1. ©M. Horvat, BIT, AT - Nr. 1 The 6 th EU Framework Programme for Research and Technological Development (2002 - 2006) Manfred Horvat BIT - Bureau for International Research and Technology Cooperation, AT An initiative of the Austrian Government and the Economic Chamber Austria New opportunities for academic institutions and enterprises to participate in EU RTD programmes TU Kosice, 12-13 December 2002

2. ©M. Horvat, BIT, AT - Nr. 2 The 6th EU Framework Programme (FP6)  Introducing BIT  New policy context „European Research Area“  FP6 as an instrument for the creation of ERA  The objectives and the new approach of FP6  Structure, contents, budget  Participation modalities for FP6  New and traditional instruments  Implementation of FP6  Evaluation procedures and criteria  Financial aspects of FP6  The Call for Expressions of Interest spring 2002  Summary: Main characteristics & agenda of FP6

3. ©M. Horvat, BIT, AT - Nr. 3 The BIT is...  promoting cooperation in international R&D programmes and initiatives:  EU Framework Programme (National Contact Points for all areas of FP6)  EUREKA (EUREKA Secretariat and NPS)  INTAS  providing information and assistance for all interested parties  the Austrian "one-stop-shop“ for EU+ R&D  a gateway for finding partners in Austria

4. ©M. Horvat, BIT, AT - Nr. 4 The BIT: Core Services  identifying possible participants in EU RTD  creating awareness on collaborative RTD  disseminating information on EU RTD  finding partners in Austria and abroad  assistance and coaching for proposers  active stimulation of new projects  exploitation of results & technology transfer  monitoring & strategy development for Austrian participation in EU RTD  supporting strategic newcomer countries...

5. ©M. Horvat, BIT, AT - Nr. 5 Developing the client base: a need for continuous effort Development of the BIT client base; at present: 27.000 persons 0 5000 10000 15000 20000 25000 30000 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 W V T Sa St O N K B

6. ©M. Horvat, BIT, AT - Nr. 6 The Clients of BIT  42% of the client organisations are in active contact with BIT, their success rate is substantially higher compared to those without BIT-contact

7. ©M. Horvat, BIT, AT - Nr. 7 Activities of BIT in 2001  Promoting 60 Calls for Proposals in FP5  + 300 mailings to >200.000 recipients  answering to 10.000 requests for information  providing 1.700 detailed advise sessions  organising ~100 BIT information days etc.  participating in ~90 events with partners  publishing 6 issues of BIT bulletin InFoTeKo  involvement in 20+ EU projects to stimulate participation in FP - particularly by SMEs

8. ©M. Horvat, BIT, AT - Nr. 8 BIT - Contact persons  Manfred Horvat, Director: Co-ordinating National Contact Point  Sabine Herlitschka, Dep. Dir.: Life Sciences  Klaus Bernhardt: Information Society Technologies  Gerald Kern: Nanotechnologies, Materials, Production  Hans Rohowetz: Aeronautics and Space, Transport  Bettina Asamer: Energy and Environment  Robert Schwertner: International Co-operation  Kurt Butscher: Innovation, INNOVATION Relay Centre Austria  S. Herlitschka & M. Bidmon: SME Measures (CRAFT, Collective research)  Gerald Müller-Niklas: Human Ressources and Mobility Research Infrastructures  Andrea Höglinger: Socio-economic Research  Philippe Loward: Austrian EUREKA National Project Co-ordinator  Christian Hopp: Legal and financial matters of EU RTD

9. ©M. Horvat, BIT, AT - Nr. 9 FP6: Starting point - a diagnosis Structural weaknesses of Research and development in Europe  Financial resources for R&D  Researchers, scientists, engineers (RSE)  Fragmentation, separation, regional disparity  The European paradoxon of innovation  European R&D cooperation:  The European Research Area (ERA)!  The EU Framework Programme (FP6)

10. ©M. Horvat, BIT, AT - Nr. 10 The European Research Area (ERA) Towards the European Research Area. COM(2000)6, 18.01.2000, p. 24: The European Research Area should be an area where  the scientific capacity and material resources can be put to best use,  where national and European policies can be implemented more coherently, and  where people and knowledge can circulate freely; an area  attractive both to European researchers and the best researchers from third countries, and  built on respect for the common social and ethical values of Europeans and their diversity.

