1 NOE INTELLIGENT HERITAGE IN FP6

“FP6 Networks of excellence” An instrument for tackling the fragmentation of European research (as of October 2002) europa.eu.int/comm/research/nfp/networks-ip.html

3 Objectives 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 – –around a joint programme of activity 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 has a mission to spread excellence beyond its partners

4 The joint programme of activity A range of “additional” activities(1) A range of “additional” activities(1) integrating activities integrating activities coordinated programming of the partners’ activitiescoordinated programming of the partners’ activities sharing of research platforms/tools/facilitiessharing of research platforms/tools/facilities joint management of the knowledge portfoliojoint management of the knowledge portfolio staff mobility and exchangesstaff mobility and exchanges relocation of staff, teams and equipmentrelocation of staff, teams and equipment reinforced electronic communication systemsreinforced electronic communication systems

5 The joint programme of activity(2) –joint research activities : a programme of joint research to support the network’s goals development of new research tools and platforms for common usedevelopment of new research tools and platforms for common use generating new knowledge to fill gaps in or to extend the collective knowledge portfoliogenerating new knowledge to fill gaps in or to extend the collective knowledge portfolio

6 The joint programme of activity(3) –Activities to spread excellence training researchers and other key stafftraining researchers and other key staff dissemination and communication activitiesdissemination and communication activities networking activities to help transfer knowledge to teams external to the networknetworking activities to help transfer knowledge to teams external to the network where appropriate, promoting the exploitation of the results generated within the networkwhere appropriate, promoting the exploitation of the results generated within the network where appropriate, innovation-related activities: protection of knowledge generated, assessment of the socio- economic impact of the knowledge and technologies generated, developing a plan for use and dissemination of the knowledge, take-up activities (especially for SMEs)where appropriate, innovation-related activities: protection of knowledge generated, assessment of the socio- economic impact of the knowledge and technologies generated, developing a plan for use and dissemination of the knowledge, take-up activities (especially for SMEs)

7 The joint programme of activity(4) –Network management: overall coordination of the joint activitiesoverall coordination of the joint activities communication with the Commission, reportingcommunication with the Commission, reporting activities linked to consortium-level financing and accounting management and legal issuesactivities linked to consortium-level financing and accounting management and legal issues coordination of the knowledge management activities, and where appropriate, other innovation-related activitiescoordination of the knowledge management activities, and where appropriate, other innovation-related activities promotion of gender equalitypromotion of gender equality science and society issues related to the topics of the networkscience and society issues related to the topics of the network supporting the governing board and other network bodiessupporting the governing board and other network bodies All activities within a unified management structure

8 Critical mass Expertise: assembling of the critical mass needed to achieve the ambitious goals of the network Expertise: assembling of the critical mass needed to achieve the ambitious goals of the network –variable from topic to topic –larger networks may involve several hundreds of researchers –but may be smaller, provided the necessary ambition and critical mass are achieved Partnership: in general at least six (legal minimum: 3 from 3 different countries) Partnership: in general at least six (legal minimum: 3 from 3 different countries) Duration of Community support: typically 5 years Duration of Community support: typically 5 years –more if necessary to create durable integration BUT no more than 7 years

9 Financial regime (1) Community support targeted at overcoming the barriers to a durable integration Community support targeted at overcoming the barriers to a durable integration –these barriers are mainly organisational, cultural and human  cannot be quantified in normal accounting terms Has led to the concept of an incentive, taking the form of a global “fixed grant for integration” Has led to the concept of an incentive, taking the form of a global “fixed grant for integration”

10 Financial regime (2) A fixed grant for integration acting as an incentive, calculated on basis A fixed grant for integration acting as an incentive, calculated on basis –of the degree of integration –of the total number of researchers that make up the research capacities of the partners on the topic of the networkthat 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 experiencewhere a researcher has a PhD or at least four years research experience –with a bonus for registered doctoral students –of the characteristics of the field of research –of the joint programme of activities

11 Financial regime (3) The average annual grant to a network could vary with the number of researchers as follows: The average annual grant to a network could vary with the number of researchers as follows: In this illustration, a network of 200 researchers supported over 5 years would therefore receive a fixed grant of €17.5 million (plus bonus for registered doctoral students) In this illustration, a network of 200 researchers supported over 5 years would therefore receive a fixed grant of €17.5 million (plus bonus for registered doctoral students)

12 Payments regime Annual payments of the grant will be paid on the basis of results Annual payments of the grant will be paid on the basis of results –i.e. will depend on a progressive advance towards a durable integration –with an additional check that costs of at least the value of the grant were incurred in implementing the joint programme of activity

13 Evaluation process (1) Calls for proposals normally preceded by expressions of interest Calls for proposals normally preceded by expressions of interest –normally precede by expressions of interest Simplified proposal-making Simplified proposal-making –reflecting evolutionary nature of the network Evaluation by a strengthened peer review system Evaluation by a strengthened peer review system –in stages, possibly involving individual reviews, panel sessions, hearings of applicants...

