1. ©M. Horvat, BIT, AT - Nr. 1 The Instruments Available for Participation in FP6 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 Contents  Consider the whole spectrum of instruments!  The new instruments  The traditional instruments  Networks of Excellence  Integrated Projects  Art. 169 Treaty  “Stairways to excellence”  Evaluation criteria

3. ©M. Horvat, BIT, AT - Nr. 3 There are several possibilities to get benefit from FP6: a number of different “Instruments” to participate in FP6!

4. ©M. Horvat, BIT, AT - Nr. 4 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 studies, development costs *) In priority thematic areas

5. ©M. Horvat, BIT, AT - Nr. 5 FP6: The traditional instruments  “stairways of excellence”:  specific targeted RTD projects (STREPs)  coordination activities  specific measures for SMEs  CRAFT: Cooperative Research Action for Technology  training and mobility of researchers  e.g. Marie Curie fellowships, networks, training sites  research infrastructures  access, integration  Specific coordination action  e.g. thematic networks, concerted actions  Specific support actions  e.g. stimulation actions, economic and technological intelligence actions, studies, conferences

6. ©M. Horvat, BIT, AT - Nr. 6 New instruments in priority thematic areas Networks of Excellence  to strengthen Europe‘s scientific and technological excellence  to act against fragmentation  to network critical mass  to create „virtual centres of excellence“ by mutual specialisation and durable integration of research capacities  to implement joint programme of activities (JPA)  EU contribution: a grant for integration - an incentive for change!

7. ©M. Horvat, BIT, AT - Nr. 7 New instruments in priority thematic areas Networks of Excellence 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 and/or 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

8. ©M. Horvat, BIT, AT - Nr. 8 New instruments in priority thematic areas Networks of Excellence Size: minimum of 3 partners from 3 different countries - normally larger (>6)! Main aspects of JPA:  advancing knowledge on a topic  considering innovation, infrastructure, human resources & training, science & society aspects  opening up to other EU, AS and 3rd countries  fostering the participation of women  considering science/society aspects Duration: 5-7 years (sustainability!)

9. ©M. Horvat, BIT, AT - Nr. 9 New instruments in priority thematic areas Networks of Excellence EU financial contribution: a new approach  not a „cost“ approach  EU contribution targeted at  stimulating durable integration, willingness to change  overcoming organisational, cultural, human barriers  an „INCENTIVE“ for integration, organisational change, mutual specialisation

10. ©M. Horvat, BIT, AT - Nr. 10 New instruments in priority thematic areas Networks of Excellence EU financial contribution overall grant on the basis of the results from implementation of a joint programme of activities several M€ a year (<25% of integrated resources) calculated on the basis of head count form integration (20 k€ per researcher) annual payment on the basis of evaluated results FP6: ~ 20% of budget for 7 (8) priorities for NoE  ~ 100 to 125 NoE/FP6

11. ©M. Horvat, BIT, AT - Nr. 11 New instruments in priority thematic areas Networks of Excellence Management aspects: a unified management structure institutional committment, e.g. „governing council“ quality assurance: external experts, sci board Commission: annual, mid-term review end of term monitoring and review  scientific, technological and financial monitoring, exploitation and dissemination of results, ethical monitoring (continuous) managerial autonomy:  adapting JPA  associating new partners

12. ©M. Horvat, BIT, AT - Nr. 12 Contents of NoE proposal  Objectives and strategic impact  excellence of the participants and resources of the network  degree of integration and the JPA  organisation and management  ethics, safety and other issues

13. ©M. Horvat, BIT, AT - Nr. 13 New instruments in priority thematic areas Integrated Projects  To strengthen Europe‘s competitiveness and/or to solve major societal challenges and problems  following clear objectives to generate scientific and technological knowledge required to implement priority themes  to contribute to creation of ERA by integrating the critical mass of activities and resources necessary to achieve objectives  „mini“-programmes or clusters of sub-projects

14. ©M. Horvat, BIT, AT - Nr. 14 New instruments in priority thematic areas Integrated Projects Size: minimum of 3 partners from 3 different countries - normally much larger! Main characteristics:  integrating different disciplines  integrating of different types of organisations  integrating different activities: basic & applied research, development & demonstration as appropriate, training, IPR, specific measures to encourage SME participation  managerial autonomy: adapting the work programmes, associating new partners, launching Calls for Proposals/Candidature  Duration : 3-5 years (limited in time)

15. ©M. Horvat, BIT, AT - Nr. 15 New instruments in priority thematic areas Integrated Projects EU financial participation  grant to the budget up to 50% of total actual costs for R&D (possibly inculding public/private funding, EUREKA, EIB, EIF, etc.)  up to 35% for demonstration activities  up to 100% for training  may be several tens of M€ a year justification of costs by auditor FP6: ~70% of budget for them. Priorities for IP  there may be only 400 to 500 IP in FP6

16. ©M. Horvat, BIT, AT - Nr. 16 Content of IP proposal  Objectives and expected impact  implementation plan and associated budget  the consortium and the project resources  project management  exploitation and dissemination plans  ethics, safety and other issues

17. ©M. Horvat, BIT, AT - Nr. 17 New instruments in priority thematic areas Networks of Excellence & Integrated Projects Summary of main characteristics:  Size: Participants from at least 3 different countries (MS or AS, min. 2 MS or candidate countries) - typically larger!  organised around core group of participants  EC contribution: several M€/year  Duration of NoE: long lasting associations, beyond period of EU support (5-7 years)  Duration of IP: fixed period according to project needs (3-5 years)

18. ©M. Horvat, BIT, AT - Nr. 18 New instruments in priority thematic areas Networks of Excellence & Integrated Projects 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 only  possibility to update of the overall plan depending on requirements of the progress of the project  Changes in consortium:  consortium can decide to take new participants  Commission may launch calls to add activities and participants (with additional funding)

19. ©M. Horvat, BIT, AT - Nr. 19 Results from the 2002 EoI-Exercise

20. ©M. Horvat, BIT, AT - Nr. 20 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, but  difficult to apply (?):  each programme requires a co-initiative of national programmes, a Commission proposal and  long and complex co-decision procedure (Council, European Parliament) Commission is preparing pilot proposal!

