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

Context and rationale Context and rationale

R. F. De BruineR. F. De BruineDirector, DG INFSO, IST programmeDirector, DG INFSO, IST programme

Outline of presentationOutline of presentation

FP6 TimetableFP6 Timetable

The ERA contextThe ERA context

Mobilising the constituency Mobilising the constituency

The timetable for FP6The timetable for FP6

October 2001 …………Parliament ’s first reading of FP6October 2001 …………Parliament ’s first reading of FP6

10/12/2001 ……………Council agreement on FP10/12/2001 ……………Council agreement on FP

January 2002………… Council formal common positionJanuary 2002………… Council formal common position

10/01/02……………… Modified proposal on Rules for participation10/01/02……………… Modified proposal on Rules for participation

31/01/02………………. Modified proposal on Specific programmes31/01/02………………. Modified proposal on Specific programmes

Feb - May 2002………..Parliament second reading of FPFeb - May 2002………..Parliament 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 and rules for October/Nov 2002……. Final adoption of FP, SP and rules for participationparticipation

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

Next steps on the Commission side Next steps on the Commission side

Follow up of the political decision processFollow up of the political decision process– FP second reading in ParliamentFP second reading in Parliament– Specific programmes and rules for participation in Council and Specific programmes and rules for participation in Council and

ParliamentParliament

Prepare for operations and implementationPrepare for operations and implementation– Instruments implementation, Contracts, Calls, evaluations, decision Instruments implementation, Contracts, Calls, evaluations, decision

procedures, …procedures, …– InterDGs WGs and TaskforcesInterDGs WGs and Taskforces– Prepare for content and calls, ISTAG, Internal reflection groups, etc.Prepare for content and calls, ISTAG, Internal reflection groups, etc.

Prepare the constituency Prepare the constituency – Workshops and eventsWorkshops and events– Invitation for expressions of interest, ..Invitation for expressions of interest, ..

A new context for EU supported RTD: ERA A new context for EU supported RTD: ERA

Moving to a European level Research PolicyMoving to a European level Research Policy

Strengthen co-operation between National and EU activitiesStrengthen co-operation between National and EU activities

Improve links between National and EU policies and schemesImprove links between National and EU policies and schemes

Further preparation for the EU enlargement processFurther preparation for the EU enlargement process

Aims to simplify management and implementation proceduresAims to simplify management and implementation procedures

FP6 is an essential tool in support of ERAFP6 is an essential tool in support of ERA

“Maximising the value from each Euro invested in RTD”

Critical success factorsCritical success factors

Commitments of member statesCommitments of member states

Mobilising the actors per areaMobilising the actors per area

Taking account the international dimension of RTDTaking account the international dimension of RTD

Commission facilitates the processCommission facilitates the process

All FP6 actions are geared towards realising ERAAll FP6 actions are geared towards realising ERA

ERA implies a new way of “thinking”ERA implies a new way of “thinking”

From Project-thinking to “Initiative”-thinkingFrom Project-thinking to “Initiative”-thinking– New instruments: IPs and NoEsNew instruments: IPs and NoEs

– More strategic thinkingMore strategic thinking

Develop Europe-wide approachesDevelop Europe-wide approaches– Making sure that Community funding helps aggregate Making sure that Community funding helps aggregate

member states and private effortmember states and private effort

– 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– Lighter WP?, different sequencing of calls, ...Lighter WP?, different sequencing of calls, ...

FP6 is not business a

s usual!

Addressing ERA in IST in FP6Addressing ERA in IST in FP6

Developing shared visions and objectivesDeveloping shared visions and objectives– Revising the Advisory structure (ISTAG)Revising the Advisory structure (ISTAG)– Rethinking the role of the Committee?Rethinking the role of the Committee?– Making the best use of the new instruments Making the best use of the new instruments

• Build critical mass in IPs, NOEs, ...Build critical mass in IPs, NOEs, ...• Help coordinate and integrate effort in NoEs,..Help coordinate and integrate effort in NoEs,..