14 Evaluation process (2) Key issues to be addressed during evaluation Key issues to be addressed during evaluation –potential impact on strengthening Europe’s excellence –collective excellence of the network’s members –extent, depth and lasting nature of the integration –contribution to spreading excellence –management and governance of the network

15 Measuring integration In the proposal, participants will include possible qualitative and quantitative indicators for measuring progress towards integration In the proposal, participants will include possible qualitative and quantitative indicators for measuring progress towards integration The main factors to be examined: The main factors to be examined: –extent of mutual specialisation and mutual complementarity –sharing and development for common use of research infrastructure, equipment, tools and platforms –regular joint execution of research projects –interactive working through electronic communication systems –joint management of the knowledge portfolio –joint training programme (researchers-other key staff) –coherent management framework

16 The contract will specify the maximum Community contribution, but not its distribution among participants The contract will specify the maximum Community contribution, but not its distribution among participants consortium autonomyconsortium autonomy elimination of major source of micro-managementelimination of major source of micro-management An annex contains An annex contains –overall description of the network –detailed joint programme of activity only for first 18 months Advance payment: equal to 85% of the Community contribution anticipated for the first 18 months Advance payment: equal to 85% of the Community contribution anticipated for the first 18 months Initial contract & advance payment (1)

17 Initial contract & advance payment (2) Simplified signature procedure Simplified signature procedure faster entry into forcefaster entry into force The consortium designates a ‘coordinator’ The consortium designates a ‘coordinator’ liaison with Commission,liaison with Commission, receives and distributes the grantreceives and distributes the grant Consortium agreement is a prerequisite Consortium agreement is a prerequisite

18 Reporting and payments schedule The consortium will submit to the Commission for its approval an annual report containing: The consortium will submit to the Commission for its approval an annual report containing: –an outline of previous 12 months’ activities –financial documents on the costs incurred in implementing the JPA (including cost certificates and management-level justification) –a detailed joint programme of activities for the following 18 months Upon acceptance of above, the outstanding advance will be supplemented up to 85% of the anticipated Community contribution for following 18 months Upon acceptance of above, the outstanding advance will be supplemented up to 85% of the anticipated Community contribution for following 18 months

19 Governance and monitoring (1) A network’s governance must ensure institutional engagement by the partner organisations A network’s governance must ensure institutional engagement by the partner organisations –through e.g. a “governing council” of senior representatives from the partners to oversee integration of the partners’ activitiesto oversee integration of the partners’ activities

20 Governance and monitoring (2) Robust output monitoring by the Commission, involving external experts at all stages Robust output monitoring by the Commission, involving external experts at all stages –annual reviews basis for payment by resultsbasis for payment by results triggering a yellow flag/red flag, if a review is failedtriggering a yellow flag/red flag, if a review is failed –annual reviews to assess impact of network on strengthening and spreading excellenceto assess impact of network on strengthening and spreading excellence

21 Flexibility & autonomy of implementation For the joint programme of activities, each year, the network For the joint programme of activities, 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 forceboth need approval of the Commission to enter into force For the allocation of the Community grant For the allocation of the Community grant –the partnership will have freedom to distribute it between partners and activities For changes in the network partnership For changes in the network partnership –the partnership may itself decide to take in new partners (without additional funding) –the Commission may decide to launch calls to add partners (with additional funding)

22 More information Regularly updated website on the instruments europa.eu.int/comm/research/fp6/networks-ip.html Regularly updated website on the instruments europa.eu.int/comm/research/fp6/networks-ip.html brochures and leaflets on the new instruments: available at Heysel conference and on Europa as above brochures and leaflets on the new instruments: available at Heysel conference and on Europa as above Presentation slides: on Europa as above Presentation slides: on Europa as above Networks of excellence: Networks of excellence: