Transcript Towards the Sixth Framework Programme

The European Research
Area and the 6th
Framework Programme
Dr Dimitri CORPAKIS
CEC- DG Research
[email protected]
Aalborg 7 Nov. 2002
My talk
 The Lisbon process
 The concept of the European Research Area
 Towards the 6th Framework Programme (2002-2006)
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The Lisbon Strategy and the
Barcelona target
 The vision: within 10 years (2010), Europe should become the
most competitive and dynamic knowledge society in the world
– Sustainable development, together with quantitative and qualitative
improvement in employment; greater social cohesion; improvement of the
labour market; better governance; life-long learning and people mobility
– Through an “Open method of co-ordination and benchmarking” (as a
continuous, mutual learning process)
– RTDI a top priority for the EU (this was repeated in Barcelona, last
March, where the ambitious goal of GDP 3% average investment in
RTD was set. New Commission Communication on “More Research
for Europe” adopted September 2002)
– ERA became one of the cornerstones of the Lisbon strategy
 Strong message for all parties involved and the S&T community
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European Research Area:
the concept
 A new vision for European research
 Re-invent the European research landscape
–
–
–
–
–
–
avoid 15+1 policy framework
reduce fragmentation of effort
improve use of scarce resources
improve organisation of research
move to a really European research policy
mobilise all operators: the Union’s Institutions, the Member
States, the Regions, the Public S&T and the business R&D
communities
– build a new, lasting partnership
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7 questions for European research
Finding the right balance:






Concentration  limited number of priorities
Present priorities  future needs
Basic research  applied research
Industrial competitiveness  other EU policies
Established centres  new teams
Efficient management  European dimension
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About the Framework
Programme
 The Framework Programme has been
traditionally a policy planning tool for
research and technological development
at EU level. Historically it has been used
as an instrument to promote
transnational co-operation by supporting
collaborative RTD.
 Now it will serve to build the European
Research Area
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New ERA and FP organising
principles
 Networks of excellence / Virtual laboratories / Strong
programming character
 Integrated Projects / Results oriented partnerships
 Joint implementation of national programmes
 A European approach to research infrastructures
 Greater researchers’ mobility / Improving the attraction of
Europe for researchers
from other parts of the world
 Greater coherence of research activities
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Global partnerships evolution





Larger networks / lasting integration
Broader participation
Public private schemes
Increased SMEs presence
Regional involvement / Clusters
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European collaboration under the
Framework Programme
 The University - Industry transnational
consortium, cornerstone of European R&D
collaboration
 Often survived proposal evaluation rejection and
continued without Community funding
 A craddle for SME / University colaboration, also
for outsourced research
 Currently in shared-cost projects, thematic
networks, concerted actions, mobility of
researchers
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Community RTD
the story so far
 1957: EURATOM treaty; Joint Research Centre set up
 1983: ESPRIT programme
 1984: First Framework Programme (1984-1987), followed
by 4 successive Framework Programmes (up to 2002)
 1987: “European Single Act” - research and tecnological
development enters in the Treaty; Second Framework Programme
(1987-1991)
 1993: Maastricht Treaty on European Union; role of RTD in the
EU enlarged
 2000: Concept of ERA backed by Lisbon European Council
 2002: Adoption of the Sixth Framework Programme (20022006)
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20
How we grew: evolution of the
European Union’s RTD framework
programme
budget
EUR billion
17,5
18
14,96
16
13,22
14
12
10
8
6
4
5,39
6,6
3,75
2
0
1984-1987
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1987-1991
1990-1994
1994-1998
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1998-2002
2002-2006
11
EU research:
changing priorities
100
90
%
Coordination & development
80
Training of researchers
70
Dissemination & exploitation
60
International cooperation
50
Socio-economic
40
Transport
30
Energy
Life sciences
20
Environment
10
Industrial & materials technology
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FP6
FP5
FP4
FP3
FP2
FP1
0
IT and Communications
12
Sixth Framework Programme
2002-2006
 Commission proposal: February 2001
 Adoption by Council and Parliament: June 2002
 Instrumental for implementation of the European Research Area
(ERA)
Some figures:
 Proposed and final budget: EUR 17.5 billion Budget: EUR 17.5
billion (+17% compared to 5th Framework Programme)
 = ~ 6% of the EU’s public (civilian) research budget
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Framework programme
2002-2006
 Financial instrument for implementing ERA
 Three main blocks of activities
 Integrating research (7+1 priorities).Priority instruments
(others as well):
Networks of excellence
Integrated Projects
Members State programmes carried out jointly
 Structuring ERA (research and innovation, human resourcesmobility, infrastructures, science-society)
 Strengthening the ERA foundations
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FP6 adopted Specific
Programmes (5)
 For the EC Framework Programme:
– A specific programme on "Integrating and strengthening
the European Research Area" for the two blocks of
activities "Integrating research" and "Strengthening the
foundations of the European Research Area" of the
Framework Programme proposal.
