Slide 1
The Sixth Research Framework
Programme of the European Union
Jean-Louis LAVROFFCounsellor
Head of Section Science and TechnologyTransport, Energy and Environment
Delegation of the European Commission to Russia
Jean-Louis. [email protected]
Jean-Louis LAVROFFCounsellor
Head of Section Science and TechnologyTransport, Energy and Environment
Delegation of the European Commission to Russia
Jean-Louis. [email protected], 10 February 2005
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Outline of the presentation
• 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?
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The research Policy of the European Union (I)The European Research Area
A blueprint for the future of research in Europe Broad support at the highest political, scientific and industrial levels Being implemented
European research
policy
National programmes
‘Open Coordination’
Framework programme
European organisations
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3.27
5.366.6
13.1214.96
17.5
0
2
4
6
8
10
12
14
16
18
20
1984-1987 1987-1991 1990-1994 1994-1998 1998-2002 2002-2006
€ Billion
The research Policy of the European Union (II) Budgets of the EU Framework Programmes
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ActivitiesBudget
(€ million)
1. European Community 16 270
2. Euratom 1 230
Total 17 500
The 6th FP Main Components (I)
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FOCUSING and INTEGRATING
European research
STRENGTHENING the foundations of the European Research Area
STRUCTURING the European Research Area
Concentration: on selected
priority research areas
Structuring effect: through a stronger link with national, regional and other
European initiatives
Coordination - Simplification
BASIC PRINCIPLESBASIC PRINCIPLES
The 6th FP RTDMain Components (II)
EUR 12585 M EUR 2605 M EUR 320 M
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The 6th FP RTD
Focusing and Integrating Research (I)
285
I. Focusing and integrating research
Budget (€ million)
1. Life sciences, genomics and biotechnology for health Advanced genomics and its applications for health Combatting major diseases
2 255 1 100 1 155
2. Information Society technologies 3 625 3. Nanotechnologies and nano-sciences, knowledge-based
multifunctional materials and new production processes and devices
1 300
4. Aeronautics and space 1 075 5. Food quality and safety 685 6. Sustainable development, global change and ecosystems Sustainable energy systems Sustainable surface transport Global change and ecosystems
2 120 810 610 700
7. Citizens and governance in a knowledge-based society 225 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
1 300 555 430
315 Total 12 585
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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
The 6th FP RTD
Focusing and Integrating Research (II)The 7 thematic priorities
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• Genomics and biotechnology for health
2. Information Society technologies (IST) 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
The 6th FP RTD
Focusing and Integrating Research (III)The 7 thematic priorities
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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
The 6th FP RTD
Focusing and Integrating Research (IV)The 7 thematic priorities
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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 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)
The 6th FP RTD
Focusing and Integrating Research (V)The 7 thematic priorities
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Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based
multifunctional materials, and new production processes and devices
Aeronautics and space5. 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
The 6th FP RTD
Focusing and Integrating Research (VI)The 7 thematic priorities
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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 risks6. 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
The 6th FP RTD
Focusing and Integrating Research (VII)The 7 thematic priorities
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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
The 6th FP RTD
Focusing and Integrating Research (VIII)The 7 thematic priorities
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7 thematic prioritiesSpecific 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, Western Balkans, Russia and the NIS (e.g. INTAS - 70 M€ out of 315 M€)
The 6th FP RTD
Focusing and Integrating Research (IX)Specific activities covering a wider field of research
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The 6th FP RTD
Structuring the ERA (I)
II. Structuring the ERABudget
(€ million)
1. Research and innovation 2902. Human resources 1 5803. Research infrastructures 6554. Science and society 80
Total 2 605
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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
The 6th FP RTD
Structuring the ERA (II)
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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
The 6th FP RTD
Structuring the ERA (III)
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Instruments (I)Three new ones
Networks of excellence Integrated projects Programmes implemented jointly
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Instruments (II)Three new ones
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
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Instruments (III)Three new ones
Networks of excellence Integrated projects (IP):
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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Instruments (IV)Other instruments
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
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Instruments (V)Other instruments
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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Instruments (VI)Other instruments
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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Instruments (VII)Other instruments
