Norbert Brinkhoff-Button DG Information Society European Commission Information Society Technologies in the 6th Framework Programme Overview and update

Slide no 2 Mission of the directorate Subject area: Digital Content Remit: Make information accessible to all Overcome multilingual barriers Three pillars: MarketApplicationsResearch

Slide no 3 Implemented through... Research and Technology Development Multimodal interfaces Semantic-based knowledge systems, and Cognitive systems Application Development Technology-enhanced e-Learning Access to Cultural Heritage Information Market Public Sector Info. e-Content Safer Internet Legislative measures Financial intervention

Slide no 4 Outline of presentation The IST Priority The IST Priority –Timetable, FP6 context –Strategy, objectives and vision Workprogramme Workprogramme –Principles & approach, “strategic objectives” –Roadmap of calls and budget –IST Expressions of Interest FP6 instruments FP6 instruments –Integrated Projects –Networks of Excellence –Specific Targeted Research projects –Coordination actions & support measures –Article 169 Next steps & sources of information Next steps & sources of information

Slide no 5 The timetable for FP6 Jun Adoption of FP6 Sep Adoption of Specific Programmes Nov Adoption of Rules for Participation? Dec Adoption of WP ? Dec First Call for Proposals ? Jun Second Call for Proposals ? ! ! PROVISIONAL ! ! ! PROVISIONAL = sections that are provisional

Slide no 6 European Research Area Moving to a European-level research policy: linking EU and MS efforts Moving to a European-level research policy: linking EU and MS efforts Requires new approach: concentration of efforts around strategic goals Requires new approach: concentration of efforts around strategic goals Specific Programmes, emphasizing: Specific Programmes, emphasizing: –Integration: research priorities & support for policies, SMEs, international co-operation –Structuring: innovation, mobility, infrastructures –Foundation: coordination, policy development

Slide no 7 IST in context Challenges Challenges –burst of the Internet bubble, economic slowdown –widening research gap with respect to US –faster IST life cycles; overcome fragmentation Union objectives Union objectives –Lisbon council: global race for knowledge –eEurope: consolidation in member states –IST: key technologies for knowledge creation, sharing and exploitation

Slide no 8 Vision Bring “people” to the foreground - build technologies for the background Bring “people” to the foreground - build technologies for the background ‘Our surrounding is the interface’ to IST applications and services ‘Our surrounding is the interface’ to IST applications and services Exploring interfaces beyond “the PC, screens & keyboard” Exploring interfaces beyond “the PC, screens & keyboard” Enabling multi-sensorial dialogue, everywhere, including with everyday objects (e.g: furniture, clothes, vehicles, smart materials, …) Enabling multi-sensorial dialogue, everywhere, including with everyday objects (e.g: furniture, clothes, vehicles, smart materials, …)

Slide no 9 Objectives and strategy Strengthen competitiveness and build knowledge society for ALL, through Strengthen competitiveness and build knowledge society for ALL, through –Concentration, focus and critical mass –Visionary, forward looking approach –Flexibility and speed in implementation –Core technologies AND applications

Slide no 10 Workprogramme - inputs Expression of interest (deadline 7/06/02) Expression of interest (deadline 7/06/02) –New research ideas, players and partnerships –BUT: lack of understanding of new instruments (eg only 15-30% were judged to be genuine IPs) –Report: instruments/home.html – Other inputs from ISTAG, IRGs, Call 8, sectoral workshops...

