Norbert Brinkhoff-Button DG Information Society European Commission Information Society Technologies in the 6th Framework Programme Overview and update

Slide no 2 Programme Objectives and strategy Workprogramme Instruments 1st Call for proposals Contracts and finance Hints = sections that are provisional ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 3 Mission of the directorate Research and Technology Development Multimodal interfaces and Cognitive Systems Semantic-based knowledge systems Application Development Technology-enhanced e-Learning Access to Cultural Heritage Information Market Public Sector Info. e-Content Safer Internet Information Subject area: Digital Content Remit: Make information accessible to all Overcome multilingual barriers Implementation: Legislation and Financial intervention Knowledge Content

Slide no 4 FP6 - main characteristics Focus, fewer priorities, ‘critical mass’Focus, fewer priorities, ‘critical mass’ Lasting, structuring impactLasting, structuring impact New instruments, ‘strategic’ thinkingNew instruments, ‘strategic’ thinking (Partly) new implementation mechanism(Partly) new implementation mechanism … but also continuity: ideas - people - constituencies - old instruments...… but also continuity: ideas - people - constituencies - old instruments... Focus, excellence and impact

Slide no 5 Guiding principles Streamlined and simplified procedures Streamlined and simplified procedures –esp. proposing, contracting, costing Flexibility and adaptability Flexibility and adaptability –all instruments applicable throughout –projects can evolve More autonomity More autonomity –consortium has more responsibility

Slide no 6 The timetable Adopted: –FP6 (June 2002) –Specific Programmes (Sep 2002) Awaiting adoption: –Rules for Participation (Nov 2002 ?) –WP (Dec 2002 ?) Current planning: –First Call for Proposals (17 Dec 2002 ?) –Second Call for Proposals (15 Jun 2003 ?)

Slide no 7 Objectives Strengthen competitiveness and build knowledge society for ALL Enshrined in Union objectives: Enshrined in Union objectives: –Lisbon Council: make Europe the world’s most competitive knowledge based economy –eEurope2005: foster modern online public services, a dynamic e-business environ- ment, widespread broadband acces, secure infostructures

Slide no 8 Programme Objectives and strategy Workprogramme Instruments 1st Call for proposals Contracts and finance Hints Draft WP NOW available on Cordis ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 9 Expressions of interest (June 2002) First ‚field test‘ of FP6 First ‚field test‘ of FP6 –New research ideas, players and partnerships –BUT: lack of understanding of “new deal” (esp. instruments: only 15-30% were judged to be genuine IPs) –Report: instruments/home.html Input to WP, along with inputs from ISTAG, IRGs, IPPA, Call 8, sectoral workshops... Input to WP, along with inputs from ISTAG, IRGs, IPPA, Call 8, sectoral workshops...

Slide no 10 Workprogramme –total of 23 objectives in (cf. > 60 in WP 1999) –covers 3 calls with fixed deadline (except FET, grants) –six instruments applicable throughout –2/3 of budget targeted to new instruments (esp. IP & NoE) –WP text includes S&T content, hints as to which instrument to be used for what, and terms of call (dates, budget, evaluation criteria) ! ! PROVISIONAL ! ! ! PROVISIONAL Limited set of “strategic objectives”, inviting research to realise technology components, integrated systems and applications, at European level

Slide no 11 Strategic Objectives in Call 1 & 2 1.Pushing the limits of CMOS, preparing for post-CMOS 2.Micro & nano-systems 3.Broadband access for All 4.Mobile & wireless systems beyond 3G 5.Towards a global dependability & security framework 6.Multimodal interfaces 7.Semantic-based knowledge systems 8.Networked audiovisual systems & home platforms 9.Networked business & government 10.eSafety for road and air transport 11.eHealth 12.Technology-enhanced learning & access to cultural heritage Call 1 1.Advanced displays 2.Optical, opto-electronic, photonic functional components 3.Open development platforms for software and services 4.Cognitive systems 5.Embedded systems 6.Applications & services for the mobile user & worker 7.Cross-media content for leisure and entertainment 8.GRID-based Systems & solving complex problems 9.Improving Risk management 10.eInclusion 11.Product design & manufacturing 2010 Call 2 Applications Technology components Integrated systems ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 12 Budget Phasing of annual budgets over calls ! ! PROVISIONAL ! ! ! PROVISIONAL 964 Indicative Budget (€) 2006 Year Indicative Budget (€) Call 1, Total IST budget: 3625 ME GRIDS, GEANT: 100 ME from IST, 200 ME from „Structuring“

