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Introduction to IST and the new instruments of the 6th Framework

Programme

Kostas Glinos

Future and Emerging TechnologiesIST Programme

Introduction to IST and the new instruments of the 6th Framework

Programme

Kostas Glinos

Future and Emerging TechnologiesIST Programme

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Source: European Commission, Key Figures 2000

5.1

7.4

8.9

2.0

2.6

3.2

200019951990

RTD expenditurein % of GDP

Nbr of scientists & engineers per 1,000 labour force

Nbr of patents permillion population (1998)

32

4988

0

20

40

60

80

100

The Competitive Race to Knowledge Where is Europe ?

• Public R&D investment in the EU: 120 B€/yr• just 50% of the US effort• the gap is widening since 1995

• Example R&D ICT investment: US invest 3 x more !• 52% of RTD effort in ICTs in OECD countries is in the

US• only 17% in Europe (22% in Japan)

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Economic Performance vs R&D Investment Europe’s Variety

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“EU: Largestknowledge-basedeconomy by 2010”

Research Policy: gaining momentum

Lisbon Strategy 2010

FP6, Eureka, COST,national R&D programmes

… towards an Information

Society for all

Broadband access, e-business, e-government, security, skills, e-health, ...

… towards a ‘single market for research’

European Research Area

Barcelona, June 2002:increase EU R&D spendingto 3% of GDP

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Europe Needs More & Better R&D

• More human resources for S&T• More excellent centres of public research

• with improved links to business

• Better & more efficient IPR protection

• Better access to finance in all stages of R&D & innovation• e.g. technology start-ups

• Market for R&D support measures• subsidies & fiscal incentives for private RTD

• loans & grants via e.g. EIB

Commission Communication: COM (2002)499 final„More research for Europe“

Commission Communication: COM (2002)499 final„More research for Europe“

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• A policy tool and catalyst• not just a funding machine

• More “initiative”-thinking• New instruments, focused strategic objectives

• Strong focus on International Co-operation• 315 M€ for specific activities: Developing Countries,

Mediterranean & Western Balkans, Russia & NIS• 285 M€ for INCO in Priority Areas 1-8• additional funding under Human Resources & Mobility

• Clear support for SMEs• 430 M€ for SME-oriented research• > 15% of R&D activities in Priority Areas 1-7 by SMEs

• Support to ‘mobility of researchers’ doubled• Overhaul of R&D management

FP6 is Not Business as Usual!

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FP6 RationaleNew Instruments

To address fragmentation of RTD in Europe

• by bringing together cutting-edge scientific expertise at EU level

• by creating lasting scientific collaboration structures

• by building consensus on procedures & standards

Focused R&D

66

33

55

1

44

NoENoE

22

ResearchCentres

To generate new knowledge rapidly & efficiently

• targeted results• to have impact on EU competitiveness & quality

of life

To promote co-operation & co-ordination of RTD programmes (ERA)

• at European, national & regional level• to avoid overlap & achieve critical mass

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FP6 instruments

Instrument Primarydeliverable

Secondarydeliverable

Scale

IP

NoE

169

STREP

CA

knowledge

structuring

knowledge and

structuring

knowledge

coordination

structuring

knowledge

med-high

med-high

high

low-med

low

Instrument Primarydeliverable

Secondarydeliverable

Scale

IP

NoE

169

STREP

CA

knowledge

structuring

knowledge and

structuring

knowledge

coordination

structuring

knowledge

med-high

med-high

high

low-med

low

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Integrated Projects (1)

• Generate the knowledge required to implement the priority thematic areas of FP6• achieve ambitious, clearly defined S&T objectives• integrating a critical mass of activities &

resources• in a coherent management framework

• effective management of knowledge an essential feature

• Several Mio € to several 10x Mio €• 3 - 5+ years

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Integrated Projects (2)

• Activities• Objective-driven research• Demonstration components as

appropriate• Training• Dissemination• Exploitation assessment • Take-up measures• Society dialogue

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Networks of Excellence (1)

• Designed to strengthen Europe’s excellence on a particular research topic...• by integrating a critical mass of expertise• around a joint programme of activity• to achieve ambitious goals

• ... tackling the fragmentation of European research• to provide European leadership and be a world force• the main deliverable is a durable structuring of how

research is carried out in Europe

• NoEs should spread excellence beyond their partners

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Networks of Excellence (2)