Slide no 11 Workprogramme - principles Limited set of “strategic objectives” Limited set of “strategic objectives” Aggregate private & public effort at EU level Aggregate private & public effort at EU level Best use of new instruments Best use of new instruments Incremental build up Incremental build up Contains: Contains: –S&T content –budget and evaluation criteria –terms of call (eg weights and thresholds) ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 12 Budget phasing First WP covers all topics of the SP Planning over 4 years One call drawing on 2005 budget Calls per year 964,000935,000891,000835,000 Indicative Budget Year Two calls drawing on 2003 and 2004 budgets Second WP (covers also all topics of SP) with updated focus ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 13 Workprogramme - approach Valid for two years ( ); Valid for two years ( ); –foresees 3 calls, with a fixed deadline –no continuous scheme (except for FET) Total of 23 strategic objectives Total of 23 strategic objectives –12 in first call, 11 in second call Instruments Instruments –ALL instruments applicable to objectives –2/3 of budget targeted to new instruments Strategic objectives - structure Strategic objectives - structure –S&T goals and focus (EU-level !) –which instrument for what –where useful, links with MS act., EU policies ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 14 Strategic Objectives in Call 1 & 2 1.Pushing the limits of CMOS, preparing for post-CMOS 2.Micro & nano-systems 3.Broadband access for All 4.Mobile & wireless systems beyond 3G 5.Towards a global dependability & security framework 6.Multimodal interfaces 7.Semantic-based knowledge systems 8.Networked audiovisual systems & home platforms 9.Networked business & government 10.eSafety for road and air transport 11.eHealth 12.Technology-enhanced learning & access to cultural heritage Call 1 1.Advanced displays 2.Optical, opto-electronic, photonic functional components 3.Open development platforms for software and services 4.Cognitive systems 5.Embedded systems 6.Applications & services for the mobile user & worker 7.Cross-media content for leisure and entertainment 8.GRID-based Systems & solving complex problems 9.Improving Risk management 10.eInclusion 11.Product design & manufacturing 2010 Call 2 Applications Technology components Integrated systems ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 15Budget 80% of budget (calls 1 & 2) is pre-allocated to strategic objectives, of which for knowledge and interface related technologies and applications (INFSO.D) : ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 16 Overview of FP6 instruments Integrated Projects (IP) Integrated Projects (IP) Networks of Excellence (NoE) Networks of Excellence (NoE) Article 169 (joint implementation of national programmes) Article 169 (joint implementation of national programmes) Specific Targeted Research Projects (STRP) Specific Targeted Research Projects (STRP) Co-ordination actions (CA) Co-ordination actions (CA) Specific Support Actions (SSA) Specific Support Actions (SSA)

Slide no 17 New instruments To foster integration & build critical mass To foster integration & build critical mass To give more autonomy (and responsibility) to consortium To give more autonomy (and responsibility) to consortium Specific purpose identified in WP / calls for proposals Specific purpose identified in WP / calls for proposals Ips and NoEs will be priority means Ips and NoEs will be priority means Evaluation of the use of new instruments in 2004 Evaluation of the use of new instruments in 2004

Slide no 18 Integrated Projects - purpose Achieve clearly defined objectives and results Achieve clearly defined objectives and results Integrate the types of activities needed to obtain the goals (full technology chain) Integrate the types of activities needed to obtain the goals (full technology chain) Integrate the critical mass of resources needed to obtain the goals Integrate the critical mass of resources needed to obtain the goals Support industry-academia collaboration including SME’s Support industry-academia collaboration including SME’s

Slide no 19 IP - activities Full technology chain Full technology chain –research and technology development –demonstration –technology transfer or take-up –training, dissemination, exploitation Special attention to Special attention to –coherent set of activities –appropriate management

Slide no 20 IP - critical mass Resources Resources –commensurate with objectives –budget up to several tens of M€ (criterion: ambition and critical mass) Partnership Partnership –min. 3 participants from 3 different countries (MS/ACC) Duration Duration –typically years

Slide no 21 IP - financial regime “Grant to the budget”, paid as contribution to actual costs, that are: “Grant to the budget”, paid as contribution to actual costs, that are: –necessary for the project (no predefined categories) –determined in accordance with each participant’s own accounting definitions and practices –recorded in the participant’s accounts Annual cost statements Annual cost statements –certified by an independent auditor –with a justification of costs coupled to a corresponding activity report Rolling advance scheme throughout duration Rolling advance scheme throughout duration

Slide no 22 IP - costing and rates Three cost methodologies Three cost methodologies –FC: full actual direct and actual indirect costs –FF: full actual direct costs plus 20% for indirect costs (excluding subcontracting) –AC: additional direct costs plus 20% flat rate (excluding subcontracting) Maximum rates (FC/FF) Maximum rates (FC/FF) –50% for RTD components –35% for any demonstration component –100% (direct costs only) for management & training –AC: <100% of additional costs for all comp’ts ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 23 IP - proposals Contents: Contents: –S&T objectives, socio-economic impact –outline “implementation plan” for whole duration –detailed implementation plan for first 18 months –global budget estimate –justification of resources and budget –ethical and safety issues... Reflect evolution, where appropriate Reflect evolution, where appropriate ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 24 IP - evaluation Strengthened peer-review system Strengthened peer-review system –possibility of 2-step evaluation, hearings of applicants Evaluation criteria include Evaluation criteria include –Relevance to objectives of SP –Potential impact –Scientific & technical excellence –Quality of consortium –Quality of project management –Mobilisation of resources ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 25 IP - contracts Signed by Commission and Signed by Commission and –a single (or several) designated participant(s) or a common legal structure (eg association, EEIG) –all participants are contractually linked to the Commission (equality wrt IPR, responsibilities) Participants share Participants share –joint & several technical responsibility –joint & several financial liability (except public entities) Consortium Agreement Consortium Agreement –mandatory, covers internal organisation of consortium, IPR arrangements ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 26 IP - flexibility & autonomy Rolling implementation plan Rolling implementation plan –annual updates, for coming 18 months; adjustments to overall plan (to be approved by EC) Community contribution Community contribution –no obligation to spell out distribution between participants or between activities Changes in the consortium Changes in the consortium –consortium decides on new participants (without additional funding) –competitive call by Commission to add activities and participants (with additional funding) –precision on conditions laid down in the contract ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 27 “Monolithic” partners known at outset tasks identified budget known “Incremental” participation tasks identified budget known not all participants are in “Incremental” funding objectives known technology roadmap known tasks to be completed budget to be changed participants as well IP - possible types of implementation