Help aggregate members states RTD effortHelp aggregate members states RTD effort– Links with Eureka and international initiativesLinks with Eureka and international initiatives

Support the building of ERA in all fieldsSupport the building of ERA in all fields– GEANT and GRIDsGEANT and GRIDs

Mobilising the constituencyMobilising the constituency

A continuous taskA continuous task– Essential, given the nature of FP6Essential, given the nature of FP6, , new instruments, ERA…new instruments, ERA…

Requires a collective effort Requires a collective effort – across the programmeacross the programme– with the NCPs and all multiplierswith the NCPs and all multipliers

Systematic actionsSystematic actions– Workshops, events etc..(Consult the IST web site)Workshops, events etc..(Consult the IST web site)– Use of electronic means (newsletters, the web site..)Use of electronic means (newsletters, the web site..)

Specific Action Lines in WP2002Specific Action Lines in WP2002– Good responseGood response

Invitation for Expressions of InterestInvitation for Expressions of Interest– stimulate partnership buildingstimulate partnership building

ConclusionsConclusions

FP6 provides a key opportunity to shape and FP6 provides a key opportunity to shape and improve the impact of IST research in Europeimprove the impact of IST research in Europe

Realising ERA requires Realising ERA requires – new “thinking” new “thinking” – and an extensive effort to mobilise the and an extensive effort to mobilise the

constituencyconstituency

““Your contribution is critical for the success of the Your contribution is critical for the success of the process “process “

IST in Fp6IST in Fp6

Content Content

Gérard ComynGérard ComynHead of Unit, DG INFSO, IST programmeHead of Unit, DG INFSO, IST programme

Outline of presentationOutline of presentation

FP6 structureFP6 structure

IST priority objectives and visionIST priority objectives and vision

Detailed content and budgetDetailed content and budget

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

Gen

om

ic a

nd

bio

tech

nolo

gy

for

healt

h

Info

rmati

on

socie

ty t

ech

nolo

gie

s

Nan

ote

ch

no

logie

s, i

nte

llig

en

t m

at.

,

new

pro

ducti

on

pro

cess

es

Aero

nau

tics

an

d s

pace

Foo

d s

afe

ty a

nd

healt

h r

isks

Sust

ain

ab

le d

evelo

pm

en

t

an

d

glo

bal

ch

an

ge

Cit

izens

an

d g

ov

ern

an

ce

in t

he k

now

ledg

e s

ocie

ty

JRC activities

STRUCTURING THE ERASTRENGTHENING THE

FOUNDATIONS OF ERA

Researchandinnovation

Humanresources &mobility

Researchinfrastructures

Science andsociety

Coordinationof researchactivities

Developmentof research/innovationpolicies

IST in FP6: Key elements IST in FP6: Key elements

Main objectivesMain objectives– Strengthening Europe’s competitiveness & technology baseStrengthening Europe’s competitiveness & technology base

– Building the information and knowledge society for ALLBuilding the information and knowledge society for ALL

StrategyStrategy– Concentration and focus, building critical massConcentration and focus, building critical mass

– Capitalise on Europe’s strengthsCapitalise on Europe’s strengths

– Visionary, forward looking (longer term / high risk)Visionary, forward looking (longer term / high risk)

– Combine flexibility with greater speed in implementationCombine flexibility with greater speed in implementation

– Scope of activities: Core technologies & “pull-through” applicationsScope of activities: Core technologies & “pull-through” applications

The IST visionThe IST vision

Building the knowledge society for ALLBuilding the knowledge society for ALL

Bringing the users, “people”, to the foreground the “centre of Bringing the users, “people”, to the foreground the “centre of our attention” our attention” – and build trustful technologies for the background (almost invisible)and build trustful technologies for the background (almost invisible)

Moving to an era where:Moving to an era where:‘‘Our surrounding is the interface’ to Our surrounding is the interface’ to IST applications and servicesIST applications and services

Exploring beyond “the PC, screens & keyboard interfaces”... Exploring beyond “the PC, screens & keyboard interfaces”...

Enabling multi-sensorial dialogues supported by computing & Enabling multi-sensorial dialogues supported by computing & networkingnetworking– ‘‘everywhere’, embedded in everyday objectseverywhere’, embedded in everyday objects

(e.g: furniture, clothes, vehicles, smart materials, …)(e.g: furniture, clothes, vehicles, smart materials, …)

Towards an “all inclusive knowledge society”Towards an “all inclusive knowledge society”

““Ambient Intelligence” tomorrowAmbient Intelligence” tomorrow

“Our surrounding” is the interface

Use all senses, intuitive

Context-based knowledge handling

Infinite bandwidth, convergence, ..

