european commission - directorate-general for research 19.11.02warsaw.doc the sixth framework...
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The SixthFrameworkProgramme(2002-2006)
A new Research Framework Programme (FP) designed to help realise the European Research Area (ERA)
www.cordis.lu/fp6/europa.eu.int/comm/research/fp6/
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The SixthFrameworkProgramme
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What is the European Research Area?
Long-term goal of ERA, launched at Lisbon summit 2½ years agoto create a true “internal market” for research in Europe
Why do we need ERA?Europe will fall far short of its economic potential unless
it reverses decades of technological underperformance
but for that to happen, Europe must first tackle deep-rooted structural weaknesses in its research and innovation systems
hence ERA
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The SixthFrameworkProgramme
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What are these structural weaknesses?
Underinvestment in the research systemboth financial and human
particularly by the business sector
Unfriendly environment for research and innovationregulatory shortcomings
financial weaknesses
weak culture of entrepreneurship
networking failures
unfriendly social environment…
Excessive fragmentation of public researchcoupled to low levels of cooperation and coordination
between countries on policies and programmes3
The SixthFrameworkProgramme
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Why FP6 became a tool to realise ERA?
The FP is the only funding arm of EU research policyprimary mission of new FP must therefore be to help
realise ERA
Previous FPs had, however, a different missionwere not designed to tackle our structural weaknesses
were instead designed to support network-building and high quality research though often failed to mobilise the critical mass needed to
achieve ambitious objectives of European dimension
were also overly complex and excessively bureaucratic in their implementation
Therefore, to address its new mission, the concept of the FP had to be totally rethought
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The SixthFrameworkProgramme
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Key features of FP6 (1)
For its objective-driven thematic componentsmuch greater concentration on a limited number of
topics of strategic importance to Europewhere the research needs to be carried out at the European
level
using new more effective instruments capable of mobilising the activities and resources necessary to achieve ambitious objectives of European dimension integrated projects, networks of excellence, Article 169
Note: these new instruments are the principal innovation in the thematic components of FP6
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Key features of FP6 (2)
Better balance between objective-driven thematic research and actions to reinforce Europe’s research baseexpanded and better targeted training & mobility actions
new bottom-up action to support emerging S&T (“NEST”)
expanded support for research infrastructures
mainstreaming of most international cooperation, innovation and SME support measures
new science and society action
expanded range of measures to support open coordination in research policy-making
new scheme (“ERA-NET”) to support the networking and mutual opening of national programmes
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Key features of FP6 (3)
Simplified and streamlined implementationto reduce overheads of participating
to speed up procedures
to increase flexibility and autonomy of contractors
Full integration of the associated candidate countriesresearch is first policy area where these countries are
fully integrated into the EU
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FP6 budget
€ billion
Focusing and integrating Community 13.345research (“thematic”)
Structuring ERA (“underpinning”) 2.605
Strengthening the foundations of ERA 320(“coordinating”)
Euratom (“nuclear”) 1.230
€17.5 billion (compared to €14.96 billion in FP5)an increase of 9% in real terms (a satisfactory result)
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Structure of FP6*
Integrating European Research (76%)
Priority Thematic Areas (64%) Specific activities
Policy-orientedresearch
New and emerging S & T
Specific SME activities
Specific international cooperation activities
Lif
e sc
ien
ces
…
Info
rmat
ion
so
ciet
y …
Nan
ote
chn
olo
gie
s …
Aer
on
auti
cs a
nd
sp
ace
Fo
od
qu
alit
y an
d s
afet
y
Su
stai
nab
le d
evel
op
men
t …
Cit
izen
s an
d g
ove
rnan
ce …
JRC activities
Structuring ERA(15%)
Strengthening ERA foundations(2%)
Researchandinnovation
Humanresources& mobility
Researchinfra-structures
Science andsociety
Coordination of nationalactivities
Support for policydevelopment
excluding Euratom (7%)
of which, 15% for SMEs9
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Timetable of FP6
February 2001 Commission proposals for FP6
March 2002 Invitation to submit EoIs
June 2002 EP/Council co-decision on FP6
September 2002 Results of EoI exercise published
September 2002 Council decisions on SPs
17 December 2002 Initial calls for proposals
March-June 2003 First deadlines
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“Instruments for implementing
FP6 prioritythemes”
A classification of the instruments availableto implement the priority thematic areas
of the Sixth Framework Programme
europa.eu.int/comm/research/fp6/networks-ip.html
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Instruments for implementing
FP6 prioritythemes
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A wider range of better differentiated instruments
“New” instrumentsintegrated projects
networks of excellence
article 169 (joint implementation of national programmes)
“Traditional” instrumentsspecific targeted research projects
coordination actions
specific support actions
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Instruments for implementing
FP6 prioritythemes
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Principles guiding their design
Simplification and streamliningto minimise the overheads for all concerned
to speed up procedures, especially time-to-contract
Increased legal and financial securityto avoid weaknesses of FP5 instruments
Flexibility and adaptabilityto enable projects to adapt to changing circumstances,
both in the science and in the partnership
Increased management autonomyto eliminate unnecessary micromanagement
While preserving public accountability and protecting interests of the Community
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Instruments for implementing
FP6 prioritythemes
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Integrated projects
Designed to generate the knowledge required to implement the priority themes of FP6by integrating the critical mass of activities and