– A specific programme on "Structuring the European
Research Area".
– A specific programme for JRC activities.
 For the EURATOM Framework Programme:
– A specific programme for all the indirect actions in the
fields of nuclear fission and fusion
– A specific programme for JRC activities.
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Sixth Framework Programme
- Main components FOCUSING and
INTEGRATING
European research
STRUCTURING
the European
Research Area
STRENGTHENING
the foundations of the
European Research
Area
BASIC PRINCIPLES
Concentration: on
selected priority
research areas
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Structuring effect:
through a stronger
link with national,
regional and other
European
initiatives
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Coordination Simplification
16
Sixth Framework Programme
Activities
Budget
(€ million)
1. European Community
2. Euratom
1 230
Total
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16 270
17 500
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Sixth Framework Programme (EC)
Group of actions
1. Focusing and integrating Community
research
2. Structuring the European Research Area
3. Strengthening the foundations of the
European Research Area
Total
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Budget
(€ million)
13 345
2 605
320
16 270
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Sixth Framework Programme
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, knowledgebased 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
Total
Budget
(€ million)
2 255
1 100
1 155
3 625
1 300
1 075
685
2 120
810
610
700
225
1 300
13 345*
* Including non-nuclear activities of the Joint Research Centre: €760 million
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Framework programme 2002-2006:
Typology of proposed thematic priorities
Industrial
competitiveness
Nanotechnologies,
new production
processes
Support for innovation
Information
society
Support for
SMEs
Dissemination
and support
Human
resources
and mobility of
researchers
Science-society,
ethics
Aeronautics
and space
Food safety and
health risks
Sustainable
development
and
global change
Genomics and
biotechnology
for health
Cutting-edge
research
Governance
Governance, citizenship
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The 7 thematic priorities
 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
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The 7 thematic priorities
 Genomics and biotechnology for health
 Information Society technologies
 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
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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
 Nanotechnologies and nanosciences: long-term research,
supramolecular architectures and macromolecules, nanobiotechnologies, 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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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
 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)
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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 quality and safety
Epidemiology of food-related diseases and allergies
Impact of food on health
‘Traceability’ processes all along the production chain
Methods of analysis, detection and control
Safer and environmentally friendly production methods and healthier
foodstuffs
 Impact of animal feed on human health
 Environmental health risks





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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
 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
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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
 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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The 8th Priority:
Specific activities covering a wider field of research
 7 thematic priorities
 Specific activities covering a wider field of research :
 Supporting policies and anticipating scientific and technological
needs: activities in support of EU policies and research responding to new
and emerging needs (annual programming)
 Horizontal research activities involving SMEs: to boost technological
capacities of SMEs in traditional or new areas and develop their ability to
operate internationally (co-operative and collective research)
 Specific measures in support of international co-operation:
developing countries, Mediterranean countries including the Western
Balkans; Russia and the CIS
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International co-operation activities
 Participation of third countries in the thematic
priorities
&
 Specific activities (in support of the EU’s foreign
policy and development aid policy)
Third countries : countries which are not members of the EU and not
associated with the Framework Programme.