Mobile/Wireless full multimedia

Nano-scale

+ new materials

Wide adoption (eHealth, eLearning, …)

>70% of world-wide population on line

IST todayIST today

• PC based ……………………………

• “Writing and reading”…………….….

• “Word” based information search……

• Low bandwidth, separate networks….

• Mobile telephony (voice)…………..

• Micro scale…………………………

• Silicon based…………………………

• eServices just emerging……………

•Only 5% of global population on-line..

Anywhere anytime natural and Anywhere anytime natural and enjoyable access to IST services for ALLenjoyable access to IST services for ALL

Miniaturised, Miniaturised, low cost low powerlow cost low power

components & µsytemscomponents & µsytems

Natural interactionsNatural interactionswith ‘ knowledge ’ with ‘ knowledge ’ 

Pervasive, mobile, Pervasive, mobile, wireless, trustful wireless, trustful

infrastructuresinfrastructures

CommunicationCommunication& networking& networking

SoftwareSoftwareµ, nano & optoµ, nano & opto

electronicselectronicsµ and nanoµ and nano

systemssystemsKnowledge Knowledge technologiestechnologies

interfacesinterfaces

Applied IST for major societal and economic challengesApplied IST for major societal and economic challenges

Trust &Trust &Security Security

IST for societal IST for societal challenges challenges

IST for work & businessIST for work & business challenges challenges

Demanding Demanding applicationsapplications

Spe

cifi

cS

peci

fic

Generic

Generic

inte

grat

ion

inte

grat

ion

Building blocks

Building blocks

Security, privacyIPRs, dependabiltySmart cards,...

E and m business,e and m work,learning

GRIDS forscience, engineeringbusiness and society

Health, eInclusion,mobility, environmentsafety, cultural heritage

•Mobile: beyond 3G•Fixed:All optical•Integrated (IPv6)•Adaptive

•Reliable•Embedded•Distributed•Adaptable

•CMOS : the limit•System-on-Chip•Nano-scale •New materials

•Multidiscplines•New Sensing•Networked•New materials•Nano-scale

•Context based•Semantic based •Agent based•Scaleable

•All senses•Multilingual•Intuitive •‘Surrounding’

FET in FP6FET in FP6

In the IST priorityIn the IST priority– FET like activities in all thematic priorities.FET like activities in all thematic priorities.– Exploring new paradigms and visions at the limit of Exploring new paradigms and visions at the limit of

knowledgeknowledge– Open and proactiveOpen and proactive

In priority 8In priority 8– Multidisciplinary combining IST with other fieldsMultidisciplinary combining IST with other fields

GEANT + GRIDsGEANT + GRIDs

GÉANTGÉANT

Internat.Internat.

GRIDsGRIDs

TestbedsTestbeds

10Gbit/s, 10Gbit/s, EU+NASEU+NAS

Med+LAMed+LA

Initial pilotsInitial pilots

IPv6, QoSIPv6, QoS

FP5 resultsFP5 results

100 Gbit/s, Terabit/s, 100 Gbit/s, Terabit/s, progressive inclusion schoolsprogressive inclusion schools

Global connectivityGlobal connectivity

Large scale GRIDs platforms Large scale GRIDs platforms (virtual communities) (virtual communities)

Next Generation Internet Next Generation Internet solutions for Research solutions for Research Commun.Commun.

FP6 goalsFP6 goals

IST activities outside priority 2IST activities outside priority 2

Exploring future visions and paradigmsExploring future visions and paradigms- - Anticipation of S&T needs, Priority 8Anticipation of S&T needs, Priority 8- “Parts” of current FET: Interdisciplinary - “Parts” of current FET: Interdisciplinary

Support to Support to eeEuropeEurope- - Anticipation of policy needs, Priority 8Anticipation of policy needs, Priority 8

Research Networks, GEANT+GRIDsResearch Networks, GEANT+GRIDs– Research InfrastructuresResearch Infrastructures– ““In addition” to priority 2In addition” to priority 2

The IST constituency can also benefit from:The IST constituency can also benefit from:– Support to SMEsSupport to SMEs– International co-operationInternational co-operation– Strengthening ERA activitiesStrengthening ERA activities

– Innovation activitiesInnovation activities– mobility of researchers..mobility of researchers..– ......