resources needed
to achieve ambitious clearly defined scientific and technological objectives
Essentially therefore an instrument for supporting objective-driven research of a European dimensionwhere the main deliverable is new knowledge
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Instruments for implementing
FP6 prioritythemes
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Networks of excellence
Designed to strengthen Europe’s excellence on a particular research topicby integrating the critical mass of expertise needed to
provide European leadership and be a world force
through a joint programme of activitiesaimed primarily at creating a durable integration of the
research capacities of the network partners
Essentially therefore an instrument for tackling the fragmentation of European researchwhere main deliverable is a durable structuring and
shaping of how research is carried out in Europe
Each NoE also has a mission to spread excellencewhere training is an essential component
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Instruments for implementing
FP6 prioritythemes
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Article 169
Enables the Community to participate in research programmes carried out jointly by a number of MS
Potentially a most powerful instrument169s integrate national programmes
However, may be difficult to use in large numberseach requires a co-initiative by national programmes
and the Commission to generate a proposal
followed by long and complex decision-making, involving a co-decision of Parliament and Council
So far untriedthe Commission has now presented a pilot proposal
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Instruments for implementing
FP6 prioritythemes
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“Traditional” instruments
Retained to smooth the transition from FP5 to FP6particularly for smaller research actors, including SMEs,
and for participants from candidate countries
Also to support research activities of more limited scope and ambition
Three “traditional” instrumentsspecific targeted research projects
evolved form of FP5 RTD and demonstration projects
coordination actionsevolved form of FP5 concerted actions/thematic networks
specific support actionsevolved form of FP5 accompanying measures
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Instruments for implementing
FP6 prioritythemes
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Classification of the instruments
Instrument Purpose Primarydeliverable
Scale
IP
NoE
169
STRP
CA
SSA
objective-driven research
tacklefragmentation
joint MSprogrammes
research
coordination
support
knowledge
durablestructuring
knowledge and/or
structuring
knowledge
coordination
support
med-high
med-high
high
low-med
low-med
low
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Instruments for implementing
FP6 prioritythemes
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“FP6Integrated Projects”
A new instrument for supporting objective-driven researchof European dimension(as of November 2002)
europa.eu.int/comm/research/fp6/networks-ip.html
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FP6 Integrated
Projects
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What is their purpose?
Designed to generate the knowledge required to implement the priority themesby integrating the critical mass of activities and
resources needed
to achieve ambitious clearly defined scientific and technological objectives
Essentially therefore an instrument for supporting objective-driven research of a European dimensionwhere the main deliverable is new knowledge
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FP6 Integrated
Projects
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What activities can be supported?
Activities integrated by an IP may cover the full research spectrummust contain a research component
may contain technological development and demonstration components
may contain a training component
must ensure the effective management of knowledge, and when appropriate its exploitation
all within a unified project management structure
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FP6 Integrated
Projects
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What is the scale of critical mass?
Concerning resources: each IP must assemble the critical mass needed to achieve its ambitious goalsactivities integrated may range up to € several tens of
millionsbut no minimum threshold, provided necessary ambition and
critical mass is achieved
Concerning its partnership: minimum of three participants from three different countriesbut in practice likely to be substantially more
Concerning its duration: typically three to five yearsbut more if necessary to deliver its objectives
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FP6 Integrated
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Community support will be in the form of a “grant to the budget”
Paid as a contribution to actual coststhat are necessary for the project
determined according to the usual accounting conventions of each participant
recorded in the accounts of the participants or, if provided in the contract, in the accounts of third parties
excluding indirect taxes, interest…
(Note: As each participant is free to use its own accounting conventions, there will be no pre-defined cost categories as in FP5.)
What type of financial regime?
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FP6 Integrated
Projects
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A family of three simplified cost modelsFC: full direct and full indirect costs
FCF: full direct costs plus 20% (excluding subcontracts) for related indirect costs
ACF: additional direct costs plus 20% (excluding subcontracts) for related indirect costs
The FCF model will be an option for SMEs only
The ACF model is available only for public bodies and individuals
(Note: An organisation will normally use the same model in all FP6 instruments.)
What are the cost models?
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For full-cost participants, maximum rates are50% for RTD components
35% for any demonstration component
100% for any training component
100% for consortium management
ACF participants are supported at up to 100% of additional costs for all components of the project except for consortium management, which may be at
100% of full costs
Consortium management costs chargeable at 100% may not exceed 7% of the Community contribution
What are the rates of support?
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FP6 Integrated
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Annual advances
Annual settlement of paymentseach participant to provide a summary cost statement
supported bya management-level justification of costsa certificate by an independent auditor stating the total costs
incurred
What is the payments regime?
