©M. Horvat, BIT, AT - Nr. 1 The Instruments Available for Participation in FP6 Manfred Horvat BIT -...

©M. Horvat, BIT, AT - Nr. 1

The Instruments Available for Participation in FP6

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


Contents

Consider the whole spectrum of instruments!The new instrumentsThe traditional instrumentsNetworks of ExcellenceIntegrated ProjectsArt. 169 Treaty“Stairways to excellence”Evaluation criteria


There are several possibilities to get benefit from FP6:

a number ofdifferent “Instruments” to

participate in FP6!


FP6: The new instruments

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

collective researchtraining and mobility of researchers

third countries fellowships, return fellowships,excellence measures

research infrastructures:feasibility studies, development costs

*) In priority thematic areas


FP6: The traditional instruments“stairways of excellence”:

specific targeted RTD projects (STREPs)coordination activities

specific measures for SMEsCRAFT: Cooperative Research Action for Technology

training and mobility of researcherse.g. Marie Curie fellowships, networks, training sites

research infrastructuresaccess, integration

Specific coordination actione.g. thematic networks, concerted actions

Specific support actionse.g. stimulation actions, economic and technological intelligence actions, studies,

conferences


New instruments in priority thematic areasNetworks of Excellence

to strengthen Europe‘s scientific and technological excellence

to act against fragmentationto network critical massto create „virtual centres of excellence“ by

mutual specialisation and durable integration of research capacities

to implement joint programme of activities (JPA)EU contribution: a grant for integration -

an incentive for change!


New instruments in priority thematic areas Networks of Excellence

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 and/or equipment

joint research activitiesmedium to long-term plan for joint research

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



Size: minimum of 3 partners from 3 different countries - normally larger (>6)!

Main aspects of JPA:advancing knowledge on a topicconsidering innovation, infrastructure, human resources &

training, science & society aspectsopening up to other EU, AS and 3rd countriesfostering the participation of womenconsidering science/society aspects

Duration: 5-7 years (sustainability!)



EU financial contribution:a new approach

not a „cost“ approachEU contribution targeted at

stimulating durable integration, willingness to change

overcoming organisational, cultural, human barriers

an „INCENTIVE“ for integration, organisational change, mutual specialisation



EU financial contributionoverall grant on the basis of the results from

implementation of a joint programme of activitiesseveral M€ a year (<25% of integrated resources)calculated on the basis of head count form

integration (20 k€ per researcher)annual payment on the basis of evaluated results

FP6: ~ 20% of budget for 7 (8) priorities for NoE ~ 100 to 125 NoE/FP6



Management aspects:a unified management structure institutional committment, e.g. „governing council“quality assurance: external experts, sci boardCommission: annual, mid-term review end of term

monitoring and reviewscientific, technological and financial monitoring, exploitation

and dissemination of results, ethical monitoring (continuous)managerial autonomy:

adapting JPAassociating new partners


Contents of NoE proposal

Objectives and strategic impactexcellence of the participants and

resources of the networkdegree of integration and the JPAorganisation and managementethics, safety and other issues


New instruments in priority thematic areas Integrated Projects

To strengthen Europe‘s competitiveness and/or to solve major societal challenges and problems

following clear objectives to generate scientific and technological knowledge required to implement priority themes

to contribute to creation of ERA by integrating the critical mass of activities and resources necessary to achieve objectives

„mini“-programmes or clusters of sub-projects



Size: minimum of 3 partners from 3 different countries - normally much larger!

Main characteristics: integrating different disciplinesintegrating of different types of organisations integrating different activities: basic & applied research,

development & demonstration as appropriate, training, IPR, specific measures to encourage SME participation

managerial autonomy: adapting the work programmes, associating new partners, launching Calls for Proposals/Candidature

Duration: 3-5 years (limited in time)



EU financial participationgrant to the budget up to 50% of total actual costs for R&D

(possibly inculding public/private funding, EUREKA, EIB, EIF, etc.)

up to 35% for demonstration activitiesup to 100% for training may be several tens of M€ a year

justification of costs by auditor

FP6: ~70% of budget for them. Priorities for IPthere may be only 400 to 500 IP in FP6


Content of IP proposal

Objectives and expected impactimplementation plan and associated

budgetthe consortium and the project resourcesproject managementexploitation and dissemination plansethics, safety and other issues


New instruments in priority thematic areasNetworks of Excellence & Integrated Projects

Summary of main characteristics:Size: Participants from at least 3 different countries (MS or AS, min. 2 MS or candidate countries) - typically larger!organised around core group of participantsEC contribution: several M€/yearDuration of NoE: long lasting associations, beyond period of EU support (5-7 years)Duration of IP: fixed period according to project needs (3-5 years)


New instruments in priority thematic areasNetworks of Excellence & Integrated

ProjectsImplementation: 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 months onlypossibility to update of the overall plan depending on

requirements of the progress of the projectChanges in consortium:

consortium can decide to take new participants Commission may launch calls to add activities and

participants (with additional funding)


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Results from the 2002 EoI-Exercise


New instruments: Article 169 TreatyCommunity participation in/contribution to

reseach programmes carried out jointly by a number of member states

potentially most powerful instrument:integrate national programmes, butdifficult to apply (?):each programme requires a co-initiative of national

programmes, a Commission proposal andlong and complex co-decision procedure (Council,

European Parliament)

Commission is preparing pilot proposal!