11. ©M. Horvat, BIT, AT - Nr. 11 The new strategic goals of the EU till ‘10 Lisbon 2000 and Barcelona 2002 *) “..., to become the most competitive and dynamic knowledge-based economy in the world capable of sustainable economic growth with more and better jobs and greater social cohesion.” “... that the overall spending on R&D and innovation in the Union should be increased with the aim of approaching 3% of GDP by 2010.” *) Presidency Conclusions, European Councils: Lisbon, 23 and 24 March 2000 and Barcelona, 15 and 16 March 2002 http://ue.eu.int/en/info/eurocouncil/index.htm

12. ©M. Horvat, BIT, AT - Nr. 12 ERA - Lisbon - FP6  A joint effort by EU and MS to bring EU research to the top!  FP6 as instrument to support creation of ERA  building integrated and structured R&D capacities  improving the impact of EU RTD activities  more coordination and coherence of national and EU RTD activities

13. ©M. Horvat, BIT, AT - Nr. 13 FP6: Objectives and targets Objectives:  contributing to the creation of the ERA *)  Strengthening the s&t bases of Europe‘s industry  encouraging it to become more competitive  supporting other EU policies Targets:  integrating research  structuring the ERA  strengthening the foundations of the ERA *) ERA: European Research Area

14. ©M. Horvat, BIT, AT - Nr. 14 Characteristics of EU R&D actaivities  transnational collaboration (min. 3 partners/3 countries)  strategic objectives - programme oriented  innovative, based on sci&techn. excellence  competitive - competition of the best teams in EU  rather mid-term oriented  RTD results are the property of the participants  organisations selected via Calls for Proposals and evaluation procedures involving a set of multiple criteria and independent experts

15. ©M. Horvat, BIT, AT - Nr. 15 The benefits of participation in EU RTD  additional financial and other resources  strengthening international competitiveness  achieving critical mass for RTD  sharing the risks and the opportunities for innovation  getting international, finding strategic partners  gaining information, orientation and know how  personnel and organisational development  benchmarking  image and reputation

16. ©M. Horvat, BIT, AT - Nr. 16 ) EC FP6: Programme Structure & Budget (€ million) 3 Specific Programmes:  Integrating and strengthening the European Research Area 12.905  Structuring the European Research Area 2.605  Joint Research Centre 760 EC FP6 16.270 EURATOM 1.230 Total 17.500

17. ©M. Horvat, BIT, AT - Nr. 17 The development of the EU RTD budget

18. ©M. Horvat, BIT, AT - Nr. 18 FP6: structure and contents

19. ©M. Horvat, BIT, AT - Nr. 19 EC FP6 : Structure & contents  Integrating Research  Priority thematic areas (69%)  Specific activities in a wider area of technology ( 8%) Strengthening the Foundations of ERA ( 2%)  Support for co-ordination of research activities  Support for the development of coherent research and innovation policies in Europe  Structuring the ERA (16%)  Research and innovation  Human resources and mobility  Research infrastructures  Science and society  Joint Research Centre (JRC) ( 5%)

20. ©M. Horvat, BIT, AT - Nr. 20 Integrating and strengthening the ERA Priority thematic areas: Contents and budget (M€) 1 Life sciences, genomics, biotechnology for health 2.255 2Information society technologies 3.625 3Nanotechnologies and nanosciences, knowledge-based functional materials, new production processes and devices 1.300 4Aeronautics and space 1.075 5Food quality and safety 685 6Sustainable development, global change, ecosystems 2.120 7Citizens and governance in a knowledge-based society 225 Budget 11.285 *) *) including 300 MEUR for specific 3rd countries; 15% for SMEs

21. ©M. Horvat, BIT, AT - Nr. 21 Integrating and strengthening the ERA Specific activities covering a wider field of research Contents and budget (M€ )  Policy oriented research and leading edge topics (NEST) 555  specific research activities for SMEs 430  cooperative research (CRAFT)(290)  collective research(140)  sci. internat. cooperation activities (INCO) 315  Mediterranean and western Balkans  Russia and the NIS  Developing Countries Budget 1.300

22. ©M. Horvat, BIT, AT - Nr. 22 FP6: Participation  every legal entity established in Member State (EU) or associated country  New: Associated Candidate Countries (ACC) are treated equally to Member States (EU)  New: International organisations of European interest are equal to organisations in MS  New: EU financial contribution for target countries of specific international co-operation measures (INCO)  Thresholds:  min 3 independent legal entities from EU or associated countries, with 2 from EU or associated candidate country  possible: 1 legal entity for fellowships/spec. support actions  min number can be increased by Work Programmes

23. ©M. Horvat, BIT, AT - Nr. 23 FP6: Third Country Participation Third Countries = not MS, ACC, AC  all countries world wide: „Integration“ part of FP6 open for participation  „INCO“ countries: EU financial contribution for participation in „Integration“ part  countries with co-operation agreements: participation in all activities also outside „Integration“ part (under the conditions specified by agreement)  other countries: participation in all activities outside „Integration“ only if necessary

