Norbert BrinkhoffButton

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

• Objectives and strategy
• Workprogramme 2003-2004
• Instruments
• 1st Call for proposals
• Contracts and finance
• Hints

sections that are provisional
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Mission of the directorate
Subject area Digital Content Remit Make
information accessible to all Overcome
multilingual barriers ImplementationLegislation
andFinancial intervention
Information Market Public Sector
Info. e-Content Safer Internet
Knowledge
Information
Application Development Technology-enhanced
e-Learning Access to Cultural Heritage
Research and Technology Development Multimodal
interfaces and Cognitive Systems Semantic-based
knowledge systems
Content
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FP6 - main characteristics
Focus, excellence and impact

• Focus, fewer priorities, critical mass
• Lasting, structuring impact
• New instruments, strategic thinking
• (Partly) new implementation mechanism
• but also continuity ideas - people -
  constituencies - old instruments ...

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Programme

• Objectives and strategy
• Workprogramme 2003-2004
• Instruments
• 1st Call for proposals
• Contracts and finance
• Hints

Draft WP NOW available on Cordis
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Workprogramme 2003-2004
Limited set of strategic objectives, inviting
research to realise technology components,
integrated systems and applications, at European
level

• total of 23 objectives in 2003-2004 (cf. gt 60 in
  WP 1999)
• covers 3 calls with fixed deadline (except FET,
  grants)
• six instruments applicable throughout
• 2/3 of budget targeted to new instruments (esp.
  IP NoE)
• WP text includes ST content, hints as to which
  instrument to be used for what, and terms of call
  (dates, budget, evaluation criteria)

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Strategic Objectives in Call 1 2
Technology components
Integrated systems

Applications
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Budget
Phasing of annual budgets over calls
2006
Year
2005
2003
2004
964
IndicativeBudget ()
935
835
891
...
2
1
Call
3
...
...
Indicative Budget ()
1,100
600
...
Total IST budget 3625 ME GRIDS, GEANT 100 ME
from IST, 200 ME from Structuring
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Portfoliomanaged by this directorate
80 of budget is pre-allocated Remainder
flexible, to be allocated after
evaluation Allocation only for the first 2 years
to be revised for 2005-2006
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Programme

• Objectives and strategy
• Workprogramme 2003-2004
• Instruments
• 1st Call for proposals
• Contracts and finance
• Hints

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Overview of FP6 instruments

• Integrated Projects (IP)
• Networks of Excellence (NoE)
• Article 169 (joint implementation of national
  programmes)
• Specific Targeted Research Projects (STRePs)
• Co-ordination actions (CA)
• Specific Support Actions (SSA)

New
Old
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Integrated Projects
Designed to support research that has clearly
defined objectives and results

• Core activities
• genuine research work
• engineering tasks (esp. methods tools)
• system integration validation (total system
  approach)
• along with
• promotion dissemination of results
• training, awareness best practice (researchers,
  integrators, launching users)
• cooperation exchanges with related nationaland
  international efforts (incl. standards bodies)
• socio-economic impact consequences

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Example of an IP
Area Multi-sensorial interfaces
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Networks of Excellence
Designed to structure and shape research in a
given area

• Joint programme of activities
• Integrating activities
• coordinated programming of the partners
  activities
• sharing of tools/facilities/ infrastructures
• managing the knowledge portfolio
• staff mobility and exchanges
• Joint research activities
• undertaking research on topics supporting the
  networks goals
• Spreading excellence
• training of researchers and other key staff
• dissemination and technology transfer to industry

New or additionalto ongoing efforts
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Specific targeted research projects
Focused on one specific activity on specific
results more limited in scope and ambition than
IPs

• Business as usual, except for
• joint and several financial liability
• costing / funding adapted to grant scheme
• rates / activities research (50), demonstration
  (35), combined research demonstration
• Activities
• focussed RTD and / or demonstration management
• Partnership
• more limited than for IPs particularly well
  suited for smaller research actors

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Coordination specific support actions

• Coordination Actions
• Instrument for ad-hoc co-operation between
  organisations (no durable integration !), similar
  to FP5 thematic networks
• Activities include expert groups, seminars,
  studies, staff exchanges, project definition, etc
  
• Can cover up to 100 of eligible costs
• Specific Support Actions
• For conferences, working groups, fact finding,
  technology transfer, operational support and
  dissemination
• Can cover up to 100 of eligible costs, and be
  carried out by one participant
• Call for Grants conferences, workshops or
  exhibitions

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Article 169

• EC funding to support jointly executed member
  state programmes
• most powerful tool for integration
• However, long-winded implementation
• to generate a proposal requires a co-initiative
  by national programmes and the Commission
• Council and Parliament would have to approve

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Critical mass
Critical mass is achieved when all activities and
resources have been mobilised that are needed to
reach objectives and impact
Critical mass in the areas managed by this
directorate is taken to mean
This does not rule out efforts outside the
indicated range (justification !)
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Example of implementation in IST
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Programme

• Objectives and strategy
• Workprogramme 2003-2004
• Instruments
• 1st Call for proposals
• Contracts and finance
• Hints

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Call 1 Timetable (provisional)

• Publication 17 December 2002
• Call deadline 24th April 2003
• Evaluation weeks of 12th and 19th May 2003
• IP/NoE hearings week of 9th June 2003
• Negotiations from July 2003
• Commission Decision from October 2003
• Project start January 2004