Slide no Months Reporting Accepted costs Reporting Detailed work plan Accepted costsAdjusted advance Reporting Detailed work plan Accepted costs Adjusted advance Reporting Accepted costs Detailed work plan Adjusted advance Detailed work plan Initial advance IP - payment & report schedule Example of 4 year contract

Slide no 29 Networks of Excellence - objectives To reinforce S&T excellence To reinforce S&T excellence –by integrating the critical mass of expertise needed to provide European leadership and be a world force –around a Joint Programme of Activity (JPA) To integrate research capacities across Europe To integrate research capacities across Europe –to overcome the fragmentation of European research, through durable integration –to progress knowledge on a particular theme To act as a “Virtual Centre of Excellence” To act as a “Virtual Centre of Excellence” To spread excellence beyond the partners To spread excellence beyond the partners

Slide no 30 NoE - critical mass Size is commensurate with the goals, and depends on topical area (up to several hundreds of researchers) Size is commensurate with the goals, and depends on topical area (up to several hundreds of researchers) Legal minimum of 3 participants from 3 different countries (MS or ACC) Legal minimum of 3 participants from 3 different countries (MS or ACC) Community support typically lasts five years - more if needed to achieve durable integration Community support typically lasts five years - more if needed to achieve durable integration Several M€ per year Several M€ per year

Slide no 31 NoE - “joint programme of activity” (JPA) Integrating activities Integrating activities –coordinated programming of the partners’ activities –sharing of research platforms/tools/software libraries –joint management of the knowledge portfolio - sharing of IPR –staff mobility and exchanges; relocation of staff, teams and equipment Joint research activities Joint research activities –a programme of joint research to support the network’s goals Activities to spread excellence Activities to spread excellence –training of researchers and other key staff –dissemination and technology transfer to industry All within a unified management structure All within a unified management structure

Slide no 32 NoE - implementation Evaluation criteria Evaluation criteria –Relevance to objectives –Potential impact on strengthening Europe’s excellence –Collective excellence & ambition of the network –Extent, depth and lasting character of the integration –Management and governance More autonomy More autonomy –possibility to modify plans, work allocation, launch call for participation (analogous to IPs - see “flexibility & automy”) Funding (grant for integration ) Funding (grant for integration ) –should be less than 25% of total effort of the JPA –funding is NOT a ratio of the total cost ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 33 NoE - financial regime, principles Community support to overcome the barriers to durable integration Community support to overcome the barriers to durable integration (these barriers are often organisational, cultural & human and cannot be quantified in normal accounting terms) Incentive as “fixed grant for integration” Incentive as “fixed grant for integration” –calculated on basis of the total number of researchers that make up the research capacities of the partners on the topic of the network –where a “researcher” has a PhD or at least four years research experience Payments in the form of annual disbursements of the grant will be paid on the basis of results: Payments in the form of annual disbursements of the grant will be paid on the basis of results: –progress towards durable integration –costs of at least the value of the grant were incurred in implementing the JPA ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 34 NoE - financial regime Grant for integration based on: Grant for integration based on: –the degree of integration proposed –the number of researchers to be integrated –the characteristics of the field of research –the JPA a lump sum per researcher ‘involved’ a lump sum per researcher ‘involved’ –starts from 20K€ per researcher –diminishes as the number of researchers increases Payments Payments –possibly degressive to avoid dependence –can be used by the network for any activity ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 35 Grant for integration - illustration Example: 200 researchers supported over 5 years would receive a fixed grant of 17.5 M€ 50 researchers …………………….€ 1 million/year 50 researchers …………………….€ 1 million/year 100 researchers ……………………...€ 2 million/year 100 researchers ……………………...€ 2 million/year 150 researchers …………………..….€ 3 million/year 150 researchers …………………..….€ 3 million/year 250 researchers ………………………€ 4 million/year 250 researchers ………………………€ 4 million/year 500 researchers ………………………€ 5 million/year 500 researchers ………………………€ 5 million/year 1000 researchers & above ……………€ 6million/year for intermediate numbers the grant would be calculated by linear interpolation The average annual grant to a network could vary with the number of researchers as follows ! ! PROVISIONAL ! ! ! PROVISIONAL

