1. KG in Athens 19-12-2002 - 1 Introduction to IST and the new instruments of the 6th Framework Programme Kostas Glinos Future and Emerging Technologies IST Programme Introduction to IST and the new instruments of the 6th Framework Programme Kostas Glinos Future and Emerging Technologies IST Programme

2. KG in Athens 19-12-2002 - 2 Source: European Commission, Key Figures 2000 5.1 7.4 8.9 2.0 2.6 3.2 200019951990 RTD expenditure in % of GDP Nbr of scientists & engineers per 1,000 labour force Nbr of patents per million population (1998) 32 49 88 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)

3. KG in Athens 19-12-2002 - 3 Economic Performance vs R&D Investment Europe’s Variety

4. KG in Athens 19-12-2002 - 4 “EU: Largest knowledge- based economy 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 spending to 3% of GDP

5. KG in Athens 19-12-2002 - 5 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“

6. KG in Athens 19-12-2002 - 6 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!

7. KG in Athens 19-12-2002 - 7 FP6 Rationale New 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 6 3 5 1 4 NoE 2 Research Centres 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

8. KG in Athens 19-12-2002 - 8 FP6 instruments

9. KG in Athens 19-12-2002 - 9 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

10. KG in Athens 19-12-2002 - 10 Integrated Projects (2) Activities Objective-driven research Demonstration components as appropriate Training Dissemination Exploitation assessment Take-up measures Society dialogue

11. KG in Athens 19-12-2002 - 11 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

12. KG in Athens 19-12-2002 - 12 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, …

13. KG in Athens 19-12-2002 - 13 The 6th Framework Programme

14. KG in Athens 19-12-2002 - 14 Anywhere anytime natural and enjoyable access to IST services for ALL Miniaturised, low cost - low power com- ponents & µsystems Natural interactions with ‘ knowledge ’ Pervasive, mobile, wireless, trustful infrastructures communic. & networking Software µ, nano, opto electronics µ & nano systems knowledge technologies interfaces Applied IST for major societal and economic challenges Trust & Confidence IST for societal challenges IST for economic challenges Demanding applications generic specific Building blocks Integration IST in FP6

15. KG in Athens 19-12-2002 - 15 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 budget 2003: 835 M€2004: 891 M€ 2005: 935 M€2006: 964 M€

16. KG in Athens 19-12-2002 - 16 IST Workprogramme topics Rationale 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 ISTAG recommendations Towards Ambient Intelligence

17. KG in Athens 19-12-2002 - 17 IST Workprogramme 2003-2004 Preparing 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 & photonic functional 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 Call FET-Open

18. KG in Athens 19-12-2002 - 18 1 st Call: Open 17 December 2002 – Close 24 April 2003 One-step evaluation (except for P&S eng’g) All instruments (except for FET Proactive) 2 nd Call: Open June 2003 – Close October 2003 One-step evaluation All instruments 3 rd Call 1 st quarter 2004? Continuous submission (FET Open only) Guichet opens 10 February 2-step submission & evaluation Only STREP, CA, SSA IST Calls & Dates

19. KG in Athens 19-12-2002 - 19 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 !

20. KG in Athens 19-12-2002 - 20 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 !

21. KG in Athens 19-12-2002 - 21 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

22. KG in Athens 19-12-2002 - 22 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

23. KG in Athens 19-12-2002 - 23 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

24. KG in Athens 19-12-2002 - 24 Costs Costs must be :  actual, economic and necessary  incurred during the duration of the project  recorded in the accounts  follow 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

25. KG in Athens 19-12-2002 - 25 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

26. KG in Athens 19-12-2002 - 26 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

27. KG in Athens 19-12-2002 - 27 Keep Yourself Updated! General FP6 Site: http://www.cordis.lu/rtd2002 http://www.cordis.lu/ist/fp6/fp6.htm http://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: rosalie.zobel@cec.eu.int General FP6 Site: http://www.cordis.lu/rtd2002 http://www.cordis.lu/ist/fp6/fp6.htm http://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: rosalie.zobel@cec.eu.int