• Duration: typically 5 years• more if necessary BUT no more than 7 years

• Allocation of the grant• freedom to distribute it between partners and activities

• Changes in partnership• the partners may themselves decide to take in new

partners (without additional funding) • the Commission may decide to launch calls to add

partners (with additional funding)

• Types of activities:• integrating research and training, exchanges of

personnel, joint infrastructures, dissemination, support to SMEs, …

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The 6th Framework Programme

INTEGRATING EUROPEAN RESEARCH

PRIORITY THEMATIC AREAS ANTICIPATING S/T NEEDS

Research for policy support

Frontier research, unexpected developments

Specific SME activities

Specific international cooperation activities

Geno

mic

and

bio

techno

log

y

for

healt

h

Info

rmati

on s

ocie

ty t

echno

log

ies

Nano

techno

log

ies,

inte

llig

ent

mat.

,

new

pro

du

cti

on p

rocess

es

Aero

nau

tics

and

sp

ace

Fo

od

safe

ty a

nd

healt

h

risk

s

Su

stain

able

develo

pm

ent

and

glo

bal

chang

e

Cit

izens

and

go

vern

ance

in t

he k

no

wle

dg

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ocie

ty

JRC activities

STRUCTURING THE ERA STRENGTHENING THE

FOUNDATIONS OF ERA

Research and innovation

Human resources & mobility

Research infrastructures

Science and society

Coordination of research activities

Development of research/ innovation policies

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Anywhere anytime natural and enjoyable access to IST services for ALL

Miniaturised, lowcost - low power com-ponents & µsystems

Natural interactionswith ‘ knowledge ’ 

Pervasive, mobile, wireless, trustful infrastructures

communic.& networking

Softwareµ, nano, optoelectronics

µ & nanosystems

knowledge technologies

interfaces

Applied IST for major societal and economic challenges

Trust &Confidence

IST for societal challenges

IST for economic challenges

Demanding applications

gen

eri

csp

ecifi

c

Bu

ild

ing

blo

cks

Inte

gra

tion

IST in FP6

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IST Workprogramme 2003-2004

• 23 “Strategic Objectives” + FET + RN• 2-year cycle, annual updates

• Not all topics called every year

• Include socio-economic research, links to nat’l projects and int’l co-operation activities

• For each objective: ~4-6 IPs/NoEs, some STREP, CA, SSA

• Implementation plan• Calls & deadlines• Instruments (70 % of budget to new instruments)• Budget

• Evaluation & selection criteria

• Indicative budget2003: 835 M€ 2004: 891 M€

2005: 935 M€ 2006: 964 M€

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IST Workprogramme topicsRationale

• Building on Europe’s strengths, e.g.• Micro-electronics & microsystems• Mobile and wireless• Embedded systems,...

• Exploiting opportunities and responding to needs• Advanced interaction• Grid computing• Context-aware knowledge handling,...

• Enabling ‘pull-through’ applications & services for 2010• For networked business & governments, e-health,

transport safety, product & services engineering• Networked AV systems & home platforms

ISTAGrecommendations

Towards Ambient Intelligence

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IST Workprogramme 2003-2004Preparing for post-CMOS

Micro & nano systems

Broadband access for all

Mobile & wireless systems beyond 3G

Towards a global dependability& security framework

Multimodal interfaces

Semantic-based knowledge systems

Networked AV systems& home platforms

Networked businesses & governments

eSafety of road & air transports

eLearning & access to cultural heritage

eHealth

Products and Services engineering 2010

FET Proactive Initiatives

General Accompanying Measures

Call 1

Advanced displays

Optical, opto-electronic & photonicfunctional components

Open development platforms for software & services

Cognitive systems

Embedded systems

Applications & services for the mobile user & worker

Cross-media content for leisure & entertainment

GRID-based systems for solving complex problems

Improving risk management

eInclusion

Research Networking test-beds

General Accompanying Measures

Call 2

Continuous CallFET-Open

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• 1st Call:• Open 17 December 2002 – Close 24 April 2003• One-step evaluation (except for P&S eng’g)• All instruments (except for FET Proactive)

• 2nd Call:• Open June 2003 – Close October 2003• One-step evaluation • All instruments

• 3rd Call• 1st quarter 2004?