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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Instruments (VIII)Their use in throughout the Programme
Priority thematic areas: Networks of excellence (NoE) Integrated projects (IP) Specific targeted research projects (STREP)
Specific activities covering a wider field of research: Specific targeted research projects Specific research projects for SMEs
Structuring the ERA Specific targeted research and innovation projects Integrated infrastructure initiatives Actions to promote human resources and mobility
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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
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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)
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Financial Provisions (III)Reimbursement Rates for IPs
Maximum Reimbursement rates of Costs RTD / Innovation Demonstration Training
Management of the consortium
FCCONTRACTORS
50% 35% 100%100%
up to 7% of the contribution
FCF CONTRACTORS 50% 35% 100%100%
up to 7% of the contribution
ACFCONTRACTORS
100% 100% 100%100%
up to 7% of the contribution
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Rules for participation (I)
Candidate countries associated to the FP will participate under same conditions as EU Member States;
European research organisations (e.g. CERN, ESA, etc.) will be treated as any entity from member states;
Russia and the NIS are part of the INCO targeted Countries
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Rules for participation (II)Focusing and Integrating
INCO
Country
(DEV
(Russia and other NIS
Western Balkans
MED)
• may participate
• + minimum number of participants
• may receive a Community financial contribution
285 M€
to finance participation
in Thematic Priorities and in specific activities
covering a wider field of research
Possible financial contribution
(from the budget dedicated to Thematic
Priorities)
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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
Rules for participation (III)Minimum number of Participants
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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
Intellectual Property Rights – IPR (I)
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Intellectual Property Rights – IPR (II)
Access rights topre-existing know-how
Access rights toknowledge
If a participant needs them for carrying out its own work under the project
For carrying out the project
Royalty-free unless otherwise agreed
before signing the contract
Royalty-free
If a participant needs them for using its own knowledgeFor use
(exploitation + further research)
Non-discriminatory conditions to be agreed
Royalty-free unless otherwise agreed
before signing the contract
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)
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Same principles as in FP 5:
Transparency, equal treatment and impartiality
Core criteria & criteria for new instruments:
– To be specified and complemented in work programmes according to instrument and activity
Exclusion criteria:
– Violation of fundamental ethical principles
– Financial irregularities
Evaluation (I)
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Information (I)
General information on research: http://europa.eu.int/comm/research
Information on research programmes, calls and projects :http://fp6.cordis.lu/fp6/calls.cfm
Information requests:[email protected]
Get Support? Commission help desks National Contact Points
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Information (II)
Nat. Coord. M. E. Ugrinovitch [email protected] Health: Prof. A. Tonevitsky [email protected] IST: Prof. V. Mikhov [email protected] Nano: Prof. S. Pikin [email protected] Space Dr. S. Kulik [email protected] Aero Mrs L. Rostovsteva [email protected] Food: Prof V. Popov [email protected] Energy: To be re- confirmed Eco sys: Dr R. Perelet [email protected] Citizens: Dr V. Zavarukhin [email protected] SME: Dr M. Shubin [email protected] INCO Dr V. Khokhlova [email protected] Mobility: Dr L. Gokhberg [email protected]
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The 6th FP of RTD and its first calls (I)What is in for Russia?
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’.
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The 6th FP of RTD and its first calls (II)What is in for Russia?
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.
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4.Negotiate Participation in proposal
1.Understand basics
of 6th FP
3. Get in touch With potential
partners
2.Work out ideas for
participation
How to get involved in FP6? (I)
(Following steps:Submission of proposalEvaluation – ranking – Decision
for fundingNegotiation of proposalContracting)
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How to get involved in FP6 ? (II) Understanding the basics
• 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
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How to get involved in FP6 ? (III) Working out ideas for participation
• 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
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How to get involved in FP6 ? (IV) Negotiating participation in a proposal with the Coordinator and other partners
• 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)
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How to get involved in FP6 ? (V) Consortium Agreement
• Renewed importance due to the new legal and financial approaches
• Regulates internal organisation of consortium, such as i.a.: management of the project and allocation of the EC financing agreement on IPR access rights crisis management
• Compulsory except otherwise mentioned in the call for proposal
• Not signed nor approved by the Commission
• After or (preferably) before signing the contract but some decisions must be made by the participants before signature of contract (e.g. IPR issues)
• Non binding guidelines published by the Commission
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The End