1. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°1 Acceding and Candidate Countries and the 6th Framework Programme Conference (Bucharest, February 12-13, 2004) “FP6 New Instruments : IP and NoE"

2. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°2 A wider range of better differentiated instruments for the thematic priorities New instruments *Integrated projects *Networks of excellence *Article 169 Traditional instruments *Specific targeted research projects *Coordination actions  Specific support actions

3. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°3 Principles guiding their design Simplification and streamlining *reduction of administrative burden and speed up procedures, especially time-to-contract Flexibility and adaptability *to enable instruments to be applicable throughout all the priority themes and projects to evolve Increased management autonomy *to eliminate unnecessary micro-management While preserving public accountability and protecting interests of the Community

4. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°4 Classification of the instruments

5. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°5 “FP6 Integrated Projects” An instrument for supporting objective- driven research of European dimension

6. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°6 Purpose of Integrated Projects Designed to generate the knowledge required to implement the priority thematic areas of FP6 *by integrating the critical mass of activities and resources needed *to achieve ambitious, clearly defined scientific and technological objectives Essentially an instrument for supporting objective- driven research of a European dimension

7. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°7 IP- Activities May cover the full research spectrum *must contain objective-driven research *technological development and demonstration components as appropriate *may contain a training component *the effective management of knowledge will also be an essential feature *the whole carried out in a coherent management framework

8. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°8 Critical mass Resources: those needed to achieve its ambitious objectives *but no minimum threshold, provided necessary ambition and critical mass is achieved Partnership: minimum of 3 participants from 3 different States, of which at least 2 should be M S or ACC *but in practice substantially more Duration: typically 3 to 5 years *but more if necessary to deliver the objectives

9. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°9 Financial regime (I) A Community “grant to the budget” paid as a contribution to actual costs *necessary to the project *determined in accordance with the normal accounting rules of the participants *recorded in their accounts *excluding indirect taxes, interests... Annual settlement of payments *an outline of previous 12 months’ activities *summary financial statement by participant *certification by independent auditor *justification of the costs incurred

10. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°10 Financial regime (2) 3 simplified cost methodologies (still under discussion) * full costs (FC) *full costs flat rate (FCF) *additional costs (AC) Maximum rates of support (FC-FCF participants) *research components: 50 % *demonstration components: 35 % *management and training: 100 % (7% rule) AC participants: 100 % of additional costs for all components

11. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°11 Evaluation process Calls for proposals ( possibly preceded by calls for expressions of interest) Simplified proposal making (evolutionary nature of the project) Strengthened peer review system (stages, individual reviews, panel sessions, hearings…) Key evaluation criteria *scale of ambition and potential impact *critical mass (activities, resources) *effectiveness of knowledge management *quality of project management *changes decided by the consortium (no additional funding) *calls launched by the Commission (with additional funding)

12. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°12 “FP6 Networks of excellence” An instrument for tackling the fragmentation of European research

13. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°13 NoE Objectives Strengthen Europe’s excellence on a particular research topic *by integrating the critical mass of expertise needed to provide European leadership and be a world force *around a joint programme of activities Tackling the fragmentation of European research *where the main deliverable is a durable structuring and shaping of how research is carried out in Europe Spreading excellence beyond its partners

14. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°14 NoE Joint programme of activities A range of new or re-oriented activities: Integrating activities *coordinated programming of the partners’ activities *sharing of research platforms/tools/facilities *joint management of the knowledge portfolio *staff mobility and exchanges *relocation of staff, teams, equipment *reinforced electronic communication systems Joint Research programme: to support the network’s goals Activities to spread excellence: training, dissemination and communication within a unified management framework

15. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°15 NoE Critical mass Expertise: this needed to achieve its ambitious objectives *variable from topic to topic *but no minimum threshold, provided necessary ambition and critical mass is achieved Partnership: minimum of 3 participants from 3 different States, of which at least 2 should be M S or ACC *but in general at least 6 Duration: typically 5 years, possibly more but no more than 7 years

16. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°16 NoE Financial regime(1) A fixed grant for integration, acting as an incentive, calculated on basis: *of the degree of integration *of the total number of researchers *of the characteristics of the field of research *of the joint programme of activities *with a bonus for registered doctoral students

17. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°17 NoE Financial regime(2) The average annual grant to a network could vary with the number of researchers as follows:

18. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°18 NoE Payments regime Annual payments of the grant will be paid on the basis of results *depending on a progressive advance towards a durable integration *with an additional check that costs of at least the value of the grant were incurred in implementing the joint programme of activities

19. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°19 NoE Evaluation process Calls for proposals ( possibly preceded by calls for expressions of interest) Simplified proposal making (evolutionary nature of the network) Strengthened peer review system (stages, individual reviews, panel sessions, hearings…) Key evaluation criteria *potential impact on strengthening European excellence *collective excellence of the network’s members *extent, depth and lasting nature of integration *contribution to spreading excellence *management and governance of the network *critical mass (activities, resources) *effectiveness of knowledge management *quality of project management *changes decided by the consortium (no additional funding) *calls launched by the Commission (with additional funding)

20. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°20 NoE Governance and monitoring Institutional engagement by partners organisations *“governing council” (senior representatives of the partners): overseeing the integration of the partners’ activities Robust output monitoring by the Commission, assisted by external experts * annual reviews (basis for payment, yellow flag/red flag) *end-of-term review: assessment of impact and lasting character

21. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°21 Reminder Main NoE features(1) Demonstrated need for structuring *description of fragmentation on the topic *existence of excellent capacities in Europe in the topic  Is there a real need for a structuring intervention?

22. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°22 Reminder Main NoE features(2) Characteristics of the network planned *composition of the partnership: presence of key excellent actors *potential synergies, complementarities, potential specialisation among the members *quality/degree of integration planned  Is the network planned likely to constitute an answer to the fragmentation problem identified?

23. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°23 Reminder Main NoE features(3) Viability of the network during and beyond the period *awareness of high decision level representatives of the participating organisations: strong commitment *security regarding network’s funding, particularly beyond the period  Will the network constitute a durable answer to the problem identified?

24. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°24 Some general comments after the first calls oSome misunderstanding regarding the concept of integration oPartnerships as a rule too large oSome doubts about the use of the Community grant oSome uncertainty regarding the final « deliverable » expected from the network

25. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°25 Concept of integration o much further than simple co-ordination o requires an institutional active and permanent involvement o sort of “mutation process”

26. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°26 Partnerships o likely to allow for actual integration o all partners expected to be equal o all partners directly involved in the « governing board » o should remain manageable!!!

27. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°27 Use of the Community grant odecided by the consortium oon entirely autonomous basis ocan be used for ANY activity of the joint programme of activities (integrating activities, joint research programme, spreading of excellence, management)

28. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°28 What does the Commission expect as deliverable? Main objective: durable integration at the end of the funding period oBeyond the funding period (more than 5 years) oClearly demonstrated at the end of the period (legal structure, important shared investments, important common projects portfolio….)

29. European Commission - DG Research - Directorate B – “Structuring the European Research Area” Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°29 THANK YOU FOR YOUR ATTENTION Questions / Answers