• Continuous submission (FET Open only)• Guichet opens 10 February• 2-step submission & evaluation• Only STREP, CA, SSA

IST Calls & Dates

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Evaluation criteria for IPs• Relevance (T = 3)• Potential impact (T = 3)

• Ambition, use of results, European added value

• S&T excellence (T = 4)• Clarity of objectives, progress beyond SOTA, approach

• Quality of consortium (T = 3)• quality, complementarity, industrial involvement, suitability and

commitment of partners

• Quality of management (T = 3)• quality, structure, management of knowledge

• Mobilisation of resources (T = 3)• critical mass, integration, financial plan

Overall threshold : 24/30 !

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Evaluation criteria for NoEs

• Relevance (T = 3)• Potential impact (T = 3)

• Ambition, strategic need, structuring impact, European added value, “spreading excellence”

• Excellence of participants (T = 3)• individual excellence, suitability, critical mass

• Degree of integration and JPA (T = 4)• depth and durability of integration, adequacy of JPA

• Organisation and management (T = 3)• quality, structure, plan for gender equality

Overall threshold : 20/25 !

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Proposal preparation & submission

• Proposal submission• Only 2 parts (A & B)• Non-anonymous (except for FET Open short)• Part B structured following evaluation criteria• For IP/NoE, detailed workplan/JPA for first 18 months

• Evaluation process• Eligibility checks• Individual readings (3-5 evaluators)• Consensus• Hearings (for IP/NoE only)• Panel

• Remote evaluation possible

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Participants

Legal entities in Member States, Associated States, JRC on same footing

At least three independent legal entities from three different MS or AS (at least two MS or Associated Candidate States)

SSA and human resources and mobility actions (except training networks): may have single entity

European Economic Interest Groups (EEIG) may be the sole participant

Legal entities from third countries and international organisations

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Contracts: Key changes

• Contract can enter into force upon signature of coordinator only

• Calls for proposals for new contractors• Collective (limited) financial responsibility• Compulsory consortium agreement• No cost categories• Periodic advances up to 85%

• 80% when no collective responsibility

• New FCF model

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Costs

Costs must be : actual, economic and necessaryincurred during the duration of the projectrecorded in the accountsfollow contractors own accounting rules

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

Audit certificates by external auditor - in some instruments for each partner, each year (IP/NoE)for public bodies - competent public auditor

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Costs Models

FC: actual direct and indirect costs

FCF (variant of FC): actual direct costs + flat rate for indirect costs

ACF: actual additional direct costs + flat rate for indirect costs

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1. Under the condition that the costs of the project are superior to the contribution. Should the costs of the project be equal to or lower than the contribution, the reimbursement rate will be readjusted.

Reimbursement

rates of

costs

Research & technological development

/ Innvation

Demonstration Training Management of the consortium

Other specific

activities defined in

Annex INetwork of Excellence

Integrated project 50% 35% 100%100%

up to 7% of the contribution

Specific targeted research or innovation project

50% 35%100%

up to 7% of the contribution

Specific research project for SMEs

50%100%

up to 7 %f the contribution

Integrated infrastructure initiative

50% [35% ?]100%

up to 7% of the contribution

Up to100%

Coordination action100%

up to 7% of the contribution

Up to 100%

Specific support action

100%up to 7 % of the contribution

Up to 100% 1

100% 1 (grant for integration)

Reimbursement Rates

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Keep Yourself Updated!

General FP6 Site:http://www.cordis.lu/rtd2002http://www.cordis.lu/ist/fp6/fp6.htmhttp://europa.eu.int/comm/research/fp6/

index_en.html

Information on Instruments:http://europa.eu.int/comm/research/nfp/

networks-ip.html

Model Contracts: http://europa.eu.int/comm/research/fp6/

working-groups/model-contract/index_en.html

Expressions of Interest:http://europa.eu.int/comm/research/fp6/

eoi-instruments/home.html

IST Roadmaps & Workshops:http://www.cordis.lu/ist/ka2

eMail:rosalie.zobel@cec.eu.int

General FP6 Site:http://www.cordis.lu/rtd2002http://www.cordis.lu/ist/fp6/fp6.htmhttp://europa.eu.int/comm/research/fp6/

index_en.html

Information on Instruments:http://europa.eu.int/comm/research/nfp/

networks-ip.html

Model Contracts: http://europa.eu.int/comm/research/fp6/

working-groups/model-contract/index_en.html

Expressions of Interest:http://europa.eu.int/comm/research/fp6/

eoi-instruments/home.html

IST Roadmaps & Workshops:http://www.cordis.lu/ist/ka2

eMail:rosalie.zobel@cec.eu.int