Transcript Presentation - power point

European Commission - Directorate-General for Research
The Sixth
Framework
Programme
The Sixth
Framework
Programme
(2002-2006)
A new Research Framework Programme (FP) designed
to help realise the European Research Area (ERA)
www.cordis.lu/fp6/
europa.eu.int/comm/research/fp6/
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
What is the European Research Area?
 Long-term goal of ERA, launched at Lisbon summit
2½ years ago
to create a true “internal market” for research in Europe
 Why do we need ERA?
Europe will fall far short of its economic potential
unless
it
reverses
decades
of
technological
underperformance
but for that to happen, Europe must first tackle deeprooted structural weaknesses in its research and
innovation systems
hence ERA
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
What are these structural weaknesses?
 Underinvestment in the research system
both financial and human
particularly by the business sector
 Unfriendly environment for research and innovation
regulatory shortcomings
financial weaknesses
weak culture of entrepreneurship
networking failures
unfriendly social environment…
 Excessive fragmentation of public research
coupled to low levels of cooperation and coordination
between countries on policies and programmes
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
Why FP6 became a tool to realise ERA?
 The FP is the only funding arm of EU research policy
primary mission of new FP must therefore be to help
realise ERA
 Previous FPs had, however, a different mission
were not designed to tackle our structural weaknesses
were instead designed to support network-building
and high quality research
 though often failed to mobilise the critical mass needed to
achieve ambitious objectives of European dimension
were
also
overly
complex
and
bureaucratic in their implementation
excessively
 Therefore, to address its new mission, the concept of
the FP had to be totally rethought
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
Key features of FP6 (1)
 For its objective-driven thematic components
much greater concentration on a limited number of
topics of strategic importance to Europe
 where the research needs to be carried out at the European
level
using new more effective instruments capable of
mobilising the activities and resources necessary to
achieve ambitious objectives of European dimension
 integrated projects, networks of excellence, Article 169
Note: these new instruments are the principal innovation in the
thematic components of FP6
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
Key features of FP6 (2)
 Better balance between objective-driven thematic
research and actions to reinforce Europe’s research
base
expanded and better targeted training & mobility actions
new bottom-up action to support emerging S&T (“NEST”)
expanded support for research infrastructures
mainstreaming of most international
innovation and SME support measures
cooperation,
new science and society action
expanded range of measures to
coordination in research policy-making
support
open
new scheme (“ERA-NET”) to support the networking and
mutual opening of national programmes
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
Key features of FP6 (3)
 Simplified and streamlined implementation
to reduce overheads of participating
to speed up procedures
to increase flexibility and autonomy of contractors
 Full integration
countries
of
the
associated
candidate
research is first policy area where these countries are
fully integrated into the EU
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
FP6 budget
 €17.5 billion (compared to €14.96 billion in FP5)
an increase of 9% in real terms (a satisfactory result)
€ billion
Focusing and integrating Community
research (“thematic”)
13.345
Structuring ERA (“underpinning”)
2.605
Strengthening the foundations of ERA
(“coordinating”)
320
Euratom (“nuclear”)
1.230
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The Sixth
Framework
Programme
Integrating European Research (76%)
Structuring ERA
(15%)
Research
and
innovation

Human
resources
& mobility
Research
infrastructures
Specific activities
Citizens and governance …
Sustainable development …
Food quality and safety
Aeronautics and space
Nanotechnologies …
Information society …
Priority Thematic Areas(64%)
Life sciences …
European Commission - Directorate-General for Research
Structure of FP6*
Policy-oriented
research
New and emerging S & T
Specific SME activities
Specific international cooperation activities
JRC activities
Strengthening ERA foundations
(2%)
Science and
society
Coordination of national
activities
Support for policy
development
excluding Euratom (7%)
 of which, 15% for SMEs
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The Sixth
Framework
Programme
European Commission - Directorate-General for Research
Timetable of FP6
 February 2001
Commission proposals for FP6
 March 2002
Invitation to submit EoIs
 June 2002
EP/Council co-decision on FP6
 September 2002
Results of EoI exercise published
 September 2002
Council decisions on SPs
 17 December 2002
Initial calls for proposals
 March-June 2003
First deadlines
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European Commission - Directorate-General for Research
Instruments for
implementing
FP6 priority
