The 6 th EU Framework Programme for Research and Technological Development (2002 - 2006)

©M. Horvat, BIT, AT - Nr. 1

The 6th EU Framework Programme for Research and

Technological Development(2002 - 2006)

Manfred HorvatBIT - Bureau for International Research and Technology Cooperation, AT An initiative of the Austrian Government and the Economic Chamber Austria

New opportunities for academic institutions andenterprises to participate in EU RTD programmes

TU Kosice, 12-13 December 2002


The 6th EU Framework Programme (FP6)

Introducing BITNew policy context „European Research Area“FP6 as an instrument for the creation of ERA

The objectives and the new approach of FP6Structure, contents, budgetParticipation modalities for FP6New and traditional instruments Implementation of FP6Evaluation procedures and criteriaFinancial aspects of FP6The Call for Expressions of Interest spring 2002Summary: Main characteristics & agenda of FP6


The BIT is ...

promoting cooperation in international R&D programmes and initiatives:EU Framework Programme (National Contact

Points for all areas of FP6)EUREKA (EUREKA Secretariat and NPS)INTAS

providing information and assistance for all interested parties

the Austrian "one-stop-shop“ for EU+ R&Da gateway for finding partners in Austria


The BIT: Core Services

identifying possible participants in EU RTDcreating awareness on collaborative RTDdisseminating information on EU RTDfinding partners in Austria and abroadassistance and coaching for proposersactive stimulation of new projectsexploitation of results & technology transfermonitoring & strategy development for

Austrian participation in EU RTDsupporting strategic newcomer countries ...


Developing the client base: a need for continuous effort

Development of the BIT client base; at present: 27.000 persons

0

5000

10000

15000

20000

25000

30000

1993 1994 1995 1996 1997 1998 1999 2000 2001 2002

W

V

T

Sa

St

O

N

K

B


The Clients of BIT13.000 Organisations

UNI10% ROR

8%

IND60%

OTH22%

27.000 Persons

UNI22%

IND43%

ROR9%

OTH26%

42% of the client organisations are in active contactwith BIT, their success rate is substantially higher

compared to those without BIT-contact


Activities of BIT in 2001

Promoting 60 Calls for Proposals in FP5+ 300 mailings to >200.000 recipientsanswering to 10.000 requests for informationproviding 1.700 detailed advise sessionsorganising ~100 BIT information days etc.participating in ~90 events with partnerspublishing 6 issues of BIT bulletin InFoTeKoinvolvement in 20+ EU projects to stimulate

participation in FP - particularly by SMEs


BIT - Contact persons

Manfred Horvat, Director: Co-ordinating National Contact Point Sabine Herlitschka, Dep. Dir.: Life Sciences Klaus Bernhardt: Information Society Technologies Gerald Kern: Nanotechnologies, Materials, Production Hans Rohowetz: Aeronautics and Space, Transport Bettina Asamer: Energy and Environment Robert Schwertner: International Co-operation Kurt Butscher: Innovation, INNOVATION Relay Centre

Austria S. Herlitschka & M. Bidmon: SME Measures (CRAFT, Collective research) Gerald Müller-Niklas: Human Ressources and Mobility

Research Infrastructures Andrea Höglinger: Socio-economic Research Philippe Loward: Austrian EUREKA National Project Co-ordinator Christian Hopp: Legal and financial matters of EU RTD


FP6: Starting point - a diagnosis

Structural weaknesses of Research and development in EuropeFinancial resources for R&D Researchers, scientists, engineers (RSE)Fragmentation, separation, regional disparityThe European paradoxon of innovation

European R&D cooperation:The European Research Area (ERA)!The EU Framework Programme (FP6)


The European Research Area (ERA)Towards the European Research Area.COM(2000)6, 18.01.2000, p. 24:

The European Research Area should be an area wherethe scientific capacity and material resources can be put to best

use,where national and European policies can be implemented more

coherently, andwhere people and knowledge can circulate freely;an areaattractive both to European researchers and the best researchers

from third countries, andbuilt on respect for the common social and ethical values of

Europeans and their diversity.


The new strategic goals of the EU till ‘10Lisbon 2000 and Barcelona 2002 *)

“..., to become the most competitive and dynamic knowledge-based economy in the world capable of sustainable economic growth with more and

better jobs and greater social cohesion.”

“ ... that the overall spending on R&D and innovation in the Union should be increased with

the aim of approaching 3% of GDP by 2010.”

