©m. horvat, bit, at - nr. 1 the instruments available for participation in fp6 manfred horvat bit -...
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©M. Horvat, BIT, AT - Nr. 1
The Instruments Available for Participation in FP6
Manfred HorvatBIT - Bureau for International Research and Technology Cooperation, AT An initiative of the Austrian Government and the Economic Chamber Austria
New opportunities for academic institutions andenterprises to participate in EU RTD programmes
TU Kosice, 12-13 December 2002
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Contents
Consider the whole spectrum of instruments!The new instrumentsThe traditional instrumentsNetworks of ExcellenceIntegrated ProjectsArt. 169 Treaty“Stairways to excellence”Evaluation criteria
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There are several possibilities to get benefit from FP6:
a number ofdifferent “Instruments” to
participate in FP6!
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FP6: The new instruments
Networks of Excellence *)Integrated Projects *)EU contribution to joint nat. programmes (Art 169)specific measures for SMEs
collective researchtraining and mobility of researchers
third countries fellowships, return fellowships,excellence measures
research infrastructures:feasibility studies, development costs
*) In priority thematic areas
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FP6: The traditional instruments“stairways of excellence”:
specific targeted RTD projects (STREPs)coordination activities
specific measures for SMEsCRAFT: Cooperative Research Action for Technology
training and mobility of researcherse.g. Marie Curie fellowships, networks, training sites
research infrastructuresaccess, integration
Specific coordination actione.g. thematic networks, concerted actions
Specific support actionse.g. stimulation actions, economic and technological intelligence actions, studies,
conferences
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New instruments in priority thematic areasNetworks of Excellence
to strengthen Europe‘s scientific and technological excellence
to act against fragmentationto network critical massto 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!
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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/facilitiesstaff mobility and personnel exchangereinforced electronic communication and collaborative workpossibly relocation of staff, teams and/or equipment
joint research activitiesmedium to long-term plan for joint research
activities to spread excellencejoint training of researchers and other key staffdissemination, communication, knowledge transfer
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New instruments in priority thematic areasNetworks of Excellence
Size: minimum of 3 partners from 3 different countries - normally larger (>6)!
Main aspects of JPA:advancing knowledge on a topicconsidering innovation, infrastructure, human resources &
training, science & society aspectsopening up to other EU, AS and 3rd countriesfostering the participation of womenconsidering science/society aspects
Duration: 5-7 years (sustainability!)
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New instruments in priority thematic areasNetworks of Excellence
EU financial contribution:a new approach
not a „cost“ approachEU contribution targeted at
stimulating durable integration, willingness to change
overcoming organisational, cultural, human barriers
an „INCENTIVE“ for integration, organisational change, mutual specialisation
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New instruments in priority thematic areasNetworks of Excellence
EU financial contributionoverall grant on the basis of the results from
implementation of a joint programme of activitiesseveral 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
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New instruments in priority thematic areasNetworks of Excellence
Management aspects:a unified management structure institutional committment, e.g. „governing council“quality assurance: external experts, sci boardCommission: annual, mid-term review end of term
monitoring and reviewscientific, technological and financial monitoring, exploitation
and dissemination of results, ethical monitoring (continuous)managerial autonomy:
adapting JPAassociating new partners
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Contents of NoE proposal
Objectives and strategic impactexcellence of the participants and
resources of the networkdegree of integration and the JPAorganisation and managementethics, safety and other issues
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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
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New instruments in priority thematic areas Integrated Projects
Size: minimum of 3 partners from 3 different countries - normally much larger!
Main characteristics: integrating different disciplinesintegrating 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)
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New instruments in priority thematic areas Integrated Projects
EU financial participationgrant 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 activitiesup 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 IPthere may be only 400 to 500 IP in FP6
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Content of IP proposal
Objectives and expected impactimplementation plan and associated
budgetthe consortium and the project resourcesproject managementexploitation and dissemination plansethics, safety and other issues
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New instruments in priority thematic areasNetworks 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 participantsEC contribution: several M€/yearDuration 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)
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New instruments in priority thematic areasNetworks of Excellence & Integrated
ProjectsImplementation: Autonomy & flexibilityEU funding:no distribution between participants and activities defined
in contract - CONSORTIUM AGREEMENT!!!Implementation Plan, JPA each year:
detailed plan for the coming 18 months onlypossibility to update of the overall plan depending on
requirements of the progress of the projectChanges in consortium:
consortium can decide to take new participants Commission may launch calls to add activities and
participants (with additional funding)
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Results from the 2002 EoI-Exercise
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New instruments: Article 169 TreatyCommunity participation in/contribution to
reseach programmes carried out jointly by a number of member states
potentially most powerful instrument:integrate national programmes, butdifficult to apply (?):each programme requires a co-initiative of national
programmes, a Commission proposal andlong and complex co-decision procedure (Council,
European Parliament)
Commission is preparing pilot proposal!
