge and basic tools for functional genomics in all organisms: gene expression and proteomics, structural genomics, bioinformatics, etc.

Application of knowledge and technologies in genomics and biotechnology for health: technological platforms, prevention and therapeutic tools, etc.

Combating major diseases Application-oriented genomic approaches to medical knowledge and

technologies: diabetes, cardiovascular diseases, resistance to antibiotics, brain and ageing, etc.

Cancer Major poverty-linked infectious diseases: aids, malaria and tuberculosis

The 6th FP RTD

Focusing and Integrating Research (II)The 7 thematic priorities

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• Genomics and biotechnology for health

2. Information Society technologies (IST) Applied IST research addressing major societal and economic

challenges: security, societal challenges, ‘ambient intelligence’, electronic commerce, etc

Communication, computing and software technologies Components and microsystems Knowledge and interface technologies

The 6th FP RTD

Focusing and Integrating Research (III)The 7 thematic priorities

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Genomics and biotechnology for health Information Society technologies

3. Nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes and devices Nanotechnologies and nanosciences: long-term research, supramolecular

architectures and macromolecules, nano-biotechnologies, applications in health, chemistry etc

Knowledge-based multifunctional materials: fundamental knowledge; production, transformation and processing technologies, etc

New production processes and devices: flexible and intelligent manufacturing systems, systems research and hazard control, clean and safe production, optimisation of life cycles, etc

The 6th FP RTD

Focusing and Integrating Research (IV)The 7 thematic priorities

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Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based

multifunctional materials, and new production processes and devices

4. Aeronautics and space Aeronautics: competitiveness of the industry (new aircraft, engines etc);

improving environmental impact (emissions and noise); safety; increasing the capacity of the air transport system (‘Single European Sky’)

Space: research relevant to Galileo (satellite navigation) and GMES (monitoring for environment and security); satellite telecommunications (integrating terrestrial networks and space systems)

The 6th FP RTD

Focusing and Integrating Research (V)The 7 thematic priorities

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Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based

multifunctional materials, and new production processes and devices

Aeronautics and space5. Food quality and safety

Epidemiology of food-related diseases and allergies Impact of food on health ‘Traceability’ processes all along the production chain Methods of analysis, detection and control Safer and environmentally friendly production methods and healthier

foodstuffs Impact of animal feed on human health Environmental health risks

The 6th FP RTD

Focusing and Integrating Research (VI)The 7 thematic priorities

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Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based

multifunctional materials, and new production processes and devices

Aeronautics and space Food safety and health risks6. Sustainable development and global change

Sustainable energy systems: clean energy, energy savings, alternative motor fuels, fuel cells, energy carriers/transport/storage, etc

Sustainable surface transport: environmentally friendly transport, interoperability, safety, etc

Global change and ecosystems: greenhouse gas emissions, water cycle, biodiversity, natural disasters, land management, climate modelling, etc

The 6th FP RTD

Focusing and Integrating Research (VII)The 7 thematic priorities

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Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based multifunctional

materials, and new production processes and devices Aeronautics and space Food safety and health risks Sustainable development and global change

7. Citizens and governance in the European knowledge-based society Knowledge-based society and social cohesion: generation/

distribution/use of knowledge; development of a knowledge-based society; variety of paths towards a knowledge-based society; etc

Citizenship, democracy and new forms of governance: consequences of EU integration, enlargement; new forms of governance; resolution of conflicts; citizenship and cultural identities

The 6th FP RTD

Focusing and Integrating Research (VIII)The 7 thematic priorities

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7 thematic prioritiesSpecific activities covering a wider field of research :

Supporting policies and anticipating scientific and technological needs: activities in support of EU policies and research responding to new and emerging needs (annual programming)

Horizontal research activities involving SMEs: to boost technological capacities of SMEs in traditional or new areas and develop their ability to operate internationally (co-operative and collective research)

Specific measures in support of international co-operation: developing countries, Mediterranean countries, Western Balkans, Russia and the NIS (e.g. INTAS - 70 M€ out of 315 M€)

The 6th FP RTD

Focusing and Integrating Research (IX)Specific activities covering a wider field of research

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The 6th FP RTD

Structuring the ERA (I)

II. Structuring the ERABudget

(€ million)

1. Research and innovation 2902. Human resources 1 5803. Research infrastructures 6554. Science and society 80

Total 2 605

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Research and innovation

Human resources and mobility Host-driven actions: MC (Marie Curie) research training

networks, MC host fellowships for early stage research training, MC host fellowships for the transfer of knowledge, MC conferences and training courses

Individual-driven actions: MC intra-European fellowships, MC outgoing/incoming international fellowships,

Excellence promotion and recognition: MC excellence grants, MC excellence awards, MC chairs

Return and reintegration mechanisms

The 6th FP RTD

Structuring the ERA (II)

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Research and innovation Human resources and mobility

Research infrastructures Transnational access to research infrastructures Integrating activities Communication network development Design studies Development of new infrastructures