BudgetBudget

Integrating & strengtheningIntegrating & strengthening– Genomics Genomics 2200 M€2200 M€– ISTIST 3600 M€3600 M€– Nanotechnologies, int.. Nanotechnologies, int.. 1300 M€1300 M€– Aeronautics and spaceAeronautics and space 1075 M€1075 M€– Food quality and safetyFood quality and safety 685 M685 M€ € – Sustainable developmentSustainable development 2120 M€2120 M€– Citizens and governance .. Citizens and governance .. 225 M€ 225 M€– Anticipation of S&T needsAnticipation of S&T needs

• SMEsSMEs 450 M€450 M€• Specific InCoSpecific InCo 300 M€300 M€• Anticipating needsAnticipating needs 570 M€570 M€

Strengthening ERA foundationsStrengthening ERA foundations 330 M€330 M€

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

Joint Research CentreJoint Research Centre 760 M€760 M€16, 270 B€

Of which 100M€ for GEANT/GRID

Of which 200M€ for GEANT/GRID

Of which 350 MEuro in the initial phase

IST-in-FP6 : ConclusionsIST-in-FP6 : Conclusions

A new generation of technologies and applications is emergingA new generation of technologies and applications is emerging

Europe is well positioned to shape the future and competeEurope is well positioned to shape the future and compete

The pace of development is increasingly fastThe pace of development is increasingly fast

The aim is “people first” in all-inclusive knowledge society The aim is “people first” in all-inclusive knowledge society

Concentration, critical mass and flexibility are keyConcentration, critical mass and flexibility are key

Simplification of procedures and fast reactivity Simplification of procedures and fast reactivity

Need to address the (steep) learning-curve FP5Need to address the (steep) learning-curve FP5FP6FP6

IST in Fp6IST in Fp6

Integrated projects Integrated projects and Targeted Research Projects and Targeted Research Projects

Morten MollerMorten Moller DG INFSO, IST programme DG INFSO, IST programme

Outline of presentationOutline of presentation

FP6 instruments: overviewFP6 instruments: overview

Integrated ProjectsIntegrated Projects

Specific Targeted Research projects Specific Targeted Research projects

FP6 instruments and financing schemesFP6 instruments and 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

FP6: 6 instruments for “priority areas”FP6: 6 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 for “priority areas”No longer available for “priority areas”

Individual Take-up ActionsIndividual Take-up Actions

SME Exploratory AwardsSME Exploratory Awards

FP6: Instruments for “priority areas” FP6: Instruments for “priority areas”

““New” instruments (Integrated Projects and Networks of New” instruments (Integrated Projects and Networks of Excellence) characterised by capacity to Excellence) characterised by capacity to

– mobilise critical mass necessary to achieve ambitious mobilise critical mass necessary to achieve ambitious objectivesobjectives

– produce structuring and integrating effects on fabric of produce structuring and integrating effects on fabric of European researchEuropean research

Principles guiding their design (1)Principles guiding their design (1)

Simplification and streamliningSimplification and streamlining– to minimise the overheads for all concerned whether to minimise the overheads for all concerned whether

applicant, contractor or the Commissionapplicant, contractor or the Commission– to speed up procedures, especially time-to-contractto speed up procedures, especially time-to-contract

Flexibility and adaptabilityFlexibility and adaptability– to enable instruments to be applicable throughout to enable instruments to be applicable throughout

the priority themesthe priority themes– to enable projects to evolveto enable projects to evolve

Principles guiding their design (2)Principles guiding their design (2)

Increased management autonomyIncreased management autonomy– to eliminate unnecessary micro-managementto eliminate unnecessary micro-management

Commission monitoring to move Commission monitoring to move – from detailed monitoring of inputsfrom detailed monitoring of inputs– to more strategic monitoring of outputsto more strategic monitoring of outputs

While preserving public accountability and While preserving public accountability and preserving the interests of the Communitypreserving the interests of the Community

Article 169Article 169

At the initiative of the member statesAt the initiative of the member states

Support to “national” programmes jointly Support to “national” programmes jointly executed according to article 169executed according to article 169

EC funding used to support the jointly executed EC funding used to support the jointly executed programmesprogrammes

Article 169 (2)Article 169 (2)