24. ©M. Horvat, BIT, AT - Nr. 24 FP6: The new instruments  Networks of Excellence *)  Integrated Projects *)  EU contribution to joint nat. programmes (Art 169)  specific measures for SMEs  collective research  training and mobility of researchers  third countries fellowships, return fellowships, excellence measures  research infrastructures:  feasibility, development *) In priority thematic areas

25. ©M. Horvat, BIT, AT - Nr. 25 FP6: The traditional instruments  specific targeted RTD projects (STREPs)  specific measures for SMEs  CRAFT: Co-operative Research Action for Technology  training and mobility of researchers  e.g. Marie Curie fellowships, networks, training sites  research infrastructures  access, integration, feasibility, development  Specific co-ordination action  e.g. thematic networks, concerted actions  Specific support actions  e.g. stimulation actions, economic and technological intelligence actions, studies, conferences

26. ©M. Horvat, BIT, AT - Nr. 26 New instruments in priority thematic areas Networks of Excellence  to strengthen Europe‘s excellence  to act against fragmentation  to network critical mass to create durable integration and mutual specialisation - „virtual centres of excellence“  Joint Programme of Activities - integration of capacities!  managerial autonomy: associating new partners, launching Calls  advancing knowledge on a topic, considering innovation, infrastructure, human resources & training, technology assessment, science & society aspects  opening up to other EU and 3rd countries  duration: 5-7 years EU financial participation (~ 20% of budget for TPs): overall grant for integration - several M€ a year (~ 100 to 125 NoE/FP6)

27. ©M. Horvat, BIT, AT - Nr. 27 New instruments in priority thematic areas Networks of Excellence (continued)  Joint Programme of Activity (JPA):  integrating activities coordinated programming of partners‘ activities: mutual specialisation! development of common research platforms/facilities staff mobility and personnel exchange reinforced electronic communication and collaborative work possibly relocation of staff, teams equipment  joint research activities medium to long-term plan for joint research  activities to spread excellence joint training of researchers and other key staff dissemination, communication, knowledge transfer  Governance and monitoring of NoE:  a unified management structure  institutional committment, e.g. „governing council“  Commission reviews: annual, mid-term review end of term review

28. ©M. Horvat, BIT, AT - Nr. 28 New instruments in priority thematic areas Integrated Projects  strengthen competitiveness, solve major soc. problems  clear objectives to generate sci&tech knowledge by integrating the critical mass of activities and resources  co-operation of different organisations  a broad sepctrum of activities: research, development & demonstration as appropriate, training, IPR mgmt, specific measures to encourage SME participation  managerial autonomy: adapting the work programmes, associating new partners, launching Calls,  duration: 3-5 years EU financial participation (~70% of budget for TPs): grant to the budget up to 50% of total actual costs; may be several tens of M€ a year; mgmt level justification of costs (auditor!)

29. ©M. Horvat, BIT, AT - Nr. 29 New instruments in priority thematic areas Implementation of NoE and IP Increased flexibility & autonomy regarding:  Autonomy in internal organisation  different possibilities to extend partnership  adjustments of work programme according to evolving needs  allocation of EC contribution among activities and/or participants - Consortium Agreement!

30. ©M. Horvat, BIT, AT - Nr. 30 New instruments: Article 169 Treaty EU participation in joint nat. Programmes  Clearly identified programmes of governments or national/regional research (funding) organisations  joint implementation: specific implementation structure (harmonised work programmes, joint or co-ordinated Calls for Proposals, common infrastructures)  where programmes are open to other European countries: EU may contribute to participation of researchers from those countries  a need for exploratory work and consultation...  EU financial contribution: grant to the budgets of jointly executed activities; up to 50% of total costs

31. ©M. Horvat, BIT, AT - Nr. 31 New instruments: Article 169 Treaty  Community participation in/contribution to reseach programmes carried out jointly by a number of member states  potentially most powerful instrument: integrate national programmes  difficult to apply:  each requires a co-initiative of national programmes and a Commission proposal  long and complex co-decision procedure (Council, EP)  Commission is preparing pilot proposals

32. ©M. Horvat, BIT, AT - Nr. 32 „Stairway of excellence“ Specific targeted research projects(STREPs)  To smooth transition from the „traditional“ to the „new“ instruments  to support research activities of more limited scope and ambition  to develop new or improved products, processes and services  particularly for smaller actors (e.g. SMEs, organisations from Candidate Countries)  STREPs will be used degressively as FP6 proceeds  subject to independent evaluation in 2004

33. ©M. Horvat, BIT, AT - Nr. 33 Specific targeted res. projects (STREP)  Sharply focused projects to improve competitiveness  Research 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)  min. partnership: 3 partners from 3 countries (1 EU MS or CC)  EU financial contribution: grant up to 50% of the budget

34. ©M. Horvat, BIT, AT - Nr. 34 Classification of instruments There are different ways for getting involved in EU R&D collaboration! Follow a strategic approach choosing the right instrument(s)!

