1. Science, research and development European Commission DG RTD A-2/09/2001 1 Towards the implementation of the next Framework Programme The new instruments Participation rules Intellectual Property Rights Evaluation procedures

2. Science, research and development European Commission DG RTD A-2/09/2001 2 As foreseen by the Treaty: Strengthen S&T bases and competitiveness of European industry; promote research in service of other Community policies As a consequence of ERA objective set by Lisbon European Council (March 2000): Contribute to the creation of the European Research Area FRAMEWORK PROGRAMME 2002-2006: STRATEGIC OBJECTIVES

3. Science, research and development European Commission DG RTD A-2/09/2001 3 Concentration: On selected priority research areas Structuring effect: Through powerful new instruments Stronger links with national, regional and other European initiatives Simplification: New implementation modalities and de-centralized management procedures FRAMEWORK PROGRAMME 2002-2006: BASIC PRINCIPLES

4. Science, research and development European Commission DG RTD A-2/09/2001 4 Integrating European research: Seven thematic priorities plus anticipation of policy needs (€ 12.77 bn) Structuring ERA: Innovation Human resources Infrastructures Science & Society (€ 3.05 bn) Strengthening the foundations of ERA: Coordinaton of activities Coherent policy development (€ 0.45 bn) THREE-PILLAR STRUCTURE FRAMEWORK PROGRAMME 2002-2006:

5. Science, research and development European Commission DG RTD A-2/09/2001 5 Mainly through  Networks of Excellence  Integrated Projects  EU participation in joint execution of national programmes “Integrating European research”

6. Science, research and development European Commission DG RTD A-2/09/2001 6 In order to reinforce European scientific and technological excellence, each network aiming at ambitious advances of knowledge in the area within which it is set up WHY? Networks of Excellence (NoE)

7. Science, research and development European Commission DG RTD A-2/09/2001 7  Through a progressive and lasting integration of existing and emerging research capacities in Europe  Pooling of a critical mass of competence and skills (“Virtual Centre of Excellence”)  Under common strategic objective HOW ? Networks of Excellence (NoE)

8. Science, research and development European Commission DG RTD A-2/09/2001 8  Size : Participants from at least 3 different countries (MS or AS, min 2 MS or candidate countries) - but typically larger  Organised around core group of participants  EC contribution : may attain several million Euro/year  Duration : long lasting association, beyond period of EC support WHAT CHARACTERISTICS ? Networks of Excellence (NoE)

9. Science, research and development European Commission DG RTD A-2/09/2001 9  Primarily Research Entities : departments or research units within research centres, universities, large and small enterprises, and which are in a position to integrate their capacities and activities  Organisations competent in : network management, management, dissemination and transfer of knowledge  End users  From : Member States, Associated States, Third Countries, International Organisations WHAT TYPES OF PARTICIPANT ? Networks of Excellence (NoE)

10. Science, research and development European Commission DG RTD A-2/09/2001 10 “JOINT PROGRAMME OF ACTIVITIES” comprises:  Integrated R&D activities  Specific integration support activities  Spreading of excellence/competence activities WHAT ACTIVITIES ? Networks of Excellence (NoE)

11. Science, research and development European Commission DG RTD A-2/09/2001 11  Integrated R&D activities : –Following common roadmap –Pursuing joint objectives –In long term perspective –Often multi-disciplinary WHAT ACTIVITIES ? Networks of Excellence (NoE)

12. Science, research and development European Commission DG RTD A-2/09/2001 12  Specific integration support activities : –Mutual adaptation of members’ research programmes –Close linkage of members by means of advanced Information and Communication Technologies –Exchange of personnel (promotion of gender equality) –Development/use of joint research facilities –Joint management of the knowledge produced WHAT ACTIVITIES ? Networks of Excellence (NoE)

13. Science, research and development European Commission DG RTD A-2/09/2001 13  Spreading of excellence/competence : –Training of non-member organisation researchers –Dissemination / transfer of knowledge –Communication activities on network aims and achievements –Support of technological innovation for SMEs (take-up) –Analysis of relevant science and society issues WHAT ACTIVITIES ? Networks of Excellence (NoE)