*) Presidency Conclusions, European Councils:Lisbon, 23 and 24 March 2000 andBarcelona, 15 and 16 March 2002

http://ue.eu.int/en/info/eurocouncil/index.htm


ERA - Lisbon - FP6

A joint effort by EU and MS to bring EU research to the top!

FP6 as instrument to support creation of ERAbuilding integrated and structured R&D capacitiesimproving the impact of EU RTD activitiesmore coordination and coherence of national and EU

RTD activities


FP6: Objectives and targetsObjectives:contributing to the creation of the ERA *)Strengthening the s&t bases of Europe‘s industryencouraging it to become more competitivesupporting other EU policies

Targets:integrating researchstructuring the ERAstrengthening the foundations of the ERA

*) ERA: European Research Area


Characteristics of EU R&D actaivities

transnational collaboration (min. 3 partners/3 countries)strategic objectives - programme orientedinnovative, based on sci&techn. excellencecompetitive - competition of the best teams in EUrather mid-term orientedRTD results are the property of the participantsorganisations selected via Calls for Proposals and

evaluation procedures involving a set of multiple criteria and independent experts


The benefits of participation in EU RTD

additional financial and other resources strengthening international competitiveness achieving critical mass for RTD sharing the risks and the opportunities for innovation getting international, finding strategic partners gaining information, orientation and know how personnel and organisational development benchmarking image and reputation


EC FP6: Programme Structure & Budget(€ million))

3 Specific Programmes:Integrating and strengthening

the European Research Area 12.905Structuring the European

Research Area 2.605Joint Research Centre 760EC FP6 16.270EURATOM 1.230Total 17.500


The development of the EU RTD budget

3,755,39

6,6

13,114,96

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


FP6: structure and contents

A new Framework Programme for the creation of ERA

*) Indirect Actions **) D irect Actions

Strengthening the foundationsof the ERA

8. Specific activities coveringa w ider fie ld of research

Thematic Priorities 1. - 7.

1. Specific Programm e *)In teg ra tion an d S tre ng the n in g o f the

E u rop e an R ese arch A rea

.......Science and Society........

Research infrastructures

Hum an resourcesand m obility

Research and innovation

2. Specific Programm e *)S tru ctu ring the

E u rop e an R ese arch A rea

Research training:Access to infrastructures

Horizontalactivities

Environm ent andsustainability

Food, chem icalproducts and health

3. Specific Programm e **)Jo in t R e sea rch C e n tre

6th EU Fram ew o rk Pro g ram m e2 0 02 - 20 06


EC FP6 : Structure & contentsIntegrating Research

Priority thematic areas (69%)Specific activities in a wider area of technology ( 8%)

Strengthening the Foundations of ERA ( 2%)Support for co-ordination of research activitiesSupport for the development of coherent

research and innovation policies in EuropeStructuring the ERA (16%)

Research and innovationHuman resources and mobilityResearch infrastructuresScience and society

Joint Research Centre (JRC) ( 5%)


Integrating and strengthening the ERAPriority thematic areas:

Contents and budget (M€)1 Life sciences, genomics, biotechnology for health 2.2552 Information society technologies 3.6253 Nanotechnologies and nanosciences,

knowledge-based functional materials,new production processes and devices 1.300

4 Aeronautics and space 1.0755 Food quality and safety 6856 Sustainable development, global change,

ecosystems 2.1207 Citizens and governance in a

knowledge-based society 225

Budget 11.285 *)*) including 300 MEUR for specific 3rd countries; 15% for SMEs


Integrating and strengthening the ERASpecific activities covering a wider field of research

Contents and budget (M€)

Policy oriented research andleading edge topics (NEST) 555

specific research activities for SMEs 430cooperative research (CRAFT) (290)collective research (140)

sci. internat. cooperation activities (INCO) 315Mediterranean and western BalkansRussia and the NISDeveloping Countries

Budget 1.300


FP6: Participationevery legal entity established in Member State (EU) or associated

countryNew: Associated Candidate Countries (ACC) are treated equally to

Member States (EU)New: International organisations of European

interest are equal to organisations in MSNew: EU financial contribution for target countries of specific

international co-operation measures (INCO)Thresholds:

min 3 independent legal entities from EU or associated countries, with 2 from EU or associated candidate country

possible: 1 legal entity for fellowships/spec. support actionsmin number can be increased by Work Programmes


FP6: Third Country Participation

Third Countries = not MS, ACC, ACall countries world wide: „Integration“ part of FP6

open for participation„INCO“ countries: EU financial contribution for

participation in „Integration“ partcountries with co-operation agreements: participation

in all activities also outside „Integration“ part (under the conditions specified by agreement)

other countries: participation in all activities outside „Integration“ only if necessary