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IST Infopack

• IST Workprogramme 2003-2004
• Call for proposals text Call 1 (Official Journal)
• Submission details (deadline, address...)
• Brochure The 6FP in Brief
• FP6 and Specific Programmes, instruments,
  proposal to contract (flowchart), contractual
  matters, etc
• Guides for proposers Call 1
• How to submit, references,..., proposal forms
• Instrument-specific annexes
• Evaluation Manual
• High level description of ground rules for
  evaluation
• Guidelines for Evaluators Call 1
• Evaluation process, evaluation forms

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Proposal content

• Part A
• Form A1 - General information
• Form A2 - Information on participants
• Form A3 - Cost breakdown (cost and grant
  requested as per activity / participant)
• Part B
• Aspects relating to evaluation criteria
• Other aspects (ethics, safety, gender)
• Overall workplan of project
• IPs, NOEs additionally provide
• 18 month Implementation plan/JPA (detailed)

No anonymity
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Proposal submission

• Electronic
• On CD/diskette, with paper backup
• On paper (one copy) to the ADDRESS SET OUT IN
  THE CALL TEXT
• NOT to the address used in FP5 NOT to any other
  Commission office !

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Evaluation

• Process
• Peer-review system (many experts needed !)
• 2-step evaluation (not in Call 1)
• Hearings of applicants (likely in Call 1)
• Evaluation selection criteria

Higher thresholds on partnership and
management. Higher weights on impact and
excellence.
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Programme

• Objectives and strategy
• Workprogramme 2003-2004
• Instruments
• 1st Call for proposals
• Contracts and finance
• Hints

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Contract Structure
One contract for all instruments

• Core contract
• Annex I - the project
• Annex II - general conditions (all
  instruments)
• Annex III - instrument specific provisions

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Changes in Consortium Membership

• Where Community financial contribution is
  static
• Consortium issues competitive call, to be
  evaluated with independent experts
• Selection subject to approval by the Commission
• Where Community financial contribution is
  increased
• Commission issues call for proposals for new
  contractors

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New Collective Responsibility of Participants

• Technical and financial responsibility
• Used as a last resort
• Limited in proportion to the participants
  share to the project, up to the total amount
  they are entitled to receive
• Exceptions (eg International Organisations or
  public bodies are solely responsible for their
  own debts

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Consortium Agreement

• Regulates internal organisation and management of
  consortium
• Compulsory unless otherwise mentioned in the call
  for proposals
• Non binding guidelines provided by the Commission
  - CA is NOT signed nor approved by the
  Commission
• Preferably before signing the contract

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Financial Provisions - costs

• New Cost categories are 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
• for public bodies - competent public auditor

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Financial Provisions - costing

• Three costing methods
• FC actual direct and indirect costs
• New FCF (variant of FC) actual direct costs
  20? flat rate for indirect costs
• ACF actual additional direct costs flat rate
  for indirect costs
• Activity types (Community contribution in )
• RD (50), Demonstration (35)
• Management training (max. 100 of direct cost)
• Cost statements, certified by ext. auditor

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Payment and report schedule

• Rolling reporting scheme
• advance payment up to 85
• every 12 months cost settlement (previous period)
  and advance on next 18 months
• audit certicates, justification, summary
  financial report, detailed implementation plan
  with financial projection

Example of 4 year contract
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Financial provisions for NoE

• Grant for integration, calculated as follows
• number of researchers to be integrated
• lump sum per researcher involved (20K per
  researcher/year)
• degree of integration, characteristics of the
  field and Joint Programme of Activities (JPA)
• NB lt 25 of the integratable capacity
  resources

Conversion table to calculate the annual grant
depending on the number of researchers to be
integrated 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 above
6million/year for intermediate numbers the grant
would be calculated by linear interpolation
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Participation rules
Legal entities in Member States, Associated
States, JRC and international European interest
organisation on same footing subject to

• All main instruments need at least three
  independent legal entities from three different
  MS or AS (at least two MS or Associated Candidate
  States)
• Work programmes can override these limits
• European Economic Interest Groups (EEIG) or other
  legal entities made up of independent legal
  entities may be the sole participant in an action
  
• Legal entities from third countries and
  international organisations may participate under
  certain circumstances without EC funding (some
  special cases with EC funding)

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Programme

• Objectives and strategy
• Workprogramme 2003-2004
• Instruments
• 1st Call for proposals
• Contracts and finance
• Hints

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Some lessons

• Its the quality of the consortium that matters,
  not the number of participants
• For proposals to be successful, they need optimal
  preparation select one proposal and make it win!
• Do not artificially adapt a proposal to a
  strategic objective
• Respond to all the evaluation criteria
• Pay attention to using the full range of
  activities allowable for the new instruments
• Give realistic cost / resource estimates
• Choose reliable (ie financially sound) partners
• Pay extra attention to co-ordination of large
  projects ensure that (international) project
  management expertise is available

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Reminder

• FP6 is about more ambitious endeavours, in a
  simpler procedural environment
• IPs should aim at breakthroughs in the target
  area and yield new technologies, products and
  services
• NoEs are to structure and shape research areas
  (interdisciplinary !)
• STRPs are more limited in scope but must go well
  beyond the state of the art

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Sources of information

• IST on CORDIS
• www.cordis.lu/ist/fp6/fp6.htm
• DG-Research FP6 web main page
• europa.eu.int/comm/research/fp6/index_en.html

IST helpdesk Fax [phone]
88 E-Mail ist_at_cec.eu.int