14. Science, research and development European Commission DG RTD A-2/09/2001 14  Periodic calls for Proposals, in certain cases preceded by calls for Expression of Interest  Evaluation based on “Peer-Review” principle SELECTION Networks of Excellence (NoE)

15. Science, research and development European Commission DG RTD A-2/09/2001 15 EC contribution:  A grant to support integration  Amount determined at the outset as a function of the value of the research capacities being integrated  Additional to member “own” funding  Annual advance payments based on: previous year activity report and members’ resource utilisation report certified by independent auditors of own choice + detailed joint programme of activities for the following year FUNDING Networks of Excellence (NoE)

16. Science, research and development European Commission DG RTD A-2/09/2001 16 Single contract between EC and (as the case may be): –A co-ordinator –All or part of the participants –A common structure (association, EEIG, etc.) encompassing all members of the network Agreements between other members and the direct contractor(s) Joint and several financial responsibility of participants (who can legally assume it) CONTRACTUAL ASPECTS Networks of Excellence (NoE)

17. Science, research and development European Commission DG RTD A-2/09/2001 17 Increased flexibility and autonomy regarding:  Internal organization  Evolution of initial partnership (open calls, transparency, objective and fair evaluation)  Adjustment/modification of joint programme of activities according to evolving needs  Allocation of EC contribution among activities and/or participants IMPLEMENTATION Networks of Excellence (NoE)

18. Science, research and development European Commission DG RTD A-2/09/2001 18  Scientific and financial monitoring by Commission services, assisted by experts  Where useful, a Scientific and Technical Council, of appropriate high level composition, will monitor the Network providing advice and producing regular reports MONITORING Networks of Excellence (NoE)

19. Science, research and development European Commission DG RTD A-2/09/2001 19  In order to obtain results with significant and direct impact on European industrial competitiveness and/or  In order to contribute to solving important societal/global problems WHY? Integrated Projects (IP)

20. Science, research and development European Commission DG RTD A-2/09/2001 20  By mobilising a critical mass of resources and skills in the context of a new research actions  So as to attain, within a specified time frame, clearly defined objectives, in terms of scientific and technological knowledge and/or results applicable to products, processes, services or policy issues HOW ? Integrated Projects (IP)

21. Science, research and development European Commission DG RTD A-2/09/2001 21  Size : Participants from at least 3 different countries (MS or AS, min 2 MS or candidate countries) - but typically larger  EC contribution : may attain several million Euro/year  Duration : Fixed according to needs of project  Structure and organisation : –Partners with key role and global responsibility –Partners contributing to specific activities –Integration of all activities in a coherent whole either as single project with distinct work packages or as a “backbone” project with associated sub-projects WHAT CHARACTERISTICS ? Integrated Projects (IP)

22. Science, research and development European Commission DG RTD A-2/09/2001 22  Primarily Research Organisations : Institutes, universities, large and small enterprises  Organisations competent in : network management, management, dissemination and transfer of knowledge  End users  From : Member States, Associated States, Third Countries, International Organisations WHAT TYPES OF PARTICIPANT ? Integrated Projects (IP)

23. Science, research and development European Commission DG RTD A-2/09/2001 23 IN THE FORM OF AN EXECUTION PLAN :  Research and technological development and demonstration (often multidisciplinary, clearly defined and precise objectives)  Management, dissemination and transfer of knowledge  Analysis and evaluation of technologies  Training  Take up actions in particular for SMEs  Information and communication activities (including science and society issues) WHAT ACTIVITIES ? Integrated Projects (IP)

24. Science, research and development European Commission DG RTD A-2/09/2001 24  Periodic calls for Proposals, in certain cases preceded by calls for Expression of Interest  Evaluation based on “Peer-Review” principle, adapted to scale and scope of the project SELECTION Integrated Projects (IP)

25. Science, research and development European Commission DG RTD A-2/09/2001 25 EC contribution:  In the form of a grant to the project budget  EC contribution calculated at the outset on the basis of a provisional budget  Ceiling : up to max. 50% of the total budget  Payments, in form of yearly advances based on previous year activity report and financial report certified by independent auditors of participants’ choice + the detailed “execution plan” and budget for the following year FUNDING Integrated Projects (IP)