May be difficult to use in large numbersMay be difficult to use in large numbers– each requires a co-initiative by national programmes each requires a co-initiative by national programmes

and the Commission to generate a proposaland the Commission to generate a proposal– long and complex decision-making, as long as co-long and complex decision-making, as long as co-

decisions of Council and Parliament taken case-by-decisions of Council and Parliament taken case-by-casecase

– so far untriedso far untried

Use of the InstrumentsUse of the Instruments

Calls for proposals will identify Calls for proposals will identify – which instruments are to be used, which instruments are to be used, – which have priority and for whatwhich have priority and for what

IPs and NoEs will be the priority means IPs and NoEs will be the priority means – where it is deemed appropriatewhere it is deemed appropriate– while maintaining the use of specific targeted research while maintaining the use of specific targeted research

projects and co-ordination actionsprojects and co-ordination actions

In 2004, an independent evaluation In 2004, an independent evaluation – of the use of the instrumentsof the use of the instruments– may lead to adjustments of their relative weightingsmay lead to adjustments of their relative weightings

Integrated Projects: PurposeIntegrated Projects: Purpose

Designed to support research that is Designed to support research that is objective objective and result drivenand 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 integrate the types of activities needed to obtain the

goalsgoals– integrate the critical mass of resources needed to integrate the critical mass of resources needed to

obtain the goalsobtain the goals– integrate all elements of technology chain to attain integrate all elements of technology chain to attain

high-impact goalshigh-impact goals– support industry-academia collaboration including support industry-academia collaboration including

SMEsSMEs

ActivitiesActivities

Activities integrated by a project may cover Activities integrated by a project may cover the full research spectrumthe 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 appropriate management structurewith appropriate management structure

What is critical mass?What is critical mass?

Resource wise: Resource wise: – An IP will have the necessary size to achieve its An IP will have the necessary size to achieve its

ambitious objectivesambitious objectives– Budget may range up to € several tens of millions, Budget may range up to € several tens of millions,

• but no minimum threshold, provided necessary ambition and critical but no minimum threshold, provided necessary ambition and critical mass is achieved.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 morebut in practice likely to be substantially more

Duration wise: typically three to five yearsDuration wise: typically three to five years– but more if necessary to deliver the objectivesbut more if necessary to deliver the objectives

Financial regime (1)Financial regime (1)

Community support will be in the form of a Community support will be in the form of a “grant to the budget”“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’s determined in accordance with each participant’s

own accounting definitions and practicesown accounting definitions and practices– exclude indirect taxes…exclude indirect taxes…

• note: no pre-defined cost categories - only defined ineligible costsnote: no pre-defined cost categories - only defined ineligible costs

Financial regime (2)Financial regime (2)

Annually, each participant to provide a Annually, each participant to provide a summary financial statementsummary financial statement– certified by an independent auditorcertified by an independent auditor– with a justification of costswith a justification of costs

• coupled to corresponding activity report coupled to corresponding activity report

Rolling advance scheme throughout duration of Rolling advance scheme throughout duration of IPIP

• Reduced retentionReduced retention

Further financial details Further financial details (provisional)(provisional)

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% 100% (direct costs only)(direct costs only) for management and training for management and training

AC participants supported at up to 100% of additional AC participants supported at up to 100% of additional costs for all components of the projectcosts for all components of the project

Submission processSubmission process

Public calls for proposalsPublic calls for proposals– perhaps preceded by invitations for submission of perhaps preceded by invitations for submission of

expressions of interestexpressions 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...

Evaluation processEvaluation process

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

sessions, perhaps hearings of applicants…sessions, perhaps hearings of applicants…

Evaluation criteria includeEvaluation criteria include– relevance to objectives of specific programmerelevance to objectives of specific programme

– S&T excellenceS&T 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

Contractual aspects (1) Contractual aspects (1) (provisional)(provisional)

Contract initially signed between Commission Contract initially signed between Commission and:and:– a single designated participant (or part of the a single designated participant (or part of the

participants), or,participants), or,– a common legal structure (association, EEIG, etc)a common legal structure (association, EEIG, etc)

• Faster entry into forceFaster entry into force

AllAll participants are contractually linked to the participants are contractually linked to the CommissionCommission

• Equality among participants (IPR, responsibilities...)Equality among participants (IPR, responsibilities...)