themes
“Instruments for
implementing
FP6 priority
themes”
A classification of the instruments available
to implement the priority thematic areas
of the Sixth Framework Programme
europa.eu.int/comm/research/fp6/networks-ip.html
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European Commission - Directorate-General for Research
A wider range of better differentiated
instruments
Instruments for
implementing
FP6 priority
themes
 “New” instruments
integrated projects
networks of excellence
article 169 (joint implementation of national programmes)
 “Traditional” instruments
specific targeted research projects
coordination actions
specific support actions
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Instruments for
implementing
FP6 priority
themes
European Commission - Directorate-General for Research
Principles guiding their design
 Simplification and streamlining
to minimise the overheads for all concerned
to speed up procedures, especially time-to-contract
 Increased legal and financial security
to avoid weaknesses of FP5 instruments
 Flexibility and adaptability
to enable projects to adapt to changing circumstances,
both in the science and in the partnership
 Increased management autonomy
to eliminate unnecessary micromanagement
 While preserving public accountability and protecting
interests of the Community
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Instruments for
implementing
FP6 priority
themes
European Commission - Directorate-General for Research
Integrated projects
 Designed to generate the knowledge required to
implement the priority themes of FP6
by integrating the critical mass of activities and
resources needed
to achieve ambitious clearly defined scientific and
technological objectives
 Essentially therefore an instrument for supporting
objective-driven research of a European dimension
where the main deliverable is new knowledge
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Instruments for
implementing
FP6 priority
themes
European Commission - Directorate-General for Research
Networks of excellence
 Designed to strengthen Europe’s excellence on a
particular research topic
by integrating the critical mass of expertise needed to
provide European leadership and be a world force
through a joint programme of activities
 aimed primarily at creating a durable integration of the
research capacities of the network partners
 Essentially therefore an instrument for tackling the
fragmentation of European research
where main deliverable is a durable structuring and
shaping of how research is carried out in Europe
 Each NoE also has a mission to spread excellence
where training is an essential component
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Instruments for
implementing
FP6 priority
themes
European Commission - Directorate-General for Research
Article 169
 Enables the Community to participate in research
programmes carried out jointly by a number of MS
 Potentially a most powerful instrument
169s integrate national programmes
 However, may be difficult to use in large numbers
each requires a co-initiative by national programmes
and the Commission to generate a proposal
followed by long and complex decision-making,
involving a co-decision of Parliament and Council
 So far untried
the Commission has now presented a pilot proposal
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Instruments for
implementing
FP6 priority
themes
European Commission - Directorate-General for Research
“Traditional” instruments
 Retained to smooth the transition from FP5 to FP6
particularly for smaller research actors, including SMEs,
and for participants from candidate countries
 Also to support research activities of more limited
scope and ambition
 Three “traditional” instruments
specific targeted research projects
 evolved form of FP5 RTD and demonstration projects
coordination actions
 evolved form of FP5 concerted actions/thematic networks
specific support actions
 evolved form of FP5 accompanying measures
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Instruments for
implementing
FP6 priority
themes
European Commission - Directorate-General for Research
Classification of the instruments
Instrument
Purpose
Primary
deliverable
Scale
IP
objectivedriven research
knowledge
med-high
NoE
tackle
fragmentation
durable
structuring
med-high
169
joint MS
programmes
knowledge and/or
structuring
high
STRP
research
knowledge
low-med
CA
coordination
coordination
low-med
SSA
support
support
low
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European Commission - Directorate-General for Research
FP6
Integrated
Projects
“FP6
Integrated
Projects”
A new instrument for supporting objective-driven research
of European dimension
(as of November 2002)
europa.eu.int/comm/research/fp6/networks-ip.html
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What is their purpose?
 Designed to generate the knowledge required to
implement the priority themes
by integrating the critical mass of activities and
resources needed
to achieve ambitious clearly defined scientific and
technological objectives
 Essentially therefore an instrument for supporting
objective-driven research of a European dimension
where the main deliverable is new knowledge
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What activities can be supported?