The 6th FP RTD

Structuring the ERA (III)

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Instruments (I)Three new ones

Networks of excellence Integrated projects Programmes implemented jointly

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Instruments (II)Three new ones

Networks of excellence (NoE): Lasting integration of research capacities Long-term and multidisciplinary objectives Implemented by a joint programme of activities Genuine ‘virtual centres of excellence’ High level of management autonomy Gradual integration of work programmes Selected on the basis of calls for proposals

Integrated projects Programmes implemented jointly

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Instruments (III)Three new ones

Networks of excellence Integrated projects (IP):

To boost competitiveness or to address major societal needs To provide results applicable to products, processes or services Research activities may be complemented by demonstration,

innovation activities High level of management autonomy Implemented through overall financing plans Selected on the basis of calls for proposals

Programmes implemented jointly

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Instruments (IV)Other instruments

Specific targeted research or innovation projects (STREP): Specific targeted research projects: to improve competitiveness;

need to be sharply focussed; either a RTD project (to gain knowledge) or a demonstration project (to prove the viability of new technologies which cannot be commercialised directly)

Specific targeted innovation projects: to test, validate and disseminate new innovation concepts and methods

Specific research projects for SMEs Actions to promote and develop human resources and mobility Co-ordination actions Specific support actions Integrated infrastructure initiatives

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Instruments (V)Other instruments

Specific targeted research or innovation projects Specific research projects for SMEs Actions to promote and develop human resources and mobility

To promote training, development of expertise or transfer of knowledge To support actions undertaken by individuals, host structures (including training

networks) and European research teams Coordination actions Specific support actions Integrated infrastructure initiatives

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Instruments (VI)Other instruments

Specific targeted research or innovation projects Specific research projects for SMEs Actions to promote and develop human resources and mobility Coordination actions

To support co-ordinated initiatives undertaken by a range of stakeholders involved in research and innovation (with the aim of improving integration)

Actions: conferences, meetings, studies, exchange of personnel, exchange of good practices, information systems, expert groups etc

Specific support actions Integrated infrastructure initiatives

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Instruments (VII)Other instruments

Specific targeted research or innovation projects Specific research projects for SMEs Actions to promote and develop human resources and

mobility Coordination actions Specific support actions

To complement FP6 implementation To prepare future RTD activities (monitoring, assessment,

etc) Actions: conferences, meetings, studies, awards, information

and communication activities, support of research infrastructures (e.g. feasibility studies) etc

Integrated infrastructure initiatives

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Instruments (VIII)Their use in throughout the Programme

Priority thematic areas: Networks of excellence (NoE) Integrated projects (IP) Specific targeted research projects (STREP)

Specific activities covering a wider field of research: Specific targeted research projects Specific research projects for SMEs

Structuring the ERA Specific targeted research and innovation projects Integrated infrastructure initiatives Actions to promote human resources and mobility

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Financial Provisions (I)Costs

New - Cost categories not required Costs must be :

actual, economic and necessary for the project incurred during the duration of the project recorded in the accounts (or third parties)

follow contractors own accounting rules

Cost must exclude indirect taxes, duties, interests, costs reimbursed in respect of another Community project, and not give rise to profit

Audit certificates by external auditor for each partner, each year for IP/NoE for public bodies - competent public auditor

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Financial Provisions (II)Cost Models

Full Cost (FC) : actual direct and indirect costs

New - FCF (variant of FC): actual direct costs +flat rate for indirect costs (20% of total actual costs, except subcontracting)

AC: actual additional direct costs + flat rate for indirect costs (20% of total actual costs, except subcontracting)

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Financial Provisions (III)Reimbursement Rates for IPs

Maximum Reimbursement rates of Costs RTD / Innovation Demonstration Training

Management of the consortium

FCCONTRACTORS

50% 35% 100%100%

up to 7% of the contribution

FCF CONTRACTORS 50% 35% 100%100%

up to 7% of the contribution

ACFCONTRACTORS

100% 100% 100%100%

up to 7% of the contribution

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Rules for participation (I)

Candidate countries associated to the FP will participate under same conditions as EU Member States;

European research organisations (e.g. CERN, ESA, etc.) will be treated as any entity from member states;

Russia and the NIS are part of the INCO targeted Countries

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Rules for participation (II)Focusing and Integrating

INCO

Country

(DEV

(Russia and other NIS

Western Balkans

MED)

• may participate

• + minimum number of participants

• may receive a Community financial contribution

285 M€

to finance participation

in Thematic Priorities and in specific activities

covering a wider field of research

Possible financial contribution

(from the budget dedicated to Thematic

Priorities)

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Minimum number Three independent legal entities for IP and NoE with two

from MS or Associated Candidate Countries Single participation possible for fellowships and specific

support actions Minimum number can be increased by work-programmes

Rules for participation (III)Minimum number of Participants

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As in FP 5: Participants own results they have generated

Emphasis on use of results, dissemination if appropriate or if results are not used

