kg in athens 19-12-2002 - 1 introduction to ist and the new instruments of the 6th framework...
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KG in Athens 19-12-2002 - 1
Introduction to IST and the new instruments of the 6th Framework
Programme
Kostas Glinos
Future and Emerging TechnologiesIST Programme
Introduction to IST and the new instruments of the 6th Framework
Programme
Kostas Glinos
Future and Emerging TechnologiesIST Programme
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Source: European Commission, Key Figures 2000
5.1
7.4
8.9
2.0
2.6
3.2
200019951990
RTD expenditurein % of GDP
Nbr of scientists & engineers per 1,000 labour force
Nbr of patents permillion population (1998)
32
4988
0
20
40
60
80
100
The Competitive Race to Knowledge Where is Europe ?
• Public R&D investment in the EU: 120 B€/yr• just 50% of the US effort• the gap is widening since 1995
• Example R&D ICT investment: US invest 3 x more !• 52% of RTD effort in ICTs in OECD countries is in the
US• only 17% in Europe (22% in Japan)
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Economic Performance vs R&D Investment Europe’s Variety
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“EU: Largestknowledge-basedeconomy by 2010”
Research Policy: gaining momentum
Lisbon Strategy 2010
FP6, Eureka, COST,national R&D programmes
… towards an Information
Society for all
Broadband access, e-business, e-government, security, skills, e-health, ...
… towards a ‘single market for research’
European Research Area
Barcelona, June 2002:increase EU R&D spendingto 3% of GDP
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Europe Needs More & Better R&D
• More human resources for S&T• More excellent centres of public research
• with improved links to business
• Better & more efficient IPR protection
• Better access to finance in all stages of R&D & innovation• e.g. technology start-ups
• Market for R&D support measures• subsidies & fiscal incentives for private RTD
• loans & grants via e.g. EIB
Commission Communication: COM (2002)499 final„More research for Europe“
Commission Communication: COM (2002)499 final„More research for Europe“
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• A policy tool and catalyst• not just a funding machine
• More “initiative”-thinking• New instruments, focused strategic objectives
• Strong focus on International Co-operation• 315 M€ for specific activities: Developing Countries,
Mediterranean & Western Balkans, Russia & NIS• 285 M€ for INCO in Priority Areas 1-8• additional funding under Human Resources & Mobility
• Clear support for SMEs• 430 M€ for SME-oriented research• > 15% of R&D activities in Priority Areas 1-7 by SMEs
• Support to ‘mobility of researchers’ doubled• Overhaul of R&D management
FP6 is Not Business as Usual!
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FP6 RationaleNew Instruments
To address fragmentation of RTD in Europe
• by bringing together cutting-edge scientific expertise at EU level
• by creating lasting scientific collaboration structures
• by building consensus on procedures & standards
Focused R&D
66
33
55
1
44
NoENoE
22
ResearchCentres
To generate new knowledge rapidly & efficiently
• targeted results• to have impact on EU competitiveness & quality
of life
To promote co-operation & co-ordination of RTD programmes (ERA)
• at European, national & regional level• to avoid overlap & achieve critical mass
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FP6 instruments
Instrument Primarydeliverable
Secondarydeliverable
Scale
IP
NoE
169
STREP
CA
knowledge
structuring
knowledge and
structuring
knowledge
coordination
structuring
knowledge
med-high
med-high
high
low-med
low
Instrument Primarydeliverable
Secondarydeliverable
Scale
IP
NoE
169
STREP
CA
knowledge
structuring
knowledge and
structuring
knowledge
coordination
structuring
knowledge
med-high
med-high
high
low-med
low
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Integrated Projects (1)
• Generate the knowledge required to implement the priority thematic areas of FP6• achieve ambitious, clearly defined S&T objectives• integrating a critical mass of activities &
resources• in a coherent management framework
• effective management of knowledge an essential feature
• Several Mio € to several 10x Mio €• 3 - 5+ years
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Integrated Projects (2)
• Activities• Objective-driven research• Demonstration components as
appropriate• Training• Dissemination• Exploitation assessment • Take-up measures• Society dialogue
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Networks of Excellence (1)
• Designed to strengthen Europe’s excellence on a particular research topic...• by integrating a critical mass of expertise• around a joint programme of activity• to achieve ambitious goals
• ... tackling the fragmentation of European research• to provide European leadership and be a world force• the main deliverable is a durable structuring of how
research is carried out in Europe
• NoEs should spread excellence beyond their partners
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Networks of Excellence (2)
• Duration: typically 5 years• more if necessary BUT no more than 7 years
• Allocation of the grant• freedom to distribute it between partners and activities
• Changes in partnership• the partners may themselves decide to take in new
partners (without additional funding) • the Commission may decide to launch calls to add
partners (with additional funding)
• Types of activities:• integrating research and training, exchanges of
personnel, joint infrastructures, dissemination, support to SMEs, …
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The 6th Framework Programme
INTEGRATING EUROPEAN RESEARCH
PRIORITY THEMATIC AREAS ANTICIPATING S/T NEEDS
Research for policy support
Frontier research, unexpected developments
Specific SME activities
Specific international cooperation activities
Geno
mic
and
bio
techno
log
y
for
healt
h
Info
rmati
on s
ocie
ty t
echno
log
ies
Nano
techno
log
ies,
inte
llig
ent
mat.
