Transcript Towards the Sixth Framework Programme

The Sixth
Research Framework
Programme of the
European Union
Jean-Louis LAVROFF
Counsellor
Head of Section Science and Technology
Transport, Energy and Environment
Delegation of the European Commission to Russia
Jean-Louis. [email protected]
Voronezh, 10 February 2005
Slide 1
Outline of the presentation
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Slide 2
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?
The research Policy of the European Union (I)
The European Research Area
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A blueprint for the future of research in Europe
Broad support at the highest political, scientific and industrial levels
Being implemented
National
programmes
Framework
programme
‘Open
Coordination’
European
organisations
Slide 3
European
research
policy
The research Policy of the European Union (II)
Budgets of the EU Framework Programmes
20
€ Billion
17.5
18
14.96
16
13.12
14
12
10
8
5.36
6
4
6.6
3.27
2
0
1984-1987
Slide 4
1987-1991
1990-1994
1994-1998
1998-2002
2002-2006
The 6th FP
Main Components (I)
Activities
1. European Community
2. Euratom
Total
Slide 5
Budget
(€ million)
16 270
1 230
17 500
The 6th FP RTD
Main Components (II)
EUR 12585 M
FOCUSING and
INTEGRATING
European research
EUR 320 M
EUR 2605 M
STRUCTURING
the European
Research Area
STRENGTHENING
the foundations of the
European Research Area
BASIC PRINCIPLES
Concentration:
on selected
priority research
areas
Slide 6
Structuring effect:
through a stronger
link with national,
regional and other
European
initiatives
Coordination Simplification
The 6th FP RTD
Focusing and Integrating Research (I)
I. Focusing and integrating research
1. Life sciences, genomics and biotechnology for health
 Advanced genomics and its applications for health
 Combatting major diseases
2. Information Society technologies
3. Nanotechnologies and nano-sciences, knowledge-based
multifunctional materials and new production processes and
devices
4. Aeronautics and space
5. Food quality and safety
6. Sustainable development, global change and ecosystems
 Sustainable energy systems
 Sustainable surface transport
 Global change and ecosystems
7. Citizens and governance in a knowledge-based society
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
Total
Slide 7
Budget
(€ million)
2 255
1 100
1 155
3 625
1 300
1 075
685
2 120
810
610
700
225
1 300
555
430
315
12 585
285
The 6th FP RTD
Focusing and Integrating Research (II)
The 7 thematic priorities
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
Slide 8
The 6th FP RTD
Focusing and Integrating Research (III)
The 7 thematic priorities
Genomics and biotechnology for health
2. Information Society technologies (IST)
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 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
Slide 9
The 6th FP RTD
Focusing and Integrating Research (IV)
The 7 thematic priorities
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
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Slide 10
The 6th FP RTD
Focusing and Integrating Research (V)
The 7 thematic priorities
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
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 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)
Slide 11
The 6th FP RTD
Focusing and Integrating Research (VI)
The 7 thematic priorities
Genomics and biotechnology for health
 Information Society technologies
 Nanotechnologies and nanosciences, knowledge-based
multifunctional materials, and new production processes and
devices
 Aeronautics and space
5. Food quality and safety
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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
Slide 12
The 6th FP RTD
Focusing and Integrating Research (VII)
The 7 thematic priorities
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
6. Sustainable development and global change
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 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
Slide 13
The 6th FP RTD
Focusing and Integrating Research (VIII)
The 7 thematic priorities
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
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Slide 14
The 6th FP RTD
Focusing and Integrating Research (IX)
Specific activities covering a wider field of research
7 thematic priorities
Specific activities covering a wider field of research :
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 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€)
Slide 15
The 6th FP RTD
Structuring the ERA (I)
II. Structuring the ERA
Slide 16
Budget
(€ million)
1. Research and innovation
2. Human resources
3. Research infrastructures
4. Science and society
290
1 580
655
80
Total
2 605
The 6th FP RTD
Structuring the ERA (II)
Research and innovation
Human resources and mobility
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 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
Slide 17
The 6th FP RTD
Structuring the ERA (III)
Research and innovation
 Human resources and mobility
Research infrastructures
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 Transnational access to research infrastructures
 Integrating activities
 Communication network development
 Design studies
 Development of new infrastructures
Slide 18
Instruments (I)
Three new ones
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Slide 19
Networks of excellence
Integrated projects
Programmes implemented jointly
Instruments (II)
Three new ones
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Slide 20
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
Instruments (III)
Three new ones
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Networks of excellence
Integrated projects (IP):
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 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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Slide 21
Instruments (IV)
Other instruments
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Slide 22
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
Instruments (V)
Other instruments
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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
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Slide 23
Coordination actions
Specific support actions
Integrated infrastructure initiatives
Instruments (VI)
Other instruments
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Slide 24
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
Instruments (VII)
Other instruments
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Slide 25
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
Instruments (VIII)
Their use in throughout the Programme
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Priority thematic areas:
 Networks of excellence (NoE)