26. Science, research and development European Commission DG RTD A-2/09/2001 26 Single contract between EC and (as the case may be): –A co-ordinator –All or part of the participants –A common structure (association, EEIG, etc.) encompassing all members of the network Agreements between other members and the direct contractor(s) Joint and several financial responsibility of participants (who can legally assume it) CONTRACTUAL ASPECTS Integrated Projects (IP)

27. Science, research and development European Commission DG RTD A-2/09/2001 27 Increased flexibility and autonomy regarding:  Internal organization  Evolution of initial partnership (open calls, transparency, objective and fair evaluation)  Adjustment/modification of joint program of activities according to evolving needs  Allocation of EC contribution among activities and/or participants IMPLEMENTATION Integrated Projects (IP)

28. Science, research and development European Commission DG RTD A-2/09/2001 28  Scientific and financial monitoring by Commission services, assisted by experts  Where useful, a Scientific and Technical Council, of appropriate high level composition, will monitor the IP providing advice and producing regular reports MONITORING Integrated Projects (IP)

29. Science, research and development European Commission DG RTD A-2/09/2001 29  Over 80% of publicly funded research in Europe is conducted at national level  Little co-ordination among national programmes, and among national, European and Community programmes  ERA requires real partnership of all research policy actors WHY? Coordination and Article 169

30. Science, research and development European Commission DG RTD A-2/09/2001 30  “ Open co-ordination method” (Lisbon)  Proposed new FP contributes to this objective through –Actions foreseen under the heading “Co-ordination of research activities” –Article 169 mechanism in support of joint implementation of programmes HOW ? Coordination and Article 169

31. Science, research and development European Commission DG RTD A-2/09/2001 31  Boost the scale of financial and human resources mobilised  A better overall allocation of resources;  Enhance cohesion and complementarity among national and European programmes  Accelerate pace of production of results  Pave the way toward a European research policy WHAT CAN WE EXPECT TO ACHIEVE ? Coordination and Article 169

32. Science, research and development European Commission DG RTD A-2/09/2001 32 Discussion with MS (CREST, HLG mainly) showed: - high diversity in national/regional situations - high diversity among the different S&T fields - need for flexible mechanisms - community called for stimulation of the process FIRST STEP : NETWORKING OF NATIONAL PROGRAMMES Coordination and Article 169

33. Science, research and development European Commission DG RTD A-2/09/2001 33 Networking in the Specific Programmes: - Within “ Integrating and strengthening the ERA”: - networking of national/regional activities in any S&T field - development of an integrated information system. - Within “Structuring the ERA”: - co-operation/synergies of national programmes on human resources and mobility. - opening up to researchers from other MS and Associated Countries FIRST STEP : NETWORKING OF NATIONAL PROGRAMMES Coordination and Article 169

34. Science, research and development European Commission DG RTD A-2/09/2001 34  Strong networking may take form of joint implementation of programmes undertaken by several Member States  In that case, the Treaty opens the possibility for Community participation: one of the three instruments to implement the priority thematic areas of the new FP.  Main differences with the other two instruments: - MS are at the root of any concrete action - to be used in cases where the scale and the diversity of mobilised resources are beyond the scope of the other two instruments FURTHER STEP : ARTICLE 169 Coordination and Article 169

35. Science, research and development European Commission DG RTD A-2/09/2001 35 FP6 Participation Rules Three principles:  Opening of projects to new participants  Flexibility in operational conditions, including procedures for launching new activities  Great autonomy in project implementation

36. Science, research and development European Commission DG RTD A-2/09/2001 36 New features:  Exactly same rights and obligations for MS and candidate AS  For CERN, ESA, ESO… same conditions as for MS institutions  Third country participants are fully entitled to participate in the bulk of the FP. Organisations eligible to take part in specific international cooperation actions are entitled to receive funding (NIS, Mediterranean and developing countries)  Community financial contribution in new forms (grants for integration, grants to budget), with essentially ex-post controls  Consortia can change partnership, including through competitive calls FP6 Participation Rules

