Vassilis Kopanas

1
Information Society TechnologiesIn the 6th
Framework ProgrammeWhats new in FP6 and how to
participateBudapest, 2 April 2003

• Vassilis Kopanas
• DG Information Society / Unit D3

2
Presentation Outline

• New instruments
• New evaluation procedures
• New financial provisions

3
FP6 Documents

• Council Decisions adopting the FP6 its specific
  programmes
• Rules for participation, Regulation (EC) No.
  2321/2002
• Call text (call 2 text not yet available)
• IST Workprogramme 2003-4
• The Guides for proposers for all relevant
  instruments
• Model Contract
• Financial Guidelines (will be soon available)
• Evaluation Manual (will be soon available)
• Negotiation Guidelines (will be soon available)
• http//www.cordis.lu/fp6/find-doc.htm

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FP6 is Not Business as Usual

• From project-thinking to initiative-thinking
• New instruments
• Focused strategic objectives
• Concentration of efforts resources
• European Research Area perspective
• To help aggregate EU, Member State private
  funded efforts
• Not just supporting RTD
• New approach to administration
• One workprogramme
• Cross-priority research
• Less Commission bureaucracy

5
FP6 Instruments for Priority Areas

• Integrated Projects (IP)
• objective driven RTD
• critical mass of resources
• Networks of Excellence (NoE)
• to support RTD excellence
• to integrate long-term European expertise RTD
  resources
• Article 169
• jointly conducted RTD between European national
  programmes
• Specific Targeted Research Projects (STREP)
• shared-cost RTD demonstration projects (similar
  to FP5)
• Co-ordination Actions (CA)
• to network co-ordinate RTD innovation
  activities
• Specific Support Actions (SSA)
• to support implementation of FP6 activities
  policies

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Integrated Projects (IPs) at a Glance

• Why we need them?
• Increase impact of results
• Simplify project administration while preserving
  public accountability
• What to do?
• Pull together a critical mass of resources for
  focused goal-oriented RTD
• Include various elements of technology value
  chain
• Define a new model contract
• How to do it?
• Size Several M to tens of M (no lower limit)
• Duration 3-5 years
• Participants Min 3 legal entities (2 from MS or
  ACC)
• Industry-academia collaboration, including SMEs
• Simplified proposal making project management

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Networks of Excellence (NoE) at a Glance

• Why we need NoE?
• Based on existing European excellence on
  particular topics
• To address fragmentation of European research
• To progress knowledge on established or emerging
  fields
• What to do?
• Finance structural interventions on RTD
• Aim at lasting integration of RTD in Europe
• How to do it?
• Define Joint Programme of Activities (JPA)
• Size/Duration Several M/year, 5-7(max) years
• Participants Minimum 3 (2 from MS or ACC)
  Universities, research labs, industrial labs,
  enterprises (including SMEs)
• Critical mass of key actors
• Simplified proposal making project management

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NoE - Joint Programme of Activities
The NoE field
Partner 2
Partner 1
Partner1
Partner 4
Partner 3
RTD activities in Europe with the NoE (the JPA)
RTD activities in Europe before the NoE (today)
Co-ordinated
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Article 169

• Support to national RTD programmes, jointly
  executed according to Art. 169 of the Amsterdam
  Treaty
• At the initiative of the MemberStates
• EC funding used to supportjointly executed
  programmes

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Specific Targeted RTD Projects (STREP)

• Why we still need them?
• Provide a bridge between FP5 FP6
• Support research activities of more limited scope
  ambition than Integrated Projects
• Build further the constituency
• What to do?
• Focused RTD, innovation demonstration
• How?
• Similar to current RTD projects but different
  financial regime
• Size/Duration Several M, 2-3 years
• Participants Minimum 3 legal entities (2 from MS
  or ACC)
• Industry-academia collaboration, including SMEs

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Co-ordination Specific Support Actions

• Co-ordination Actions (CA)
• Similar to FP5 Thematic Networks
• Support to co-ordination of RTD/innovation
  activities at national/ regional/EU levels
• EC funding can cover up to 100 of additional
  costs
• Min 3 participants (2 from MS or ACC)