Slide no 36 NoE - governance and monitoring Institutional engagement by the partner organisations Institutional engagement by the partner organisations –through e.g. a “governing council” of senior representatives from the partners to oversee integration of the partners’ activities Robust output monitoring by the Commission Robust output monitoring by the Commission –annual reviews: basis for payment by results, triggering a yellow flag/red flag, if a review is failed –end-of-term review, to assess impact of network on strengthening and spreading excellence

Slide no 37 Targeted research projects Focused on one specific activity & on specific results: more limited in scope and ambition than IPs Focused on one specific activity & on specific results: more limited in scope and ambition than IPs Similar to RTD contracts in FP5: research (50%), demonstration (35%), combined research & demonstration Similar to RTD contracts in FP5: research (50%), demonstration (35%), combined research & demonstration Participation: at least 3 independent organisations, from at least 3 MS / ACC Participation: at least 3 independent organisations, from at least 3 MS / ACC Partnership: more limited than for IPs; particularly well suited for smaller research actors, and for participants from candidate countries Partnership: more limited than for IPs; particularly well suited for smaller research actors, and for participants from candidate countries Funding: grant to budget up to 50 % / 35% Funding: grant to budget up to 50 % / 35% Cost models: AC, FC and FF Cost models: AC, FC and FF Joint and several financial liability Joint and several financial liability

Slide no 38 Coordination & specific support actions Coordination Actions Similar to FP5 thematic networks Similar to FP5 thematic networks Support to logistics,.. Support to logistics,.. Can cover up to 100% of eligible costs Can cover up to 100% of eligible costs Specific Support Actions An evolved form of accompanying measures of FP5 An evolved form of accompanying measures of FP5 –e.g. studies and analyses, expert groups, operational support, dissemination, information & communication Can cover up to 100% of eligible costs, and be carried out by one participant Can cover up to 100% of eligible costs, and be carried out by one participant Call for Grants: Call for Grants: conferences, workshops or exhibitions

Slide no 39 Article 169 At the initiative of the Member States At the initiative of the Member States –to support “national” programmes jointly executed according to article 169 (Treaty) EC funding to support the jointly executed programme EC funding to support the jointly executed programme To generate a proposal requires a co- initiative by national programmes and the Commission To generate a proposal requires a co- initiative by national programmes and the Commission –requires co-decisions of Council and Parliament –so far untried

Slide no 40 Networks of Excellence Industrial exploitation Current Industrial strength / presence Fundamental research Basic research Industry-driven research Targeted Research Projects Example of implementation in IST « Monolitihic » Incremental Integrated Projects

Slide no 41 Who? Who? Member States AND Associated Candidate Countries, same rights & obligations Member States AND Associated Candidate Countries, same rights & obligations European scientific co-op. organisations (ESA etc) European scientific co-op. organisations (ESA etc) Minimum number of legal entities Minimum number of legal entities – IP and NoE = 3 (2 from MS/ACC) – Other instruments = idem – Fellowships & support actions = 1 (possible) (Numbers can be adjusted by WP) 3rd Countries IN the ‘Integrating’ part …. IN the ‘Integrating’ part …. – All countries – Funding possible for INCO countries OUTSIDE ‘Integrating’ part OUTSIDE ‘Integrating’ part – Countries with co-operation agreement under specified conditions – Other countries if necessary FP6 Participation rules

Slide no 42 Preparations for the first call Complete & publish WP Complete & publish WP Complete & publish call related documentation (Call details, Guide for proposers, Evaluation manuals, etc) Complete & publish call related documentation (Call details, Guide for proposers, Evaluation manuals, etc) Retrofit internal procedures to FP6 (committee, advisory structure, informatics support) Retrofit internal procedures to FP6 (committee, advisory structure, informatics support) Support to information days and proposers Support to information days and proposers IST2002 conference in Copenhagen (Nov. 4th-6th) IST2002 conference in Copenhagen (Nov. 4th-6th)

Slide no 43 Sources of information DG-Research FP6 web main page IST on CORDIS New Instruments Model Contracts groups/model-contract/index_en.html Frequently asked Questions The European Research Area CORDIS RTD beyond ISTAG on CORDIS IST helpdesk IST helpdesk Fax :