Slide no 13 Portfolio managed by this directorate 80% of budget is pre-allocated Remainder flexible, to be allocated after evaluation Allocation only for the first 2 years: to be revised for ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 14 Programme Objectives and strategy Workprogramme Instruments 1st Call for proposals Contracts and finance Hints ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 15 Overview of FP6 instruments Integrated Projects (IP) Integrated Projects (IP) Networks of Excellence (NoE) Networks of Excellence (NoE) Article 169 (joint implementation of national programmes) Article 169 (joint implementation of national programmes) Specific Targeted Research Projects (STReP’s) Specific Targeted Research Projects (STReP’s) Co-ordination actions (CA) Co-ordination actions (CA) Specific Support Actions (SSA) Specific Support Actions (SSA) „New“ „Old“

Slide no 16 Integrated Projects Core activities Core activities –genuine research work –“engineering” tasks (esp. methods & tools) –system integration & validation (“total system” approach) along with along with –promotion & dissemination of results –training, awareness & best practice (researchers, integrators, launching users) –cooperation & exchanges with related national and international efforts (incl. standards bodies) –socio-economic impact & consequences Designed to support research that has clearly defined objectives and results

Slide no 17 Example of an IP Integrated project Current projects Area: Multi-sensorial interfaces

Slide no 18 Networks of Excellence Joint programme of activities: Joint programme of activities: –Integrating activities coordinated programming of the partners’ activitiescoordinated programming of the partners’ activities sharing of tools/facilities/ infrastructuressharing of tools/facilities/ infrastructures managing the knowledge portfoliomanaging the knowledge portfolio staff mobility and exchangesstaff mobility and exchanges –Joint research activities undertaking research on topics supporting the network’s goalsundertaking research on topics supporting the network’s goals –Spreading excellence training of researchers and other key stafftraining of researchers and other key staff dissemination and technology transfer to industrydissemination and technology transfer to industry Designed to structure and shape research in a given area New or additional to ongoing efforts

Slide no 19 Specific targeted research projects “Business as usual”, except for: “Business as usual”, except for: –joint and several financial liability –costing / funding adapted to grant scheme –rates / activities: research (50%), demonstration (35%), combined research & demonstration Activities Activities –focussed RTD and / or demonstration; management Partnership Partnership –more limited than for IPs; particularly well suited for smaller research actors Focused on one specific activity & on specific results: more limited in scope and ambition than IPs

Slide no 20 Coordination & specific support actions Coordination Actions Instrument for ad-hoc co-operation between organisations (no durable integration !), similar to FP5 thematic networks Instrument for ad-hoc co-operation between organisations (no durable integration !), similar to FP5 thematic networks Activities include expert groups, seminars, studies, staff exchanges, project definition, etc Activities include expert groups, seminars, studies, staff exchanges, project definition, etc Can cover up to 100% of eligible costs Can cover up to 100% of eligible costs Specific Support Actions For conferences, working groups, fact finding, technology transfer, operational support and dissemination For conferences, working groups, fact finding, technology transfer, operational support and dissemination Can cover up to 100% of eligible costs, and be carried out by one participant Can cover up to 100% of eligible costs, and be carried out by one participant Call for Grants: Call for Grants: conferences, workshops or exhibitions

Slide no 21 Article 169 EC funding to support jointly executed member state programmes EC funding to support jointly executed member state programmes –most powerful tool for integration However, long-winded implementation: However, long-winded implementation: –to generate a proposal requires a co-initiative by national programmes and the Commission –Council and Parliament would have to approve

Slide no 22 Critical mass Critical mass is achieved when all activities and resources have been mobilised that are needed to reach objectives and impact „Critical mass“ in the areas managed by this directorate is taken to mean:* * This does not rule out efforts outside the indicated range (justification !)