• Specific Support Actions (SSA)
• A limited scope FP5 Accompanying Measure
• Emphasis on support activities for the
  Workprogramme
• EC funding can cover up to 100 of additional
  costs
• Exceptionally could be proposed by a single
  organisation

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FP6 How to Participate
EVALUATION CRITERIA
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Proposal Positioning Impact

• Proposal Relevance to the objectives of the WP
• WP Strategic objectives (SO)
• Multidisciplinary Proposals
• Proposal Center of gravity on an open SO
• Proposal Potential Impact
• Reinforcing competitiveness, solving societal
  problems, added value of doing the work on EC
  level
• ST excellence, Degree of integration, Quality of
  co-ordination, Quality of Support Action
• Assessment of work content depending on the
  instrument used
• Highest threshold (except for SSA)

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Consortium Management

• Quality of the Consortium
• Partner eligibility for participation, consortium
  size
• High quality partners suited to the tasks,
  complementing each other, critical mass of
  expertise resources
• Involvement of SMEs
• Quality of Management
• Organisational structure, Project knowl.
  management (IPR)
• Mobilisation of resources
• Resource allocation, integration critical mass
• Financial plans

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Contractual Arrangements Comparison with FP5

• FP 5
  FP6
• - 5 model contract families - 1 Model contract
  (plus annexes) (38 types) -Annex I
  Description of Work
• -Annex II General Conditions
• -Annex III Instrument-Specific provisions
• - 5 different Annex II - 1 Annex II
• (General conditions) - 5 different Annex III
• 
  ( IP, NoE, STREP, CA,
  SSA)
• - Annex I for full duration - Annex I for full
  duration (all instruments) - Annex I for 18
  monthly periods (IP/NoEs)
• Voluntary Consortium Agreement - Mandatory
  Consortium Agreement
• (if not excluded by call text)
• - Members in CA/TN/Take-ups - Only contractors
  (in all instruments)

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Signature and Entry into Force

• Contract enters into force upon signature by the
  coordinator and the EC
• Coordinator must ensure other contractors sign
  without delay
• Contractual link of all contractors with the EC
• Distribution of advance payments shortly after
  entry into force
• Project begins on the date established in the
  contract (this may in exceptional cases be before
  the contract is signed)

New
New
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Changes in Consortium Membership

• Fixed overall EC financial contribution
• Consortium issues calls for proposals for new
  contractors - if so identified in Joint Programme
  of Activities (NoE) or Implementation Plan (IP)
• Consortium evaluates proposals with independent
  experts
• Commission may object to extension of number of
  contractors
• Additional overall EC financial contribution
• Commission issues call for proposals for new
  contractors

New
New
Incremental funding
18
Financial Provisions - Costs
New

• Cost categories not defined
• Costs must be
• actual, economic and necessary for the project
• incurred during the duration of the project
• recorded in the accounts
• follow contractors own accounting rules
• and must exclude indirect taxes, duties,
  interests, costs reimbursed in respect of another
  Community project, and not give rise to profit
• Audit certificates by external auditor
• in some instruments (IP/NoE) each partner, each
  year
• for public bodies competent public auditor

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Financial Provisions - Payments

• Periodic advances (pre-financing)
• yearly, for IPs and NoEs
• period to be specified in the contract for other
  instruments
• up to 85 of estimated EC contribution /-
  adjustments (up to 80 for instruments without
  collective responsibility)
• EC contribution depends
• on instrument used
• on contractors cost model (AC, FCF, FC)
• on type of activity (research, demonstration,
  training etc.)
• Distribution of EC contribution depends on
  consortium decisions

New
New
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Reimbursement of Eligible Costs
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Payment and Reporting Schedule
Activity report
Reported costs
( example of a four year IP contract )
Activity report
Detailed work plan
Reported costs
Adjusted advance
Activity report
Detailed work plan
Reported costs
Adjusted advance
Activity report
Detailed work plan
Reported costs
Adjusted advance
Detailed work plan
Initial advance
0 6 12
18 24 30
36 42 48
Months
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Further Information

DG-Research FP6 main Web page
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New Instruments

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ip

Model Contracts
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model-contract/index_en.html
Frequently

Asked Questions

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The European Research Area

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CORDIS RTD beyond 2002

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IST in FP6

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IST Helpdesk

Fax. [phone] E-mail
ist
_at_
cec
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eu
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