 Integrated projects (IP)
 Specific targeted research projects (STREP)
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Specific activities covering a wider field of research:
 Specific targeted research projects
 Specific research projects for SMEs
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Structuring the ERA
 Specific targeted research and innovation projects
 Integrated infrastructure initiatives
 Actions to promote human resources and mobility
Slide 26
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
Slide 27
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)
Slide 28
Financial Provisions (III)
Reimbursement Rates for IPs
Maximum Reimbursement
rates of Costs
FC
CONTRACTORS
FCF CONTRACTORS
ACF
CONTRACTORS
Slide 29
RTD / Innovation
50%
50%
100%
Demonstration
35%
35%
100%
Training
Management of
the consortium
100%
100%
up to 7% of the
contribution
100%
100%
up to 7% of the
contribution
100%
100%
up to 7% of the
contribution
Rules for participation (I)
Slide 30
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Candidate countries associated to the FP will
participate under same conditions as EU
Member States;
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European research organisations (e.g. CERN,
ESA, etc.) will be treated as any entity from
member states;
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Russia and the NIS are part of the INCO targeted
Countries
Rules for participation (II)
Focusing and Integrating
285 M€
INCO
Country
(DEV
to finance participation
• may participate
• + minimum number of
participants
(Russia and
other NIS
• may receive a
Community financial
Western
contribution
Balkans
MED)
Slide 31
in Thematic Priorities
and in specific activities
covering a wider field of
research
Possible financial
contribution
(from the budget
dedicated to Thematic
Priorities)
Rules for participation (III)
Minimum number of Participants
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
Slide 32
Intellectual Property Rights – IPR (I)
As in FP 5:
Slide 33
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Participants own results they have generated
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Emphasis on use of results, dissemination
if appropriate or if results are not used
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SMEs own results generated in SME-activities
Intellectual Property Rights – IPR (II)
Access rights to
pre-existing know-how
For carrying out
the project
Access rights to
knowledge
If a participant needs them for carrying out its own work
under the project
Royalty-free
Royalty-free
unless otherwise agreed
before signing the contract
If a participant needs them for using its own knowledge
For use
(exploitation
+ further research)
Non-discriminatory conditions
to be agreed
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)
Slide 34
Royalty-free
unless otherwise agreed
before signing the contract
Evaluation (I)
Same principles as in FP 5:
Transparency, equal treatment and impartiality
Core criteria & criteria for new instruments:
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To be specified and complemented in work programmes
according to instrument and activity
Exclusion criteria:
Slide 35
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Violation of fundamental ethical principles
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Financial irregularities
Information (I)
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General information on research:
http://europa.eu.int/comm/research
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Information on research programmes, calls and projects :
http://fp6.cordis.lu/fp6/calls.cfm
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Information requests:
[email protected]
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Get Support?
Commission help desks
National Contact Points
Slide 36
Information (II)
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Slide 37
Nat. Coord.
Health:
IST:
Nano:
Space
Aero
Food:
Energy:
Eco sys:
Citizens:
SME:
INCO
Mobility:
M. E. Ugrinovitch
[email protected]
Prof. A. Tonevitsky
[email protected]
Prof. V. [email protected]
Prof. S. Pikin
[email protected]
Dr. S. Kulik
[email protected]
Mrs L. Rostovsteva
[email protected]
Prof V. Popov
[email protected]
To be re- confirmed
Dr R. Perelet
[email protected]
Dr V. Zavarukhin
[email protected]
Dr M. Shubin
[email protected]
Dr V. Khokhlova
[email protected]
Dr L. Gokhberg
[email protected]
The 6th FP of RTD and its first calls (I)
What is in for Russia?
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Slide 38
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’.
The 6th FP of RTD and its first calls (II)
What is in for Russia?
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Slide 39
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.
How to get involved in FP6? (I)
1.Understand
basics
of 6th FP
2.Work out
ideas for
participation
3. Get in touch
With potential
partners
4.Negotiate
Participation
in proposal
(Following steps:
Submission of proposal
Evaluation – ranking – Decision for
funding
Negotiation of proposal
Contracting)
Slide 40
How to get involved in FP6 ? (II)
Understanding the basics
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Slide 41
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
How to get involved in FP6 ? (III)
Working out ideas for participation
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Slide 42
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
How to get involved in FP6 ? (IV)
Negotiating participation in a proposal with the
Coordinator and other partners
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Slide 43
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)
How to get involved in FP6 ? (V)
Consortium Agreement
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Renewed importance due to the new legal and financial
approaches
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Regulates internal organisation of consortium, such as i.a.:

Slide 44
management of the project and allocation of the EC financing
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agreement on IPR access rights
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crisis management
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Compulsory except otherwise mentioned in the call for proposal
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Not signed nor approved by the Commission
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After or (preferably) before signing the contract but some
decisions must be made by the participants before signature of
contract (e.g. IPR issues)
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Non binding guidelines published by the Commission
The End
Slide 45