Contractual aspects (2) Contractual aspects (2) (provisional)(provisional)

Participants shareParticipants share– Joint and several technical responsibilityJoint and several technical responsibility– Joint and several financial liability (exemption for public Joint and several financial liability (exemption for public

entities)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

Flexibility and autonomy of implementationFlexibility and autonomy of implementation For the implementation plan, each yearFor the implementation plan, each year

– the consortium will propose a detailed plan for the coming the consortium will propose a detailed plan for the coming 18 months18 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 forceboth need approval of the Commission to enter into force

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

participants nor between activitiesparticipants nor between activities

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

(without additional funding)(without additional funding)– the contract will specify when the addition of new the contract will specify when the addition of new

participants must involve a competitive callparticipants must involve a competitive call– competitive call by Commission to add tasks and fundingcompetitive call by Commission to add tasks and funding

IPs : Three possible implementationsIPs : Three possible implementations

“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

Payments and Reporting SchedulePayments and Reporting Schedule(example of 4 year contract)(example of 4 year contract)

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

0 6 12 18 24 30 36 42 48

Months

Project monitoringProject monitoring

By Commission Project Officer (PO) or group of By Commission Project Officer (PO) or group of PosPos

PrinciplePrinciple– more strategic monitoring of outputsmore strategic monitoring of outputs

Review schedule (with assistance of experts):Review schedule (with assistance of experts):– yearlyyearly– mid-term, with a go/no go decision to continue the mid-term, with a go/no go decision to continue the

projectproject– final reviewfinal review

AuditsAudits– every IP likely to be subjected to one financial auditevery IP likely to be subjected to one financial audit

Targeted RTD projectsTargeted RTD projects Principle: Focused on one specific activity and specific resultsPrinciple: Focused on one specific activity and specific results

– by supporting research activities of more limited scope and ambition the IPsby supporting research activities of more limited scope and ambition the IPs

Similar to current RTD contractsSimilar to current RTD contracts

– Research (50%)Research (50%)

– Demonstration (35%)Demonstration (35%)

– Combined research and demonstrationCombined research and demonstration

Participation: At least two independent organisations from at least two Participation: At least two independent organisations from at least two MSs or ASs MSs or ASs

Targeted RTD projectsTargeted RTD projects 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 IPsPartnership: More limited than IPs– particularly for smaller research actors, including SMEs, and for participants from particularly for smaller research actors, including SMEs, and for participants from

candidate countriescandidate countries

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

Joint and several financial liabilityJoint and several financial liability

ParticipationParticipation

Who?Who?

Member States AND Associated Member States AND Associated candidate Countries, same rights & candidate Countries, same rights & obligationsobligations

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

Minimum nbr of legal entitiesMinimum nbr 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 possiblepossible

(Nbr can be adjusted by WP)(Nbr can be adjusted by WP)

3rd Countries3rd Countries

IN ‘Integrating’ partIN ‘Integrating’ part All countriesAll countries Funding possible for INCO Funding possible for INCO

countries countries

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

agreement under specified agreement under specified conditions conditions

Other countries if necessaryOther countries if necessary

IST in Fp6IST in Fp6

Networks of ExcellenceNetworks of ExcellenceCoordinated actionsCoordinated actionsSupport measures Support measures

K. RouhanaK. Rouhana DG INFSO, IST programme DG INFSO, IST programme

Outline of presentationOutline of presentation

Networks of ExcellenceNetworks of Excellence

Coordination actions and support measuresCoordination actions and support measures

The next steps in Commission preparationThe next steps in Commission preparation

Networks of Excellence: Objectives Networks of Excellence: Objectives

To reinforce To reinforce scientific and technological excellencescientific and technological excellence

by by integrating research capacitiesintegrating research capacities across Europe. across Europe.

to to progress knowledgeprogress knowledge on a particular theme on a particular theme

Act as a “Virtual centre of excellence” Act as a “Virtual centre of excellence”

NoEs: main featuresNoEs: 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 MEuro per year Several MEuro per year – ParticipantsParticipants

• minimum 3: Universities, Research Labs, Industrial Labs minimum 3: Universities, Research Labs, Industrial Labs • bring together bring together a “critical mass” of key actorsa “critical mass” of key actors

• universities, research centres, enterprises (SMEs as well as universities, research centres, enterprises (SMEs as well as large companies)...large companies)...