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SMEs
 General activities
At least 15% of the total budget allocated to SMEs
Taking into consideration specific regional economic and social
situations
Support for technological needs of SMEs
 Specific activities
‘Co-operative research’: carried out by research centres for SMEs or
by high-tech SMEs in collaboration with research centres and
universities
‘Collective research’: carried out by research centres for industrial
associations or industry groupings in entire sectors of industry
dominated by SMEs
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Sixth Framework Programme
II. Structuring the ERA
Budget
(€ million)
1. Research and innovation
2. Human resources
3. Research infrastructures
4. Science and society
290
1 580
655
80
Total
2 605
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Structuring the ERA:
four categories of activity
 Research and innovation
 Networking the players and users
 Encouraging trans-regional co-operation
 New tools and approaches concerning technological innovation
 Putting services in place and consolidating them (CORDIS)
 Economic and technological intelligence
 Analysing innovation in EU-funded research projects
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Structuring the ERA:
four categories of activity
 Research and innovation
 Human resources and mobility
 Host-driven actions: MC (Marie Curie) research training
networks, MC host fellowships for early stage research
training, MC host fellowships for the transfer of knowledge,
MC conferences and training courses
 Individual-driven actions: MC intra-European fellowships,
MC outgoing/incoming international fellowships,
 Excellence promotion and recognition: MC excellence
grants, MC excellence awards, MC chairs
 Return and reintegration mechanisms
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Structuring the ERA:
four categories of activity
 Research and innovation
 Human resources and mobility
 Research infrastructures
 Transnational access to research infrastructures
 Integrating activities
 Communication network development
 Design studies
 Development of new infrastructures
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Structuring the ERA:
four categories of activity




Research and innovation
Human resources and mobility
Research infrastructures
Science/society
 Bringing research closer to society: science and
governance, scientific advice and reference systems
 Responsible research and application of science and
technology: ethics, uncertainty, risk, precautionary principle
 Stepping up the science/society dialogue and women
in science: public understanding, young people’s interest in
scientific careers, women and science
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Sixth Framework Programme
III. Strengthening the
foundations of the ERA
Budget
(EUR million)
1. Support for the coordination of
activities
2. Coherent development of research
and innovation policies
270
Total
320
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50
36
Strengthening the foundations of ERA:
two categories of activity (I)
 Support for the co-ordination of activities (all S&T fields
eligible / some examples below):
 Co-ordination of national activities in areas such as:
 Health: major diseases, diseases linked to poverty, development of
European databases, co-ordination of clinical trials etc.
 Biotechnology: non-health and non-food applications
 Environment: urban environment, marine environment, seismic risk
 Energy: new generation of power plants, energy storage etc.
 Co-ordination at the European level
 Other co-operation frameworks (COST etc)
 Joint initiatives of specialised European scientific organisations (CERN, ESA?
ESO, EMBL etc)
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Strengthening the foundations of ERA:
two categories of activity (II)
 Coherent development of research and innovation
policies in Europe
 Analyses and studies (foresight, indicators etc.)
 Benchmarking of research and innovation policies
 Mapping excellence in Europe
 Regulatory and administrative environment for research and innovation
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Three new instruments
 Networks of excellence
 Integrated projects
 Programmes implemented jointly
In priority thematic areas, the new instruments:
 Will be used from the start of FP6
 As a priority means, while maintaining the use of
specific targeted projects and co-ordination actions
 Will be assessed in 2004
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Framework programme 2002-2006:
New priority instruments
 Networks of excellence
– Lasting integration of research capacities / Implementation of joint
programmes or activities
– Genuine ‘virtual centres of excellence’ / Operational autonomy
– Gradual integration of work programmes / Selected on the basis of
calls for proposals
 Integrated projects
– Actions with a real European scope / Involving significant mobilisation
of stake-holders
– High level of autonomy / Implemented through overall financing plans
– Selected on the basis of calls for proposals
 Programmes carried out jointly
– Financial participation in national programmes carried out jointly
(article 169 of the Treaty)
– Specific implementation structure
– Development or running of common infrastructures
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Additional instruments
 Specific targeted research or innovation
projects
 Specific research projects for SMEs
 Actions to promote and develop human
resources and mobility
 Co-ordination actions
 Specific support actions
 Integrated infrastructure initiatives