 Activities integrated by an IP may cover the full
research spectrum
must contain a research component
may contain
technological
demonstration components
development
and
may contain a training component
must ensure the effective management of knowledge,
and when appropriate its exploitation
 all within a unified project management structure
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What is the scale of critical mass?
 Concerning resources: each IP must assemble the
critical mass needed to achieve its ambitious goals
activities integrated may range up to € several tens of
millions
 but no minimum threshold, provided necessary ambition and
critical mass is achieved
 Concerning its partnership: minimum
participants from three different countries
of
three
but in practice likely to be substantially more
 Concerning its duration: typically three to five years
but more if necessary to deliver its objectives
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What type of financial regime?
 Community support will be in the form of a “grant to
the budget”
 Paid as a contribution to actual costs
that are necessary for the project
determined according to the
conventions of each participant
usual
accounting
recorded in the accounts of the participants
 or, if provided in the contract, in the accounts of third parties
excluding indirect taxes, interest…
(Note: As each participant is free to use its own accounting conventions,
there will be no pre-defined cost categories as in FP5.)
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What are the cost models?
 A family of three simplified cost models
FC:
full direct and full indirect costs
FCF:
full direct costs plus 20%
subcontracts) for related indirect costs
(excluding
ACF: additional direct costs plus 20% (excluding
subcontracts) for related indirect costs
 The FCF model will be an option for SMEs only
 The ACF model is available only for public bodies
and individuals
(Note: An organisation will normally use the same model in all FP6
instruments.)
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What are the rates of support?
 For full-cost participants, maximum rates are
50% for RTD components
35% for any demonstration component
100% for any training component
100% for consortium management
 ACF participants are supported at up to 100% of
additional costs for all components of the project
except for consortium management, which may be at
100% of full costs
 Consortium management costs chargeable at 100%
may not exceed 7% of the Community contribution
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
What is the payments regime?
 Annual advances
 Annual settlement of payments
each participant to provide a summary cost statement
supported by
 a management-level justification of costs
 a certificate by an independent auditor stating the total costs
incurred
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
Flexibility and autonomy of
implementation
 For the implementation plan, each year, the consortium
proposes a detailed plan for the coming 18 months
and may propose to update the overall plan
 both need approval of the Commission to enter into force
 For the Community contribution
the contract will not specify its distribution between
participants nor between activities
 For changes in the consortium
the consortium may itself decide to take in new
participants (though without additional funding)
 the contract will specify when this must involve a competitive call
the Commission may decide to launch calls to add
activities and participants (with additional funding)
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FP6
Integrated
Projects
Payments and reporting schedule
European Commission - Directorate-General for Research
(example of a 4 year contract)
Activity report
Reported costs
Activity report
Detailed work plan
Reported costs
Adjusted advance
Activity report
Detailed work plan
Reported costs
Adjusted advance
Activity report
Detailed work plan
Reported costs
Adjusted advance
Detailed work plan
Initial advance
0
6
12
18
24
30
36
42
48
Months
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FP6
Integrated
Projects
European Commission - Directorate-General for Research
Evaluation process
 Simplified proposal-making
reflecting evolutionary nature of the project
 Evaluation by a strengthened peer-review system
possibly involving two-stage
hearings of applicants…
submission
and
 Key evaluation criteria include
S&T excellence of the proposed project
scale of ambition and potential impact
critical mass in terms of both activities and resources
effectiveness of knowledge management
quality of project management
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European Commission - Directorate-General for Research
Networks
of
Excellence
“FP6
Networks
of
Excellence”
A new instrument for tackling the fragmentation
of European research
(as of November 2002)
europa.eu.int/comm/research/fp6/networks-ip.html
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Networks
of
Excellence
European Commission - Directorate-General for Research
What is their purpose?