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FP6 Integrated
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Flexibility and autonomy of implementation
For the implementation plan, each year, the consortiumproposes a detailed plan for the coming 18 months
and may propose to update the overall planboth need approval of the Commission to enter into force
For the Community contributionthe contract will not specify its distribution between
participants nor between activities
For changes in the consortiumthe consortium may itself decide to take in new
participants (though without additional funding) the contract will specify when this must involve a competitive call
the Commission may decide to launch calls to add activities and participants (with additional funding)
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FP6 Integrated
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Payments and reporting schedule(example of a 4 year contract)
Activity report
Reported costs
Activity report Detailed work plan
Reported costs Adjusted advance
Activity report Detailed work plan
Reported costs Adjusted advance
Activity report
Reported costs
Detailed work plan
Adjusted advance
Detailed work plan
Initial advance
0 6 12 18 24 30 36 42 48
Months
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Evaluation process
Simplified proposal-makingreflecting evolutionary nature of the project
Evaluation by a strengthened peer-review systempossibly involving two-stage submission and
hearings of applicants…
Key evaluation criteria includeS&T excellence of the proposed project
scale of ambition and potential impact
critical mass in terms of both activities and resources
effectiveness of knowledge management
quality of project management
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FP6 Integrated
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“FP6Networks
ofExcellence”
A new instrument for tackling the fragmentation of European research(as of November 2002)
europa.eu.int/comm/research/fp6/networks-ip.html
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Networks of
Excellence
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What is their purpose?
Designed to strengthen Europe’s excellence on a particular research topicby integrating the critical mass of expertise needed to
provide European leadership and be a world force
through a joint programme of activitiesaimed primarily at creating a durable integration of the
research capacities of the network partnerswhile at the same time advancing knowledge on the topic
Essentially therefore an instrument for tackling the fragmentation of European researchwhere the main deliverable is a durable structuring and
shaping of how research is carried out in Europe
Each NoE also has a mission to spread excellence
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Networks of
Excellence
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What is a joint programme of activities?
The JPA consists of a range of “additional” activities integrating activities
coordinated programming of the partners’ activitiessharing of research platforms/tools/facilities/infrastructure joint management of the knowledge portfoliostaff exchanges, possibly relocation of staff and equipment reinforced electronic communications
joint research activitiesa programme of joint research to support the network’s goals
activities to spread excellence training programme of researchers and other key staffdissemination and communication
all within a unified management structure
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Networks of
Excellence
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What is the scale of critical mass?
Concerning expertise: the network must assemble the critical mass needed to achieve its ambitious goalswill vary from topic to topic
larger networks may involve several hundreds of researchers but networks may be much smaller, provided necessary ambition
and critical mass is achieved
Concerning its partnership: in general at least six legal minimum of three from three different countries
Concerning duration of Community support: typically five yearsbut up to seven years, if justified to create a durable
integration
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Networks of
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What type of financial regime?
Community support targeted at overcoming the barriers to a durable integrationbarriers are mainly organisational, cultural and human
cannot be quantified in normal accounting terms
Has led to the concept of providing an incentive for integrationtaking the form of a fixed grant
calculated mainly on basis of number of “researchers” that make up the research capacities of the partners on the
topic of the networkwhere a “researcher” has a PhD or at least four years
research experience
with a bonus for registered doctoral students
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Networks of
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Illustrative grant calculation
The average annual grant to a network could vary with the number of “researchers” as follows:
In this illustration, a network of 200 “researchers” supported over 5 years would be granted €17.5 million (plus any bonus for doctoral students)
50 researchers € 1 million/year 100 researchers € 2 million/year 150 researchers € 3 million/year 250 researchers € 4 million/year 500 researchers € 5 million/year 1000 researchers and above € 6 million/year
(for intermediate numbers, the grant would be calculated by linear interpolation)
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Networks of
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What is the payments regime?
Annual advances
Annual settlements paid on the basis of resultsi.e. will depend on a progressive advance towards a
durable integration
with an additional check that costs greater than the value of the grant are incurred in implementing the JPA
A results-based payments regime necessitates a robust system of output monitoringwith annual reviews, involving external experts
triggering a yellow flag/red flag, if a review is failed
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Networks of
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Flexibility and autonomy
For the JPA, each year, the networkproposes a detailed JPA for the coming 18 months
and may propose to update the overall JPAboth need approval of the Commission to enter into force
For the allocation of the Community grantthe partnership will have freedom to distribute it
between partners and between activities
For changes in the network partnershipthe partnership may itself decide to take in new
partners (though without additional financing)
the Commission may decide to launch calls to add partners (with additional financing)
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Networks of
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Evaluation process
Simplified proposal-makingreflecting evolutionary nature of the network
Evaluation by a strengthened peer review systempossible two-stage submission, hearings of applicants…
Key evaluation criteria includepotential impact on strengthening Europe’s excellence
extent, depth and lasting nature of the expected integrationability of the JPA to deliver this integration
collective excellence of the network partners
contribution to spreading excellence
management and governance of the network
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Networks of
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Governance of the network
A network’s governance must ensure institutional engagement by the partner organisationsthrough e.g. a “governing council” of senior
representatives from the partners to facilitate the integration of the partners’ activities
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Networks of
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