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New instruments: Article 169 TreatyEU participation in national programmes carried out
jointlyClearly identified programmes of governments or
national/regional research (funding) organisationsjoint 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 consultationEU financial contribution:
grant to the budgets of jointly executed activities; up to 50% of total costs
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„Stairway of excellence“Specific Targeted Research Projects (STREP) and
Coordination ActionsTo smooth transition from the „traditional“ to the
„new“ instrumentsto support research activities of more limited
scope and ambitionto develop new or improved products, processes
and servicesparticularly for smaller actors (e.g. SMEs,
organisations from Candidate Countries)Will be used degressively as FP6 proceeds
subject to independent evaluation in 2004
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Specific targeted res. projects (STREP)Sharply focused projects
to improve competitivenessResearch 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
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Content of STREP proposal
Objectives and expected impactWork plan and associated budgetThe consortium and the project resourcesProject managementExploitation and dissemination plansethics, safety and other issues
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EU financial contribution for IP, STREP
Different cost models will be available for different types oforganisations depending on accountancy systemFull cost (FC), full cost flat rate (FCF), additional costs
(AC)Maximum rates for FC/FF participants:
50% for research part35% for demonstration part100% (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
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Classification of instruments
DeliverablesInstrumentPrimary deliverable Secondary
deliverable
Scale
NoE Structuring Knowledge med-highIP Knowledge Structuring med-high
Art 169 Knowledgeand/or
Structuring
high
STRP Knowledge low-med
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Structuring the ERAResearch and innovation
Human resources
Research infrastructures
Science and society
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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
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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
HostActions
IndividualActions
ExcellenceActions
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Re-inforcing the BIT initiative: „Partnership for Research“
Strategic use of the MC Mobility Scheme:promoting Marie Curie fellows from Candidate
Countries to Austriapreparing a EU RTD project as integrated part of the
Marie Curie trainingpromoting Marie Curie fellows from Austria to
Candidate Countries
preparing the ground forlong-term cooperation
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„Partnership for Research“:A strategic approach
Partnership Catalogue: more than 600 possible host organisations!
Web page:http://www.bit.ac.at/partnership
advertisments in newspaperse.g. Rzeczpospolita in Poland
“road show” e.g. Bratislava, Kosice, Cracow, Gdansk, Warsaw,
Budapest, Prague, Ljubjana, etc.
Co-operation of NCPs!
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21.09.01: Bratislava, SK25.09.01: Kosice, SK01.10.01: Budapest, HU09.10.01: Brno, CZ09.10.01: Tallinn, EE11.10.01: Szeged, HU11.10.01: Riga, LV12.10.01: Pecs, HU15.10.01: Vilnius, LT16.10.01: Prague, CZ
17.10.01: Gdansk, PL23.10.01: Timisoara, RO25.10.01: Bukarest, RO06.11.01: Sczecin, PL07.11.01: Sofia, BG08.11.01: Wroclaw, PL14.11.01: Warsaw, PL15.11.01: Cracow, PL27.11.01: Maribor, SI28.11.01: Ljubljana, SI
Austrian Partnership for Research with the Candidate
Countries
The 2001 BIT „Road show“
Coordinator in BIT:Dr. Gerald Mueller-Niklas
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Research Infrastructures
Integrated Initiatives (access, RTD, dissemination)
Communication Network DevelopmentTransnational AccessDesign Studies (<5-10% of total cost)Development of New Infrastructures
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Science and Society
Bringing research closer to societyscience and governancescientific advice and reference systems
Responsible research & application of S&Tethicsuncertainty, risk and the precautionary principle
Stepping up the science/society dialogue and women in sciencepublic understandingyoung peoples’ interest in scientific carrierswomen and science
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FP6: Evaluation criteria 1scientific and technological excellence and the degree
of innovationefficient management: resources, competencies,
organisational modalitiesRelevance to the objectives of the specific programmeEuropean added value, critical mass of resources
mobilised, contribution to EU policiesquality of plan for using or disseminating knowledge,
potential for promoting innovation, clear plans for the management of intellectual property (IPR)
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FP6: Evaluation criteria 2
Networks of excellence:the scope & the degree of effort to achieve integrationthe 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 objectvescapacity of the resources to contribute to
competitiveness or solving societal problems
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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 workactivities 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
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Establishing contact
Prof. Manfred HorvatDirector
Tel +43 1 581 16 16-114 (-109)
Fax +43 1 581 16 16-16 (-18)
or
http://www.bit.ac.at