The Joint Programme of ActivityThe Joint Programme of Activity

““Rethought” RTD activities of participantsRethought” 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, SMEs…Technology transfer to industry, SMEs…

The JPA: integrating/shaping researchThe JPA: integrating/shaping research

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

NoEs: Implementation NoEs: Implementation

Selection on the basis of calls for proposalsSelection on the basis of calls for proposals

Large degree of autonomyLarge degree of autonomy– Possibility to modify plans and allocation of work Possibility to modify plans and allocation of work – possibility to launch a call for participationpossibility to launch a call for participation

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– It is NOT a ratio of the total costIt is NOT a ratio of the total cost

EvaluationEvaluation

Public calls for proposalsPublic calls for proposals– possibly preceded by calls for expression of interestpossibly preceded by calls for expression of interest

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

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

Evaluation criteriaEvaluation criteria

excellence and ambition ofexcellence and ambition of– the network as a wholethe network as a whole– the joint programme of activitiesthe joint programme of activities– the individual membersthe individual members

extent, depth and lasting character of the extent, depth and lasting character of the integrationintegration

contribution to spreading of excellencecontribution to spreading of excellence management and governance of the network…management and governance of the network…

Flexibility and autonomyFlexibility and 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 and activities on an distribution among partners and activities on an

autonomous manner (consortium agreement)autonomous manner (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 call Can be through a competitive call

• to be specified in the contractto be specified in the contract

NoEs financial regime (1) (provisional)NoEs financial regime (1) (provisional)

Grant for integrationGrant for integration

– A lump sum per researcher ‘involved’A lump sum per researcher ‘involved’

– Starts from 20 KEuro per researcherStarts from 20 KEuro per researcher

– 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...

Financial regime (2) (provisional)Financial regime (2) (provisional)

PaymentsPayments

– disbursed in annual instalments disbursed in annual instalments

– according to planned progress in the Joint Programme according to planned progress in the Joint Programme of Activity of Activity

– including including the effort towards lasting integrationthe 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

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 An evolved form of the accompanying measures of FP5measures of FP5– for example, conferences, seminars, studies and for example, conferences, seminars, studies and

analyses, expert groups, operational support, and analyses, expert groups, operational support, and dissemination, information and communication dissemination, information and communication activitiesactivities

IST in Fp6IST in Fp6

Preparing for FP6 , net steps Preparing for FP6 , net steps

K. RouhanaK. Rouhana DG INFSO, IST programme DG INFSO, IST programme

Example of implementation in an IST field Example of implementation in an IST field

IPs

Industrial exploitability

Current Industrial strength/presence

Fundamental research

Basic research Industry-driven research

NoEs

TRPs

« Monolitihic »Incrementa

l

IPs

Next steps on the Commission sideNext steps on the Commission side

Prepare for implementation and operationsPrepare for implementation and operations– Contracts, Calls, evaluations, decision procedures, …Contracts, Calls, evaluations, decision procedures, …– InterDGs WGs and Taskforces on InstrumentsInterDGs WGs and Taskforces on Instruments

Prepare for content and callsPrepare for content and calls– With the Committee and the advisory structure With the Committee and the advisory structure – Prepare the WorkprogrammesPrepare the Workprogrammes– Prepare the constituency Prepare the constituency – Invitation for Expressions of InterestInvitation for Expressions of Interest

Instruments and operations: StatusInstruments and operations: Status

““Detailed provisions for IPs and NoEs”Detailed provisions for IPs and NoEs”– Working documentsWorking documents have been produced and are have been produced and are

available on Cordis: available on Cordis: www.cordis.lu/rtd2002/fp-debate/cec.htm#integratedwww.cordis.lu/rtd2002/fp-debate/cec.htm#integrated

– Details on how these instruments will be implemented Details on how these instruments will be implemented • including types of activities, financing, calls, evaluations,…including types of activities, financing, calls, evaluations,…

– In line with the rules for participationIn line with the rules for participation

Detailed provisions for the other instruments Detailed provisions for the other instruments – TRPs and Coordination actions by end of MarchTRPs and Coordination actions by end of March

IPPA 5IPPA 5

ISTAG Orientations

SP definition + decision

Rules for participation, Implementation, procedures, etc

WP

Calls texts

Guides, etc..

Strategy documents

Call for EoI

Events, Events,

Events,

Proposals

Internal reflection groups

1/2/20021/4/2002 15/7/20026/06/02

IST Call 8

Interaction with Member states, ISTC, ..