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Other instruments
 Specific targeted research or innovation projects:
 Specific targeted research projects: to improve competitiveness;
need to be sharply focussed; either a RTD project (to gain
knowledge) or a demonstration project (to prove the viability of
new technologies which cannot be commercialised directly)
 Specific targeted innovation projects: to test, validate and
disseminate new innovation concepts and methods
 Specific research projects for SMEs
 Actions to promote and develop human resources
and mobility
 Co-ordination actions
 Specific support actions
 Integrated infrastructure initiatives
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Other instruments (continued)
 Specific targeted research or innovation projects
 Specific research projects for SMEs
 Co-operative research projects undertaken for the benefit of a
number of SMEs on themes of common interest
 Collective research projects carried out for industrial associations or
industry groupings in sectors where SMEs are prominent
 Actions to promote and develop human resources
and mobility
 Coordination actions
 Specific support actions
 Integrated infrastructure initiatives
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Other instruments (continued)
 Specific targeted research or innovation projects
 Specific research projects for SMEs
 Actions to promote and develop human resources
and mobility
 To promote training, development of expertise or transfer of
knowledge
 To support actions undertaken by individuals, host structures
(including training networks) and European research teams
 Coordination actions
 Specific support actions
 Integrated infrastructure initiatives
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Other instruments (continued)
 Specific targeted research or innovation projects
 Specific research projects for SMEs
 Actions to promote and develop human resources
and mobility
 Coordination actions
 To support co-ordinated initiatives undertaken by a range of
stakeholders involved in research and innovation (with the aim
of improving integration)
 Actions: conferences, meetings, studies, exchange of personnel,
exchange of good practices, information systems, expert groups
etc
 Specific support actions
 Integrated infrastructure initiatives
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Other instruments (continued)
 Specific targeted research or innovation projects
 Specific research projects for SMEs
 Actions to promote and develop human
resources and mobility
 Coordination actions
 Specific support actions
 To complement FP6 implementation
 To prepare future RTD activities (monitoring, assessment, etc)
 Actions: conferences, meetings, studies, awards, information
and communication activities, support of research
infrastructures (e.g. feasibility studies) etc
 Integrated infrastructure initiatives
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Other instruments (continued)
 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
 Integrated infrastructure initiatives
 To reinforce and develop research infrastructures in order to
provide services at European level
 Must combine networking activities with support (e.g.
transnational access) or research (e.g. to improve performance)
 Financing for new infrastructures is excluded (see ‘Specific
support actions’)
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Sixth Framework Programme
(Euratom)
Framework programme Euratom
1. Management of radioactive waste
2. Controlled thermonuclear fusion
Budget
(EUR million)
90
750*
3. Radiation protection
50
4. Other activities
50
4. Activities of the Joint Research
Centre
Total
* including EUR 200 million for participation in ITER
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290
1 230
48
EURATOM activities
 Waste treatment and storage:
– Long-term storage etc.
– Reducing the impact of waste and the hazards associated with waste etc.
 Controlled thermonuclear fusion:
– Fusion physics and technology
– Activities related to ‘Next Step’/ITER
 Other activities:
– Radiation protection
– Safer processes for the exploitation of nuclear energy
 Joint Research Centre:
– Nuclear safety and security
– Measurements and reference materials
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The FP6 Timeline
21 February 2001
Commission’s proposal
30 May 2001
Specific programmes
14 November 2001
First reading at EP
10 December 2001
Political agreement at Council
28 January 2002
Common position at Council
15 May 2002
Second reading and approval at EP
3 June 2002
Adoption
11-12-13 November 2002
Launch conference (Brussels)
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Participation
Who can participate?
 Every legal entity
 New: Associated candidate countries =
Member States (MS)
 New: International European interest
organisations = MS
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Rules for participation
 Funding mechanisms: 'grant for integration' (for networks of
excellence) and 'grant to the overall budget' (integrated projects), i.e.
the financing principle will no longer be the 'eligible costs'
 Mainly on-going and ex-post control (rather than ex-ante);
 Changes in partnerships (addition or withdrawal) may be decided by
partners, with tacit agreement by the Commission
 Candidate countries associated to the FP will participate under same
conditions as EU Member States;
 European research organisations (e.g. CERN, ESA, EMBO, etc.) will be
treated as any entity from member states;
 Intellectual Property Rights (IPR) rules simplified; relevant agreements
to be established by consortium partners.