FP6: The new instruments

Networks of Excellence *)Integrated Projects *)EU contribution to joint nat. programmes (Art 169)specific measures for SMEs

collective research

training and mobility of researchersthird countries fellowships, return fellowships,

excellence measures

research infrastructures:feasibility, development

*) In priority thematic areas


FP6: The traditional instruments

specific targeted RTD projects (STREPs)specific measures for SMEs

CRAFT: Co-operative Research Action for Technologytraining and mobility of researchers

e.g. Marie Curie fellowships, networks, training sitesresearch infrastructures

access, integration, feasibility, developmentSpecific co-ordination action

e.g. thematic networks, concerted actionsSpecific support actions

e.g. stimulation actions, economic and technological intelligence actions, studies, conferences


New instruments in priority thematic areasNetworks of Excellence

to strengthen Europe‘s excellence to act against fragmentation to network critical mass to create durable integration and mutual

specialisation - „virtual centres of excellence“ Joint Programme of Activities - integration of capacities!

managerial autonomy: associating new partners, launching Callsadvancing knowledge on a topic, considering innovation, infrastructure, human

resources & training, technology assessment, science & society aspectsopening up to other EU and 3rd countriesduration: 5-7 years

EU financial participation (~ 20% of budget for TPs):overall grant for integration - several M€ a year(~ 100 to 125 NoE/FP6)


New instruments in priority thematic areas Networks of Excellence (continued)

Joint Programme of Activity (JPA):integrating activities

coordinated programming of partners‘ activities:mutual specialisation!

development of common research platforms/facilitiesstaff mobility and personnel exchangereinforced electronic communication and collaborative workpossibly relocation of staff, teams equipment

joint research activitiesmedium to long-term plan for joint research

activities to spread excellence joint training of researchers and other key staffdissemination, communication, knowledge transfer

Governance and monitoring of NoE:a unified management structureinstitutional committment, e.g. „governing council“Commission reviews: annual, mid-term review end of term review


New instruments in priority thematic areas Integrated Projects

strengthen competitiveness, solve major soc. problemsclear objectives to generate sci&tech knowledge by integrating the critical

mass of activities and resourcesco-operation of different organisationsa broad sepctrum of activities: research, development & demonstration as

appropriate, training, IPR mgmt, specific measures to encourage SME participation

managerial autonomy: adapting the work programmes, associating new partners, launching Calls,

duration: 3-5 years

EU financial participation (~70% of budget for TPs):grant to the budget up to 50% of total actual costs;may be several tens of M€ a year;mgmt level justification of costs (auditor!)


New instruments in priority thematic areas Implementation of NoE and IP

Increased flexibility & autonomy regarding:Autonomy in internal organisationdifferent possibilities to extend partnershipadjustments of work programme according to

evolving needsallocation of EC contribution among activities

and/or participants - Consortium Agreement!


New instruments: Article 169 TreatyEU participation in joint nat. Programmes

Clearly identified programmes of governments or national/regional research (funding) organisations

joint implementation: specific implementation structure (harmonised work programmes, joint or co-ordinated Calls for Proposals, common infrastructures)

where programmes are open to other European countries: EU may contribute to participation of researchers from those countries

a need for exploratory work and consultation ...

EU financial contribution:grant to the budgets of jointly executed activities; up to 50% of total costs


New instruments: Article 169 Treaty

Community participation in/contribution to reseach programmes carried out jointly by a number of member states

potentially most powerful instrument:integrate national programmes

difficult to apply:each requires a co-initiative of national programmes and a

Commission proposallong and complex co-decision procedure (Council, EP)

Commission is preparing pilot proposals


„Stairway of excellence“Specific targeted research projects(STREPs)

To smooth transition from the „traditional“ to the „new“ instrumentsto support research activities of more limited scope and

ambitionto develop new or improved products, processes and servicesparticularly for smaller actors (e.g. SMEs, organisations from

Candidate Countries)

STREPs will be used degressively as FP6 proceedssubject to independent evaluation in 2004


Specific targeted res. projects (STREP)Sharply focused projects to improve competitiveness

Research projects to gain new knowledge to improve or develop new products, processes and services or to meet other needs of society and EU policies

demonstration projects to prove the viability of new technologies

innovation projects to test, validate and disseminate new innovation concepts and methods at EU level

Participants from at least 3 different countries (MS or AS, min. 2 MS or candidate country)

min. partnership: 3 partners from 3 countries (1 EU MS or CC)EU financial contribution:

grant up to 50% of the budget


Classification of instruments

DeliverablesInstrumentPrimary deliverable Secondary

deliverable

Scale

NoE Structuring Knowledge med-highIP Knowledge Structuring med-high

Art 169 Knowledgeand/or

Structuring

high

STRP Knowledge low-med

There are different ways forgetting involved in EU R&D collaboration!