21. ©M. Horvat, BIT, AT - Nr. 21 New instruments: Article 169 Treaty EU participation in national programmes carried out jointly  Clearly identified programmes of governments or national/regional research (funding) organisations  joint implementation: specific implementation structure  programmes opened 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

22. ©M. Horvat, BIT, AT - Nr. 22 „Stairway of excellence“ Specific Targeted Research Projects (STREP) and Coordination Actions  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)  Will be used degressively as FP6 proceeds  subject to independent evaluation in 2004

23. ©M. Horvat, BIT, AT - Nr. 23 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) EU financial contribution: grant up to 50% of budget

24. ©M. Horvat, BIT, AT - Nr. 24 Content of STREP proposal Objectives and expected impact Work plan and associated budget The consortium and the project resources Project management Exploitation and dissemination plans ethics, safety and other issues

25. ©M. Horvat, BIT, AT - Nr. 25 EU financial contribution for IP, STREP  Different cost models will be available for different types oforganisations depending on accountancy system  Full cost (FC), full cost flat rate (FCF), additional costs (AC)  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%  Additional cost participants will be supported at up to 100% of additional costs for all components of their project

26. ©M. Horvat, BIT, AT - Nr. 26 Classification of instruments

27. ©M. Horvat, BIT, AT - Nr. 27 Structuring the ERA  Research and innovation  Human resources  Research infrastructures  Science and society

28. ©M. Horvat, BIT, AT - Nr. 28 Research and innovation  Networking the players and encouraging interaction  Encouraging transregional co-operation  Experimenting with new tools and approaches  Putting services in place and consolidating them  Stepping up economic an technological intelligence  Analysing and evaluating innovation in EC RTD projects

29. ©M. Horvat, BIT, AT - Nr. 29 Human Resources and Mobility  MC Research Training Networks  MC Host Fellowships for Early Stage Training  MC Host Fellowships for Transfer of Knowledge  MC Conferences and Training Courses  MC Intra-European Fellowships  MC Outgoing International Fellowships  MC Incoming International Fellowships  MC Re-integration Grants  MC Grants for excellent teams  MC Excellence Awards  MC Chairs Host Actions Individual Actions Excellence Actions

30. ©M. Horvat, BIT, AT - Nr. 30 Re-inforcing the BIT initiative: „Partnership for Research“ Strategic use of the MC Mobility Scheme:  promoting Marie Curie fellows from Candidate Countries to Austria  preparing a EU RTD project as integrated part of the Marie Curie training  promoting Marie Curie fellows from Austria to Candidate Countries  preparing the ground for long-term cooperation

31. ©M. Horvat, BIT, AT - Nr. 31 „Partnership for Research“: A strategic approach  Partnership Catalogue:  more than 600 possible host organisations!  Web page:  http://www.bit.ac.at/partnership  advertisments in newspapers  e.g. Rzeczpospolita in Poland  “road show”  e.g. Bratislava, Kosice, Cracow, Gdansk, Warsaw, Budapest, Prague, Ljubjana, etc.  Co-operation of NCPs!

32. ©M. Horvat, BIT, AT - Nr. 32 21.09.01: Bratislava, SK 25.09.01: Kosice, SK 01.10.01: Budapest, HU 09.10.01: Brno, CZ 09.10.01: Tallinn, EE 11.10.01: Szeged, HU 11.10.01: Riga, LV 12.10.01: Pecs, HU 15.10.01: Vilnius, LT 16.10.01: Prague, CZ 17.10.01: Gdansk, PL 23.10.01: Timisoara, RO 25.10.01: Bukarest, RO 06.11.01: Sczecin, PL 07.11.01: Sofia, BG 08.11.01: Wroclaw, PL 14.11.01: Warsaw, PL 15.11.01: Cracow, PL 27.11.01: Maribor, SI 28.11.01: Ljubljana, SI Austrian Partnership for Research with the Candidate Countries The 2001 BIT „Road show“ Coordinator in BIT: Dr. Gerald Mueller-Niklas

33. ©M. Horvat, BIT, AT - Nr. 33 Research Infrastructures  Integrated Initiatives (access, RTD, dissemination)  Communication Network Development  Transnational Access  Design Studies (<5-10% of total cost)  Development of New Infrastructures

34. ©M. Horvat, BIT, AT - Nr. 34 Science and Society  Bringing research closer to society  science and governance  scientific advice and reference systems  Responsible research & application of S&T  ethics  uncertainty, risk and the precautionary principle  Stepping up the science/society dialogue and women in science  public understanding  young peoples’ interest in scientific carriers  women and science

35. ©M. Horvat, BIT, AT - Nr. 35 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 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 intellectual property (IPR)

36. ©M. Horvat, BIT, AT - Nr. 36 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 (training)  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

37. ©M. Horvat, BIT, AT - Nr. 37 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

38. ©M. Horvat, BIT, AT - Nr. 38 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