Slide no 23 Networks of Excellence Industrial exploitation Current Industrial strength / presence Fundamental research Basic research Industry-driven research Targeted Research Projects Example of implementation in IST « Monolitihic » Incremental Integrated Projects

Slide no 24 Programme Objectives and strategy Workprogramme Instruments 1st Call for proposals Contracts and finance Hints ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 25 Publication:17 December 2002 Call deadline: 24th April 2003 Evaluation: weeks of 12th and 19th May 2003 IP/NoE hearings: week of 9th June 2003 Negotiations: from July 2003 Commission Decision: from October 2003 Project start:January 2004 Call 1 Timetable (provisional)

Slide no 26 IST Workprogramme IST Workprogramme Call for proposals text Call 1 (Official Journal) Call for proposals text Call 1 (Official Journal) –Submission details (deadline, address...) Brochure “The 6FP in Brief” Brochure “The 6FP in Brief” –FP6 and Specific Programmes, instruments, proposal to contract (flowchart), contractual matters, etc Guides for proposers Call 1 Guides for proposers Call 1 –How to submit, references,..., proposal forms –Instrument-specific annexes Evaluation Manual Evaluation Manual –“High level” description of ground rules for evaluation Guidelines for Evaluators Call 1 Guidelines for Evaluators Call 1 –Evaluation process, evaluation forms IST Infopack

Slide no 27 Part A Form A1 - General information Form A1 - General information Form A2 - Information on participants Form A2 - Information on participants Form A3 - Cost breakdown (cost and grant requested as per activity / participant) Form A3 - Cost breakdown (cost and grant requested as per activity / participant) Part B Aspects relating to evaluation criteria Aspects relating to evaluation criteria Other aspects (ethics, safety, gender) Other aspects (ethics, safety, gender) Overall workplan of project Overall workplan of project IPs, NOEs additionally provide 18 month Implementation plan/JPA (detailed) 18 month Implementation plan/JPA (detailed) Proposal content No anonymity

Slide no 28 Electronic Electronic On CD/diskette, with paper backup On CD/diskette, with paper backup On paper (one copy) to the ADDRESS SET OUT IN THE CALL TEXT On paper (one copy) to the ADDRESS SET OUT IN THE CALL TEXT NOT to the address used in FP5: NOT to any other Commission office ! Proposal submission

Slide no 29Evaluation Process Process –Peer-review system (many experts needed !) –2-step evaluation (not in Call 1) –Hearings of applicants (likely in Call 1) Evaluation & selection criteria Evaluation & selection criteria ! ! PROVISIONAL ! ! ! PROVISIONAL Higher thresholds on partnership and management. Higher weights on impact and excellence.

Slide no 30 Programme Objectives and strategy Workprogramme Instruments 1st Call for proposals Contracts and finance Hints ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 31 Core contract Core contract Annex I - the “project” Annex I - the “project” Annex II - general conditions (all instruments) Annex II - general conditions (all instruments) Annex III - instrument specific provisions Annex III - instrument specific provisions Contract Structure One contract for all instruments

Slide no 32 Where Community financial contribution is static : Where Community financial contribution is static : –Consortium issues competitive call, to be evaluated with independent experts –Selection subject to approval by the Commission Where Community financial contribution is increased : Where Community financial contribution is increased : –Commission issues call for proposals for new contractors Changes in Consortium Membership

Slide no 33 Technical and financial responsibility Technical and financial responsibility Used as a last resort Limited in proportion to the participant’s share to the project, up to the total amount they are entitled to receive   Exceptions (eg International Organisations or public bodies are solely responsible for their own debts New : Collective Responsibility of Participants

Slide no 34 Regulates internal organisation and management of consortium Compulsory unless otherwise mentioned in the call for proposals Non binding guidelines provided by the Commission - CA is NOT signed nor approved by the Commission Preferably before signing the contract Consortium Agreement

Slide no 35 New: Cost categories are not defined Costs must be : Costs must be : –actual, economic and necessary for the project –incurred during the duration of the project –recorded in the accounts –follow contractors own accounting rules and must exclude and must exclude –indirect taxes, duties, interests, costs reimbursed in respect of another Community project, and not give rise to profit Audit certificates Audit certificates –for public bodies - competent public auditor Financial Provisions - costs