Follow a strategic approachchoosing the right instrument(s)!


Implementation of FP6

Calls for Proposals will identify which instruments are to be used

IP and NoE will have priority from the outsetto reduce oversubscription substantially, Calls

for Proposals will be specific depending on instrumentSTREP: similar to FP5IP: much more specificNoE: very specific and detailed

Assessment of new instruments in 2004possible adjustments of their relative weighting


FP6: Evaluation procedure

Calls for Proposalsfor NoE, IP: preceded by Expressions of Interest

Simplified proposal preparation for new instrumentstwo-step procedure: 1. Outline proposal, 2. full proposalevolution of project activities - detailed work plan only for 18

months

Evaluation by enhanced peer review systempossibly in stages: advance information and individual

remote evaluation, consensus meeting, hearing for proposers, ...


FP6: Evaluation criteria 1scientific and technological excellence and the degree of

innovationefficient management: resources, competencies,

organisational modalitiesRelevance to the objectives of the specific programme (work

programme, text of the Call)European added value, critical mass of resources mobilised,

contribution to EU policiesquality of plan for using or disseminating knowledge,

potential for promoting innovation, clear plans for the management of IPR


FP6: Evaluation criteria 2

Networks of excellence:the scope & the degree of effort to achieve integrationthe network‘s capacity to promote excellence beyond its

membershipprospects of the durable integration of their research

capabilities and resources

Integrated projects:ambition of the objectvescapacity of the resources to contribute to competitiveness or

solving societal problems


FP6: Evaluation criteria 3

Criteria 1 and 2 may be specified in the workprogramme, to take into account:

synergies with education at all levels,spreading awareness and knowledge, exploring the

wider societal implications of the proposed workactivities to increase the role of women in researchthe degree of European added value in programmes

concerning the outermost regionsthe promotion of the competitivness of SMEs


Implementation: Autonomy & flexibilityEU funding:

no distribution between participants and activities defined in contract - CONSORTIUM AGREEMENT!

Implementation plan, JPA each year:detailed plan for the coming 18 monthspossibly update of the overall plan depending on requirements of the

progress of the project

Changes in consortium:consortium can decide to take new participants (without additional funding;

in contract: rules for calls for canditature - NCPs have to be ionvolved!)Commission may launch calls to add activities and participants (with

additional funding)


EU financial contribution for NoE

New: Not a „cost approach“EU contribution targeted at stimulating durable

integration, willingness to changeovercoming organisational, cultural, human barriers„incentive“ for integration, organisational change, mutual

specialisation

EU contribution as a fixed grant for integrationcalculated on basis of total number of researchers that

make up research capacities of the partners on the topic of the NoE

precise method of calculation will be described in Callannual grant: ~20 kEUR/researcher


EU financial contribution for IP, STREP

3 different cost modelsFC: full actual direct & full actual indirect costsFCF: full actual direct costs plus 20% flat rateAC: additional direct costs plus 20% flat rate

Maximum rates for FC/FF participants:50% for research part35% for demonstration part100% (direct costs only) for management and training

note: ceiling of 7% for management costs at 100%

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


Call for Expressions of Interest (EoI)Information

Full analysis of results of EoI-Call and

possibility to search for partners:

http://eoi.cordis.lu/search_form.cfm


Your personal eNewsletter

BIT Infoservicefor taylormade information on

up to date developments of

European RTD cooperation

„BIT Infoservice“: www.bit.ac.at


Summary: FP6 - Main characteristicsnew objectives regarding creation of ERA“larger” projects - structuring and integrationneed for strategic positioning of institutionsmore autonomy and flexibility of consortianew forms of Community financial contributionexactly the same rights for MC and Candidate ASEU funding for participation of INCO countries *)eligibility of internat. organisations of EU interestopeness to 3rd countries worldwideincreased participation of women*) Mediterranean, Balkan; Russia and NIS; Developing Countries


Establishing contact

Prof. Manfred HorvatDirector

Tel +43 1 581 16 16-114 (-109)

Fax +43 1 581 16 16-16 (-18)

[email protected]

or

[email protected]

http://www.bit.ac.at

Documents

The 6 th EU Framework Programme for Research and Technological Development (2002 - 2006)