SMEs own results generated in SME-activities

Intellectual Property Rights – IPR (I)

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Intellectual Property Rights – IPR (II)

Access rights topre-existing know-how

Access rights toknowledge

If a participant needs them for carrying out its own work under the project

For carrying out the project

Royalty-free unless otherwise agreed

before signing the contract

Royalty-free

If a participant needs them for using its own knowledgeFor use

(exploitation + further research)

Non-discriminatory conditions to be agreed

Royalty-free unless otherwise agreed

before signing the contract

Possibility for participants to agree on exclusion of specific pre-existing know-how before signature of the contract (or

before entry of a new participant)

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Same principles as in FP 5:

Transparency, equal treatment and impartiality

Core criteria & criteria for new instruments:

– To be specified and complemented in work programmes according to instrument and activity

Exclusion criteria:

– Violation of fundamental ethical principles

– Financial irregularities

Evaluation (I)

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Information (I)

General information on research: http://europa.eu.int/comm/research

Information on research programmes, calls and projects :http://fp6.cordis.lu/fp6/calls.cfm

Information requests:research@cec.eu.int

Get Support? Commission help desks National Contact Points

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Information (II)

Nat. Coord. M. E. Ugrinovitch eugrinovitch@minstp.ru Health: Prof. A. Tonevitsky Tonevits@genetika.ru IST: Prof. V. Mikhov Valeriy.Mikhov@iosys.ru Nano: Prof. S. Pikin Pikin@ns.crys.ras.ru Space Dr. S. Kulik Skulik@mcc.rsa.ru Aero Mrs L. Rostovsteva rost@asvt.ru Food: Prof V. Popov Vpopov@ucit.orbita.ru Energy: To be re- confirmed Eco sys: Dr R. Perelet Renat.Perelet@msk.ru Citizens: Dr V. Zavarukhin Vzp@csrs.ru SME: Dr M. Shubin Mshubin@asvt.ru INCO Dr V. Khokhlova Khokhlova@csrs.ru Mobility: Dr L. Gokhberg Lgokhberg@hse.ru

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The 6th FP of RTD and its first calls (I)What is in for Russia?

Russian organisations may participate over the minimum number of participants and receive Community financial contribution for all activities under the theme ‘focusing and integrating’ as an “INCO target country” (€ 285 M for all INCO target countries)

Relevant Russian organisations and researchers may participate and receive a Community financial contribution for several activities in the area of ‘Human Resources and Mobility’.

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The 6th FP of RTD and its first calls (II)What is in for Russia?

Specific measures in support of international cooperation:• € 70 M earmarked for INTAS out of the € 315 M

budgeted

INTAS Work Programme 2003 and 2004. • Dedicated Call for Specific Support Actions for

Russia and the NIS with € 600 K in (2003), € 900 K in 2004, 2005 and 2006.

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4.Negotiate Participation in proposal

1.Understand basics

of 6th FP

3. Get in touch With potential

partners

2.Work out ideas for

participation

How to get involved in FP6? (I)

(Following steps:Submission of proposalEvaluation – ranking – Decision

for fundingNegotiation of proposalContracting)

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How to get involved in FP6 ? (II) Understanding the basics

• Programme structure, Instruments, rules for participation

• Download and carefully read the relevant Work Programme(s) from http://fp6.cordis.lu/fp6/calls_open.cfm

• The WP:- Specifies the content of research - Identifies the instruments applicable to each area- Defines implementation- Provides the roadmap of calls

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How to get involved in FP6 ? (III) Working out ideas for participation

• Based on the core scientific competence of the institute/company, devise a set of ideas for research fully in line with the Work Programme.

• TIP: prepare yourself to take a share of the work - and not the entire task/objective called by the Work Programme

• Check deadline for the call• Get to know what is going on in the area:

- Projects in the field (http://europa.eu.int/comm/research/fp6/projects.cfm  )- Partners (http://fp6.cordis.lu/fp6/partners.cfm)- Expressions of Interest (http://eoi.cordis.lu/search_form.cfm)- Events - National Contact Points- Local representatives of Western European Companies

• TIP: BE PRO-ACTIVE

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How to get involved in FP6 ? (IV) Negotiating participation in a proposal with the Coordinator and other partners

• Understanding eligible and non eligible costs• Understanding the cost models• Understanding the basics of the provisions for

IPR• Understanding the pro and cons of the cost

models• Understanding the pro and cons of

participating as partner or subcontractor (to a partner)

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How to get involved in FP6 ? (V) Consortium Agreement

• Renewed importance due to the new legal and financial approaches

• Regulates internal organisation of consortium, such as i.a.: management of the project and allocation of the EC financing agreement on IPR access rights crisis management

• Compulsory except otherwise mentioned in the call for proposal

• Not signed nor approved by the Commission

• After or (preferably) before signing the contract but some decisions must be made by the participants before signature of contract (e.g. IPR issues)

• Non binding guidelines published by the Commission

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The End