Slide no 36 Three costing methods Three costing methods –FC: actual direct and indirect costs –New FCF (variant of FC): actual direct costs + 20%? flat rate for indirect costs –ACF: actual additional direct costs + flat rate for indirect costs Activity types (Community contribution in %) Activity types (Community contribution in %) –R&D (50%), Demonstration (35%) –Management & training (max. 100% of direct cost) Cost statements, certified by ext. auditor Cost statements, certified by ext. auditor Financial Provisions - costing

Slide no Months Reporting Accepted costs Reporting Detailed work plan Accepted costsAdjusted advance Reporting Detailed work planAccepted costs Adjusted advance Reporting Accepted costs Detailed work plan Adjusted advance Detailed work plan Initial advance Payment and report schedule Example of 4 year contract Rolling reporting scheme: advance payment: up to 85% advance payment: up to 85% every 12 months cost settlement (previous period) and advance on next 18 months every 12 months cost settlement (previous period) and advance on next 18 months audit certicates, justification, summary financial report, detailed implementation plan with financial projection audit certicates, justification, summary financial report, detailed implementation plan with financial projection

Slide no 38 Financial provisions for NoE “Grant for integration”, calculated as follows: “Grant for integration”, calculated as follows: –number of researchers to be integrated lump sum per researcher ‘involved’ (20K€ per researcher/year)lump sum per researcher ‘involved’ (20K€ per researcher/year) –degree of integration, characteristics of the field and Joint Programme of Activities (JPA) NB: < 25% of the integratable capacity & resources Conversion table to calculate the annual grant depending on the number of researchers to be integrated : Conversion table to calculate the annual grant depending on the number of researchers to be integrated : 50 researchers …………………….€ 1 million/year 100 researchers ……………………...€ 2 million/year 100 researchers ……………………...€ 2 million/year 150 researchers …………………..….€ 3 million/year 150 researchers …………………..….€ 3 million/year 250 researchers ………………………€ 4 million/year 250 researchers ………………………€ 4 million/year 500 researchers ………………………€ 5 million/year 500 researchers ………………………€ 5 million/year 1000 researchers & above ……………€ 6million/year for intermediate numbers the grant would be calculated by linear interpolation ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 39 –All main instruments need at least three independent legal entities from three different MS or AS (at least two MS or Associated Candidate States) –Work programmes can override these limits –European Economic Interest Groups (EEIG) or other legal entities made up of independent legal entities may be the sole participant in an action –Legal entities from third countries and international organisations may participate under certain circumstances without EC funding (some special cases with EC funding) Participation rules Legal entities in Member States, Associated States, JRC and international European interest organisation on same footing subject to :

Slide no 40 Programme Objectives and strategy Workprogramme Instruments 1st Call for proposals Contracts and finance Hints

Slide no 41 Some lessons –It’s the quality of the consortium that matters, not the number of participants –For proposals to be successful, they need optimal preparation: select one proposal and make it win! –Do not artificially adapt a proposal to a strategic objective –Respond to all the evaluation criteria –Pay attention to using the full range of activities allowable for the new instruments –Give realistic cost / resource estimates –Choose reliable (ie financially sound) partners –Pay extra attention to co-ordination of large projects; ensure that (international) project management expertise is available

Slide no 42 Reminder FP6 is about more ambitious endeavours, in a simpler procedural environment FP6 is about more ambitious endeavours, in a simpler procedural environment IPs should aim at breakthroughs in the target area and yield new technologies, products and services IPs should aim at breakthroughs in the target area and yield new technologies, products and services NoEs are to structure and shape research areas (interdisciplinary !) NoEs are to structure and shape research areas (interdisciplinary !) STRP’s are more limited in scope but must go well beyond the state of the art STRP’s are more limited in scope but must go well beyond the state of the art

Slide no 43 Sources of information IST on CORDIS DG-Research FP6 web main page europa.eu.int/comm/research/fp6/index_en.html IST helpdesk IST helpdesk Fax :