35. ©M. Horvat, BIT, AT - Nr. 35 Implementation of FP6  Calls for Proposals will identify which instruments are to be used  IP and NoE will have priority from the outset  to reduce oversubscription substantially, Calls for Proposals will be specific depending on instrument  STREP: similar to FP5  IP: much more specific  NoE: very specific and detailed  Assessment of new instruments in 2004  possible adjustments of their relative weighting

36. ©M. Horvat, BIT, AT - Nr. 36 FP6: Evaluation procedure  Calls for Proposals  for NoE, IP: preceded by Expressions of Interest  Simplified proposal preparation for new instruments  two-step procedure: 1. Outline proposal, 2. full proposal  evolution of project activities - detailed work plan only for 18 months  Evaluation by enhanced peer review system  possibly in stages: advance information and individual remote evaluation, consensus meeting, hearing for proposers,...

37. ©M. Horvat, BIT, AT - Nr. 37 FP6: Evaluation criteria 1  scientific and technological excellence and the degree of innovation  efficient management: resources, competencies, organisational modalities  Relevance to the objectives of the specific programme (work programme, text of the Call)  European added value, critical mass of resources mobilised, contribution to EU policies  quality of plan for using or disseminating knowledge, potential for promoting innovation, clear plans for the management of IPR

38. ©M. Horvat, BIT, AT - Nr. 38 FP6: Evaluation criteria 2 Networks of excellence:  the scope & the degree of effort to achieve integration  the network‘s capacity to promote excellence beyond its membership  prospects of the durable integration of their research capabilities and resources Integrated projects:  ambition of the objectves  capacity of the resources to contribute to competitiveness or solving societal problems

39. ©M. Horvat, BIT, AT - Nr. 39 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 work  activities 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

40. ©M. Horvat, BIT, AT - Nr. 40 Implementation: Autonomy & flexibility  EU funding:  no distribution between participants and activities defined in contract - CONSORTIUM AGREEMENT!  Implementation plan, JPA each year:  detailed plan for the coming 18 months  possibly update of the overall plan depending on requirements of the progress of the project  Changes in consortium:  consortium can decide to take new participants (without additional funding; in contract: rules for calls for canditature - NCPs have to be ionvolved!)  Commission may launch calls to add activities and participants (with additional funding)

41. ©M. Horvat, BIT, AT - Nr. 41 EU financial contribution for NoE  New: Not a „cost approach“  EU contribution targeted at stimulating durable integration, willingness to change  overcoming organisational, cultural, human barriers  „incentive“ for integration, organisational change, mutual specialisation  EU contribution as a fixed grant for integration  calculated on basis of total number of researchers that make up research capacities of the partners on the topic of the NoE  precise method of calculation will be described in Call  annual grant: ~20 kEUR/researcher

42. ©M. Horvat, BIT, AT - Nr. 42 EU financial contribution for IP, STREP  3 different cost models  FC: full actual direct & full actual indirect costs  FCF: full actual direct costs plus 20% flat rate  AC: additional direct costs plus 20% flat rate  Maximum rates for FC/FF participants:  50% for research part  35% for demonstration part  100% (direct costs only) for management and training  note: ceiling of 7% for management costs at 100%  AC participants supported at up to 100% of additional costs for all components of project

43. ©M. Horvat, BIT, AT - Nr. 43 Call for Expressions of Interest (EoI) Information Full analysis of results of EoI-Call and possibility to search for partners: http://eoi.cordis.lu/search_form.cfm

44. ©M. Horvat, BIT, AT - Nr. 44 Your personal eNewsletter BIT Infoservice for taylormade information on up to date developments of European RTD cooperation „BIT Infoservice“: www.bit.ac.at

45. ©M. Horvat, BIT, AT - Nr. 45 Summary: FP6 - Main characteristics  new objectives regarding creation of ERA  “larger” projects - structuring and integration  need for strategic positioning of institutions  more autonomy and flexibility of consortia  new forms of Community financial contribution  exactly the same rights for MC and Candidate AS  EU funding for participation of INCO countries *)  eligibility of internat. organisations of EU interest  openess to 3rd countries worldwide  increased participation of women *) Mediterranean, Balkan; Russia and NIS; Developing Countries

46. ©M. Horvat, BIT, AT - Nr. 46 Establishing contact Prof. Manfred Horvat Director Tel +43 1 581 16 16-114 (-109) Fax +43 1 581 16 16-16 (-18) horvat@bit.ac.at or name@bit.ac.at http://www.bit.ac.at