,
new
pro
du
cti
on p
rocess
es
Aero
nau
tics
and
sp
ace
Fo
od
safe
ty a
nd
healt
h
risk
s
Su
stain
able
develo
pm
ent
and
glo
bal
chang
e
Cit
izens
and
go
vern
ance
in t
he k
no
wle
dg
e s
ocie
ty
JRC activities
STRUCTURING THE ERA STRENGTHENING THE
FOUNDATIONS OF ERA
Research and innovation
Human resources & mobility
Research infrastructures
Science and society
Coordination of research activities
Development of research/ innovation policies
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Anywhere anytime natural and enjoyable access to IST services for ALL
Miniaturised, lowcost - low power com-ponents & µsystems
Natural interactionswith ‘ knowledge ’
Pervasive, mobile, wireless, trustful infrastructures
communic.& networking
Softwareµ, nano, optoelectronics
µ & nanosystems
knowledge technologies
interfaces
Applied IST for major societal and economic challenges
Trust &Confidence
IST for societal challenges
IST for economic challenges
Demanding applications
gen
eri
csp
ecifi
c
Bu
ild
ing
blo
cks
Inte
gra
tion
IST in FP6
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IST Workprogramme 2003-2004
• 23 “Strategic Objectives” + FET + RN• 2-year cycle, annual updates
• Not all topics called every year
• Include socio-economic research, links to nat’l projects and int’l co-operation activities
• For each objective: ~4-6 IPs/NoEs, some STREP, CA, SSA
• Implementation plan• Calls & deadlines• Instruments (70 % of budget to new instruments)• Budget
• Evaluation & selection criteria
• Indicative budget2003: 835 M€ 2004: 891 M€
2005: 935 M€ 2006: 964 M€
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IST Workprogramme topicsRationale
• Building on Europe’s strengths, e.g.• Micro-electronics & microsystems• Mobile and wireless• Embedded systems,...
• Exploiting opportunities and responding to needs• Advanced interaction• Grid computing• Context-aware knowledge handling,...
• Enabling ‘pull-through’ applications & services for 2010• For networked business & governments, e-health,
transport safety, product & services engineering• Networked AV systems & home platforms
ISTAGrecommendations
Towards Ambient Intelligence
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IST Workprogramme 2003-2004Preparing for post-CMOS
Micro & nano systems
Broadband access for all
Mobile & wireless systems beyond 3G
Towards a global dependability& security framework
Multimodal interfaces
Semantic-based knowledge systems
Networked AV systems& home platforms
Networked businesses & governments
eSafety of road & air transports
eLearning & access to cultural heritage
eHealth
Products and Services engineering 2010
FET Proactive Initiatives
General Accompanying Measures
Call 1
Advanced displays
Optical, opto-electronic & photonicfunctional components
Open development platforms for software & services
Cognitive systems
Embedded systems
Applications & services for the mobile user & worker
Cross-media content for leisure & entertainment
GRID-based systems for solving complex problems
Improving risk management
eInclusion
Research Networking test-beds
General Accompanying Measures
Call 2
Continuous CallFET-Open
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• 1st Call:• Open 17 December 2002 – Close 24 April 2003• One-step evaluation (except for P&S eng’g)• All instruments (except for FET Proactive)
• 2nd Call:• Open June 2003 – Close October 2003• One-step evaluation • All instruments
• 3rd Call• 1st quarter 2004?