New instruments: Article 169 TreatyEU participation in national programmes carried out

jointlyClearly identified programmes of governments or

national/regional research (funding) organisationsjoint implementation: specific implementation structure programmes opened to other European countries: EU

may contribute to participation of researchers from those countries

a need for exploratory work and consultationEU financial contribution:

grant to the budgets of jointly executed activities; up to 50% of total costs


„Stairway of excellence“Specific Targeted Research Projects (STREP) and

Coordination ActionsTo 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)Will be used degressively as FP6 proceeds

subject to independent evaluation in 2004


Specific targeted res. projects (STREP)Sharply focused projects

to improve competitivenessResearch 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)

EU financial contribution:grant up to 50% of budget


Content of STREP proposal

Objectives and expected impactWork plan and associated budgetThe consortium and the project resourcesProject managementExploitation and dissemination plansethics, safety and other issues


EU financial contribution for IP, STREP

Different cost models will be available for different types oforganisations depending on accountancy systemFull cost (FC), full cost flat rate (FCF), additional costs

(AC)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%

Additional cost participants will be supported at up to 100% of additional costs for all components of their project


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


Structuring the ERAResearch and innovation

Human resources

Research infrastructures

Science and society


Research and innovation

Networking the players and encouraging interaction Encouraging transregional co-operation Experimenting with new tools and approaches Putting services in place and consolidating them Stepping up economic an technological

intelligence Analysing and evaluating innovation in EC RTD

projects


Human Resources and Mobility

MC Research Training Networks MC Host Fellowships for Early Stage Training MC Host Fellowships for Transfer of Knowledge MC Conferences and Training Courses

MC Intra-European Fellowships MC Outgoing International Fellowships MC Incoming International Fellowships MC Re-integration Grants

MC Grants for excellent teams MC Excellence Awards MC Chairs

HostActions

IndividualActions

ExcellenceActions


Re-inforcing the BIT initiative: „Partnership for Research“

Strategic use of the MC Mobility Scheme:promoting Marie Curie fellows from Candidate

Countries to Austriapreparing a EU RTD project as integrated part of the

Marie Curie trainingpromoting Marie Curie fellows from Austria to

Candidate Countries

preparing the ground forlong-term cooperation


„Partnership for Research“:A strategic approach

Partnership Catalogue: more than 600 possible host organisations!

Web page:http://www.bit.ac.at/partnership

advertisments in newspaperse.g. Rzeczpospolita in Poland

“road show” e.g. Bratislava, Kosice, Cracow, Gdansk, Warsaw,

Budapest, Prague, Ljubjana, etc.

Co-operation of NCPs!


21.09.01: Bratislava, SK25.09.01: Kosice, SK01.10.01: Budapest, HU09.10.01: Brno, CZ09.10.01: Tallinn, EE11.10.01: Szeged, HU11.10.01: Riga, LV12.10.01: Pecs, HU15.10.01: Vilnius, LT16.10.01: Prague, CZ

17.10.01: Gdansk, PL23.10.01: Timisoara, RO25.10.01: Bukarest, RO06.11.01: Sczecin, PL07.11.01: Sofia, BG08.11.01: Wroclaw, PL14.11.01: Warsaw, PL15.11.01: Cracow, PL27.11.01: Maribor, SI28.11.01: Ljubljana, SI

Austrian Partnership for Research with the Candidate

Countries

The 2001 BIT „Road show“

Coordinator in BIT:Dr. Gerald Mueller-Niklas


Research Infrastructures

Integrated Initiatives (access, RTD, dissemination)

Communication Network DevelopmentTransnational AccessDesign Studies (<5-10% of total cost)Development of New Infrastructures


Science and Society

Bringing research closer to societyscience and governancescientific advice and reference systems

Responsible research & application of S&Tethicsuncertainty, risk and the precautionary principle

Stepping up the science/society dialogue and women in sciencepublic understandingyoung peoples’ interest in scientific carrierswomen and science


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

of innovationefficient management: resources, competencies,

organisational modalitiesRelevance to the objectives of the specific programmeEuropean 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 intellectual property (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 membership (training)prospects 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 research the degree of European added value in

programmes concerning the outermost regions the promotion of the competitivness of SMEs


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

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