37. Science, research and development European Commission DG RTD A-2/09/2001 37 Minimum consortia  To be specified in the work programmes according to the nature of instruments and RTD activities  Absolute minima:  for NoE and IP: 3 independent legal entities from 3 different MS or AS, of which at least 2 from MS or candidate AS  for specific targeted projects: 2 independent legal entities from different MS or AS, of which at least one from a MS or candidate AS  European Economic Interest Groups (EEIG) or other legal entities made up of independent legal entities may act as single participants if their composition is in accordance with the above rules. FP6 Participation Rules

38. Science, research and development European Commission DG RTD A-2/09/2001 38 NoE: Grant for integration Total value of capacities and resources to be integrated Community contribution (up to 25%) IP and others: Grant to budget Total budget of the project Community contribution (up to 50%) FP6 Participation Rules Community contribution

39. Science, research and development European Commission DG RTD A-2/09/2001 39 Changes in consortium membership  For all instruments: modification of membership is possible within the limits of the initial Community financial contribution and with agreement by the Commission  For NoE, IP: changes in membership requiring publication of a competitive call shall be specified in advance in the programme of activities/execution plan. Wide advertising and independent evaluation is required FP6 Participation Rules

40. Science, research and development European Commission DG RTD A-2/09/2001 40 New IPR rules Established and well functioning principles are kept, e.g.:  Participants will own results they have generated.  Emphasis on use of results. Dissemination if appropriate or if results are not used.  SMEs will own results generated in SME- activities. FP6 Participation Rules

41. Science, research and development European Commission DG RTD A-2/09/2001 41 New IPR rules main changes with regard to FP 5: (1/2)  Simplified System of access rights (ARs) by giving up distinction between different types of participants and by reducing the number of AR granting conditions (FP5: royalty- free, favourable conditions, market conditions).  Obligatory ARs reduced to assure protection of participants’ intellectual property and make exploitation of results economically attractive.  Exclusion of pre-existing know-how from the obligation to grant access possible (written agreement). FP6 Participation Rules

42. Science, research and development European Commission DG RTD A-2/09/2001 42 New IPR rules main changes with regard to FP 5: (2/2)  No more obligatory ARs to project results between projects  ARs to project results only if the demanding participant needs access to another participant’s knowledge to use its own knowledge. FP6 Participation Rules

43. Science, research and development European Commission DG RTD A-2/09/2001 43 Basic evaluation criteria (a) Relevance to the objectives of the specific programme (b) Scientific and technological excellence (c) Community added value (d) Quality of plan for use and/or dissemination of knowledge, potential for innovation and ability to manage intellectual property (e) Resources, competences, organisation FP6 Participation Rules

44. Science, research and development European Commission DG RTD A-2/09/2001 44 Basic evaluation criteria In addition to (c):  For NoE: scope and degree of effort to achieve integration, capacity of the network to promote excellence beyond its membership, prospects for long- term integration  For IP: scale of ambition of the objectives, capacity to make a significant contribution to reinforcing competitiveness or solving societal problems  For integrated infrastructure initiatives: prospects for long-term continuation after the end of the Community financing FP6 Participation Rules

45. Science, research and development European Commission DG RTD A-2/09/2001 45 Appointment of independent evaluators  calls for applications from individuals  suggestions from research organisations  individual appointments FP6 Participation Rules

46. Science, research and development European Commission DG RTD A-2/09/2001 46 Improved evaluation system Established and well functioning principles are kept, e.g.:  peer review by independent external experts  common Evaluation Manual  principles of quality, transparency, equality of treatment, impartiality, efficiency and speed FP6: Evaluation of Proposals

47. Science, research and development European Commission DG RTD A-2/09/2001 47 main changes with regard to FP 5: Simplification of procedures: procedures described in common Evaluation manual; criteria described in specific work programmes Transparency of selection of evaluators: combining the open call for experts and suggestions from other bodies, including the MS Flexibility in accordance with new instruments: including possibility of multiple stages for proposal submission and proposal evaluation FP6: Evaluation of Proposals

48. Science, research and development European Commission DG RTD A-2/09/2001 48 Invitation to discuss with the MS, AS and the broader research community on ways of improving the proposal evaluation process A broad debate FP6: Evaluation of Proposals