 Designed to strengthen Europe’s excellence on a
particular research topic
by integrating the critical mass of expertise needed to
provide European leadership and be a world force
through a joint programme of activities
 aimed primarily at creating a durable integration of the
research capacities of the network partners
 while at the same time advancing knowledge on the topic
 Essentially therefore an instrument for tackling the
fragmentation of European research
where the main deliverable is a durable structuring and
shaping of how research is carried out in Europe
 Each NoE also has a mission to spread excellence
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Networks
of
Excellence
European Commission - Directorate-General for Research
What is a joint programme of activities?
 The JPA consists of a range of “additional” activities
integrating activities
 coordinated programming of the partners’ activities
 sharing of research platforms/tools/facilities/infrastructure
 joint management of the knowledge portfolio
 staff exchanges, possibly relocation of staff and equipment
 reinforced electronic communications
joint research activities
 a programme of joint research to support the network’s goals
activities to spread excellence
 training programme of researchers and other key staff
 dissemination and communication
all within a unified management structure
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Networks
of
Excellence
European Commission - Directorate-General for Research
What is the scale of critical mass?
 Concerning expertise: the network must assemble the
critical mass needed to achieve its ambitious goals
will vary from topic to topic
larger networks may involve several hundreds of
researchers
 but networks may be much smaller, provided necessary
ambition and critical mass is achieved
 Concerning its partnership: in general at least six
legal minimum of three from three different countries
 Concerning duration of Community support: typically
five years
but up to seven years, if justified to create a durable
integration
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Networks
of
Excellence
European Commission - Directorate-General for Research
What type of financial regime?
 Community support targeted at overcoming the
barriers to a durable integration
barriers are mainly organisational, cultural and human
 cannot be quantified in normal accounting terms
 Has led to the concept of providing an incentive for
integration
taking the form of a fixed grant
calculated mainly on basis of number of “researchers”
 that make up the research capacities of the partners on the
topic of the network
 where a “researcher” has a PhD or at least four years
research experience
with a bonus for registered doctoral students
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Networks
of
Excellence
European Commission - Directorate-General for Research
Illustrative grant calculation
 The average annual grant to a network could vary
with the number of “researchers” as follows:
50 researchers
100 researchers
150 researchers
250 researchers
500 researchers
1000 researchers and above
€ 1 million/year
€ 2 million/year
€ 3 million/year
€ 4 million/year
€ 5 million/year
€ 6 million/year
(for intermediate numbers, the grant would be calculated
by linear interpolation)
 In this illustration, a network of 200 “researchers”
supported over 5 years would be granted €17.5
million (plus any bonus for doctoral students)
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Networks
of
Excellence
European Commission - Directorate-General for Research
What is the payments regime?
 Annual advances
 Annual settlements paid on the basis of results
i.e. will depend on a progressive advance towards a
durable integration
with an additional check that costs greater than the
value of the grant are incurred in implementing the JPA
 A results-based payments regime necessitates a
robust system of output monitoring
with annual reviews, involving external experts
 triggering a yellow flag/red flag, if a review is failed
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Networks
of
Excellence
European Commission - Directorate-General for Research
Flexibility and autonomy
 For the JPA, each year, the network
proposes a detailed JPA for the coming 18 months
and may propose to update the overall JPA
 both need approval of the Commission to enter into force
 For the allocation of the Community grant
the partnership will have freedom to distribute it
between partners and between activities
 For changes in the network partnership
the partnership may itself decide to take in new
partners (though without additional financing)
the Commission may decide to launch calls to add
partners (with additional financing)
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Networks
of
Excellence
European Commission - Directorate-General for Research
Evaluation process
 Simplified proposal-making
reflecting evolutionary nature of the network
 Evaluation by a strengthened peer review system
possible two-stage submission, hearings of applicants…
 Key evaluation criteria include
potential impact on strengthening Europe’s excellence
 extent, depth and lasting nature of the expected integration
 ability of the JPA to deliver this integration
collective excellence of the network partners
contribution to spreading excellence
management and governance of the network
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Networks
of
Excellence
European Commission - Directorate-General for Research
Governance of the network
 A network’s governance must ensure institutional
engagement by the partner organisations
through e.g. a “governing council”
representatives from the partners
of
senior
 to facilitate the integration of the partners’ activities
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