Content: The ProcessContent: The Process

First steps: Understanding the European context First steps: Understanding the European context

““Who does what” in Europe ?Who does what” in Europe ? Characteristics of the research community ?Characteristics of the research community ?

– SWOT analysis, dependencies,...SWOT analysis, dependencies,...– Fragmentation versus concentrationFragmentation versus concentration– International cooperationInternational cooperation– Using national/European fundingUsing national/European funding– Links between academia and IndustryLinks between academia and Industry– EUREKA, ...EUREKA, ...

Started in IRGs, ISTAG, the Portal…Started in IRGs, ISTAG, the Portal…

Elaborating the content (ERA in mind)Elaborating the content (ERA in mind)

Initiate the building of research agendas for IST in Initiate the building of research agendas for IST in EuropeEurope– Europe’s SWOT and requirementsEurope’s SWOT and requirements– Extrapolating from current situations, backtracking from future Extrapolating from current situations, backtracking from future

needsneeds

Build consensus around Europe-wide approachedBuild consensus around Europe-wide approached– Key for success, at strategic levelKey for success, at strategic level

– Within the instrumentsWithin the instruments

Define the orientations and implementation of IST in FP6Define the orientations and implementation of IST in FP6

Preparing the constituency (workshops)Preparing the constituency (workshops)

Objectives in the next two monthsObjectives in the next two months– ~10 workshops in May, !First come first served~10 workshops in May, !First come first served

Already planned (confirmed)Already planned (confirmed)• 2 May 2 May Software (Brussels)Software (Brussels)• 7 May7 May microsytems (Brussels)microsytems (Brussels)• 13-14 May13-14 May Interfaces (Luxembourg)Interfaces (Luxembourg)• 15-16 May15-16 May Knowledge technologies ((Luxembourg) Knowledge technologies ((Luxembourg) • 27-28 May27-28 May Communication and networking (Brussels)Communication and networking (Brussels)

To be confirmedTo be confirmed• 14 May14 May Complex problem solving/GRIDSComplex problem solving/GRIDS• 30 May30 May Trust and securityTrust and security

To be determinedTo be determined : µelectronics, societal challenges, work and : µelectronics, societal challenges, work and business challengesbusiness challenges

Consult the IST web site (life on Monday next week)Consult the IST web site (life on Monday next week)

The invitation for expressions of interestThe invitation 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 and Invitation for “embryonic” proposals in IPs and NoEs NoEs – i.e. ideas supported by a consortiumi.e. ideas supported by a consortium

Response will be analysed and a report producedResponse will be analysed and a report produced The report is expected to be made public The report is expected to be made public

It is NOT obligatory for FP6 proposersIt is NOT obligatory for FP6 proposers– proposals can be submitted in FP6 even if no EoI is proposals can be submitted in FP6 even if no EoI is

submittedsubmitted– There will be no feedback on individual EoI There will be no feedback on individual EoI

But would be an important input to identify areas But would be an important input to identify areas where the constituency is ready to proposewhere the constituency is ready to propose

It is not binding for the CommissionIt is not binding for the Commission– It is one (important) input out of othersIt is one (important) input out of others

The invitation for expressions of interest (2) The invitation for expressions of interest (2)

EoIs should include EoIs should include – a short document (in no more than 5 pages)a short document (in no more than 5 pages)– containing the rationale for proposing the research actioncontaining the rationale for proposing the research action– the objectives and general approach the objectives and general approach – Answers to questions specific for each instrument (see Answers to questions specific for each instrument (see

guidelines and invitation for EoI)guidelines and invitation for EoI)

If proposers do not object, If proposers do not object, an abstract will be made an abstract will be made public with the list of participantspublic with the list of participants– To stimulate partnerships To stimulate partnerships

The invitation for expressions of interest (3) The invitation for expressions of interest (3)

For further informationFor further information

IST helpdeskIST helpdeskFax : +32 2 296 83 88Fax : +32 2 296 83 88E-Mail : ist@cec.beE-Mail : ist@cec.be

www.cordis.luwww.cordis.lu/istwww.cordis.lu/rtd2002

- Official Journal (invitationtexts)- Official Journal (invitationtexts)- Guides for Proposers- Guides for Proposers