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Evaluation
Same principles as in FP 5:
Transparency
Equal treatment
Impartiality
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Funding
Three different systems:
Grant to the budget
Grant for integration
Flat-rate
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Control and Sanctions
Objective:
 Reinforcing ex-post controls
 To simplify and streamline ex-ante controls
 As a counterbalance to increased autonomy for participants
Sanctions:
 Exclusion criterion: financial irregularity
 Recovery decisions (art. 256 EC Treaty)
 Other sanctions in contracts
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Intellectual Property Rights (IPR)
Complete and comprehensive in one document
Based on:
 Experience with FP 5 rules
 Consultation with academia and industry
As in FP 5:
 Participants own results they have generated
 Emphasis on use of results, dissemination if appropriate or if
results are not used
 SMEs own results generated in SME-activities
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A Regional Dimension for
the ERA
 Concept identified in all ERA related
Communications as important / Special
Communication on the Regional Dimension
adopted 03/10/01 (COM(2001)549)
 Need to paying more attention to local and
regional factors and operators, when thinking
about research policy - a message primarily
addressed to the Member States
 Involve more the Member States and the
regions in a European Policy context
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ERA: what role for the
regions ?
 An active role: supportive, pro-active,
based on public-private partnerships,
strengthening actors, providing
infrastructure and means, bridging the
gap between knowledge creators and
knowledge users
 Not just concentrated in a fund-absorption
model
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Specific implementation measures in FP6
relevant to the Regional Dimension
(2002-2006)
 Regions as direct or indirect partners in the major new instruments
(NoE or IP)
 Strengthening the ERA foundations: the ERA-NET scheme: support for
coordination measures at national or regional level
 Strengthening the ERA foundations: Coherent development of research and
innovation policies (analysies, studies, benchmarking)
 Structuring the ERA: Research and Innovation
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

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
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encouragement and validation of local and regional initiatives
encouraging trans-regional co-operation
experimenting with new tools and approaches
SMES (collective / cooperative research; technology intelligence studies)
Human Potential: special grants favouring less developed regions
The possibility of complementing the Framework Programme funding of a given
action with funding from the Structural Funds in Objective 1 regions (but
respecting fully the scientific excellence criteria when selecting projects for
funding).
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Specific direct measures in the 6th FP on regions:
Strengthening the ERA foundations,
the ERA-NET scheme
 Support for the co-ordination of activities programmes, instruments, plans or other
initiatives undertaken at regional level,
involving public funding to support RTD work,
the development of research capabilities, and
the promotion of innovation
– co-ordination of independent activities including
their mutual opening
– preparation and management of joint activities
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ERA-NET objectives
Step up cooperation of research
activities carried out at national or
regional level in the MS and the
associated states, through:
– networking of RTD activities conducted at
national or regional level
– mutual opening of national and regional
research programmes
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ERA-NET content
 Strategically planned or executed at N or R levels
 financed or managed by N or R public bodies or
structures closely related to or mandated by public
authorities
 networking does not involve transnational flows of
national funding
 mutual opening involves mutually organised
transnational flows of national funding
 all S&T fields
 Info exchange, strategic activities, implementation of
joint activities, transnational RTD activities, mutual
opening
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ERA-NET financial aspects
 Community contribution limited to the
coordination costs of additional activities up
to 100%, could reach 2 MEUR per project
(instrument used: coordination action);
duration: up to 5 years
 Preparatory actions possible (max 1 year); up
to 200 KEUR (instrument: specific support
action)
 Contact: [email protected]
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NoE - IP: benefits for the regions (I)
Reinforcement and integration of
existing or developing scientific
excellence in all EU regions
 strong programming character
 better connectivity between central and
peripheral hubs of scientific competence,
 increased opportunities for
collaboration, staff mobility, information
and knowledge exchange
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NoE - IP: benefits for the regions (II)
 positive spill-overs to the local and regional economies
 strong barriers against interregional brain-drain (scientists
moving from less favoured to richer regions).
 Ability to build multi-polar areas of innovation
 excellence, supporting indirectly local development and
economic growth, thus contributing to regional population
stability
 Regional bodies may be associated in transnational partnerships
to develop specific projects, of a substantial scale, aiming at
integrating scientific and technological efforts.
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The challenge of Enlargement
 R&D policy priorities:
– human resources
– research infrastructures
– integrated research and innovation strategies
(including at regional level)
– framework conditions / synergies with education
and training / business environment / risk capital
– linkage between knowledge institutions and the
economy, including technology foresight
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Find more on ERA and the FP
 General information on research:
http://europa.eu.int/comm/research
 General information on the Sixth
Framework Programme :
http://europa.eu.int/comm/research
/fp6/index_en.html
 Information on research programmes
and projects :
http://www.cordis.lu
 Information requests:
[email protected]
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Th@nk you
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