• Continuous submission (FET Open only)• Guichet opens 10 February• 2-step submission & evaluation• Only STREP, CA, SSA
IST Calls & Dates
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Evaluation criteria for IPs• Relevance (T = 3)• Potential impact (T = 3)
• Ambition, use of results, European added value
• S&T excellence (T = 4)• Clarity of objectives, progress beyond SOTA, approach
• Quality of consortium (T = 3)• quality, complementarity, industrial involvement, suitability and
commitment of partners
• Quality of management (T = 3)• quality, structure, management of knowledge
• Mobilisation of resources (T = 3)• critical mass, integration, financial plan
Overall threshold : 24/30 !
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Evaluation criteria for NoEs
• Relevance (T = 3)• Potential impact (T = 3)
• Ambition, strategic need, structuring impact, European added value, “spreading excellence”
• Excellence of participants (T = 3)• individual excellence, suitability, critical mass
• Degree of integration and JPA (T = 4)• depth and durability of integration, adequacy of JPA
• Organisation and management (T = 3)• quality, structure, plan for gender equality
Overall threshold : 20/25 !
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Proposal preparation & submission
• Proposal submission• Only 2 parts (A & B)• Non-anonymous (except for FET Open short)• Part B structured following evaluation criteria• For IP/NoE, detailed workplan/JPA for first 18 months
• Evaluation process• Eligibility checks• Individual readings (3-5 evaluators)• Consensus• Hearings (for IP/NoE only)• Panel
• Remote evaluation possible
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Participants
Legal entities in Member States, Associated States, JRC on same footing
At least three independent legal entities from three different MS or AS (at least two MS or Associated Candidate States)
SSA and human resources and mobility actions (except training networks): may have single entity
European Economic Interest Groups (EEIG) may be the sole participant
Legal entities from third countries and international organisations
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Contracts: Key changes
• Contract can enter into force upon signature of coordinator only
• Calls for proposals for new contractors• Collective (limited) financial responsibility• Compulsory consortium agreement• No cost categories• Periodic advances up to 85%
• 80% when no collective responsibility
• New FCF model
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Costs
Costs must be : actual, economic and necessaryincurred during the duration of the projectrecorded in the accountsfollow contractors own accounting rules
and must exclude indirect taxes, duties, interests, costs reimbursed in respect of another project, and not give rise to profit
Audit certificates by external auditor - in some instruments for each partner, each year (IP/NoE)for public bodies - competent public auditor
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Costs Models
FC: actual direct and indirect costs
FCF (variant of FC): actual direct costs + flat rate for indirect costs
ACF: actual additional direct costs + flat rate for indirect costs
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1. Under the condition that the costs of the project are superior to the contribution. Should the costs of the project be equal to or lower than the contribution, the reimbursement rate will be readjusted.
Reimbursement
rates of
costs
Research & technological development
/ Innvation
Demonstration Training Management of the consortium
Other specific
activities defined in
Annex INetwork of Excellence
Integrated project 50% 35% 100%100%
up to 7% of the contribution
Specific targeted research or innovation project
50% 35%100%
up to 7% of the contribution
Specific research project for SMEs
50%100%
up to 7 %f the contribution
Integrated infrastructure initiative
50% [35% ?]100%
up to 7% of the contribution
Up to100%
Coordination action100%
up to 7% of the contribution
Up to 100%
Specific support action
100%up to 7 % of the contribution
Up to 100% 1
100% 1 (grant for integration)
Reimbursement Rates
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Keep Yourself Updated!
General FP6 Site:http://www.cordis.lu/rtd2002http://www.cordis.lu/ist/fp6/fp6.htmhttp://europa.eu.int/comm/research/fp6/
index_en.html
Information on Instruments:http://europa.eu.int/comm/research/nfp/
networks-ip.html
Model Contracts: http://europa.eu.int/comm/research/fp6/
working-groups/model-contract/index_en.html
Expressions of Interest:http://europa.eu.int/comm/research/fp6/
eoi-instruments/home.html
IST Roadmaps & Workshops:http://www.cordis.lu/ist/ka2
eMail:[email protected]
General FP6 Site:http://www.cordis.lu/rtd2002http://www.cordis.lu/ist/fp6/fp6.htmhttp://europa.eu.int/comm/research/fp6/
index_en.html
Information on Instruments:http://europa.eu.int/comm/research/nfp/
networks-ip.html
Model Contracts: http://europa.eu.int/comm/research/fp6/
working-groups/model-contract/index_en.html
Expressions of Interest:http://europa.eu.int/comm/research/fp6/
eoi-instruments/home.html
IST Roadmaps & Workshops:http://www.cordis.lu/ist/ka2
eMail:[email protected]