Tartu, 10 December 2002

1
The Sixth Framework Programme A key contribution
to European RTD development

• Tartu, 10 December 2002
• Mr. Per Backe-Hansen
• EUROPEAN COMMISSION

2
Community RTDthe story so far

• 1957 EURATOM treaty Joint Research Centre set
  up
• 1983 ESPRIT programme
• 1984 First Framework Programme (1984-1987),
  followed by 4 successive Framework Programmes
  (up to 2002)
• 1987 European Single Act - science becomes a
  Community responsibility Second Framework
  Programme (1987-1991)
• 1993 Treaty on European Union role of RTD in
  the EU enlarged
• 2000 European Commission presents Towards a
  European Research Area"
• 2001 Proposal for the Sixth Framework Programme
  (2002- 2006)
• 2002 Adoption of the Framework Programme and
  the Specific Programmes

3
The European Research Area

• A blueprint for the future of research in Europe
• Large support at the highest political,
  scientific and industrial levels
• Being implemented

European Research Area
National programmes
European research policy
 Open Coordination 
Framework programme
European organisations
4
Enlargement

• EU
• Candidate countries
• Bulgaria
• Cyprus
• Estonia
• Hungary
• Latvia
• Lithuania
• Malta
• Poland
• Czech Republic
• Romania
• Slovenia
• Slovakia
• Turkey

5
Community Research Programmes

• Objectives (Article 163 Amsterdam Treaty)
• to strengthen the European research potential
• to promote the competitiveness of European
  industry
• to support Community policies
• From FP V (1998-2002) to ERA and FP VI
  (2002-2006)

6
FP5 vs FP6
7
Framework Programme 2002-2006
INTEGRATING EUROPEAN RESEARCH To assemble a
critical mass of resources and support
integration of EU research capacities in

• 7 priority areas
• anticipating needs

8
Recent FP6 event calendar

• Call for EoI, 20 March 2002, closing date 7 June,
  referring to draft Specific Programme
• Some 12.000 EoIs received and assessed
• Specific programme adopted by Council 30 Sept
• EoI analysis published early October
• Rules for participation adopted by Council 5 Nov
• Call for evaluation experts published 4 Dec
• Work programmes adopted 9 December (?)
• 1st call for proposals to be published 17 Dec

9
Expressions of Interest

• more than 11 700 submitted overall
• more than 2 800 for Priority 6
• more than 1 400 for Global Change
• 15-20 considered mature
• IP/NoE ratio ca. 65/35
• Imbalanced nationality distribution

10
Expressions of Interest

• few SMEs and industry participating
• mostly academic RTD institutions
• little international co-operation
• helpful in drafting the WP
• has created larger consortia
• analysis published at www.cordis.lu/fp6/eoi-instru
  ments

11
FP6 as an INSTRUMENT for the EUROPEAN RESEARCH
AREA

• Concentration on a limited number of priorities
• Networking of research teams and projects
• Creation of a genuine European added value
• Structuring effect linking policies and schemes
  of
• national and regional authorities
• other European actors
• Use of new instruments (IP and NoE)
• Co-ordination and simplification

12
Sixth Framework Programme (EC)
13
Sixth Framework Programme
14

Horizontal aspects

Support to ERA
International co-operation
SME participation
Sustainability and foresight
15
Specific activities covering a wider field of
research (Priority 8)

• Types of activities M
• Specific activities covering a wider field of
  research 1300
• Policy support and anticipating scientific and
  555
• technological needs
• Scientific Support to Policies (SSP)
  340
• New and emerging science and technology needs
  (NEST) 215
• Horizontal research activities involving SMEs
  430
• Specific measures in support of international
  co-operation 315

16

• SSP overall objective
• Support the formulation and implementation of
  Community
• policies, by providing scientific contributions
  to policies that
• are targeted precisely on needs
  (demand-driven), coherent
• across the various Community policy areas, and
  sensitive to
• changes in policies as they take place.

17
Scientific support to policies

• 1. Sustainable management of Europes natural
  resources
• 6 subareas
• 2. Providing health, security and opportunity to
  the people of Europe
• 7 subareas
• 3. Underpinning the economic potential and
  cohesion of a larger and more integrated EU
• 7 subareas
• Traditional instruments only!

18
Integrated Projects
Objectives Real breakthroughs, SusDev,
Technologies
Clear and Quantified Deliverables and
Integration...
across Activities Research, Support to SMEs,
Int. Cooperation, Technology Transfer, Disseminati
on, Training
across Areas Basic science, Modelling, Monitorin
g, Technologies, Management of resources, Instrume
nts and devices, Engineering, Logistics, etc.
50 EC Funds
among Participants e.g. technologists,
environmental scientists, users, environment
managers, sociologists, industry, SMEs,
universities, research institutes, etc.
19
Integrated projects Objectives
20
Networks of Excellence
Restructuring, Integration, Advancing Knowledge
Objectives To strengthen EU S T Excellence
and assemble EU Research Capacities
Integration by Specialisation and
complementarity, Common use of infrastructures,
Interactive working, Joint training
Joint Program of Activities (JPA) Merging
national or regional activities for improved
competitiveness and sustainability
EC Contribution to the Integration of Resources
Participants Wishing a Progressive and Lasting
Integration of Research Capacities
21
Networks of Excellence Objectives
22
Stairways of Excellence will help prepare more
ambitious and strategic projects
Targeted projects
Coordination actions

• Stimulating cooperation coordination between EC
  and MS activities
• EC funds only for coordination actions

• Research at the frontier of knowledge or
  supporting high-tech SMEs
• EC funds to RTD activities (cf traditional RTD
  projects)

23
STRENGTHENING THE ERA FOUNDATIONS ERA-NET

• Supporting the co-operation and co-ordination of
  research activities carried out at national or
  regional level
• networking of research activities conducted at
  national or regional level
• mutual opening of national and regional research
  programmes, which will be part of the networking
  activities
• Research activities
• strategically planned and executed at national or
  regional level
• financed or managed by national or regional
  public bodies or structures closely related to or
  mandated by public authorities

24
ERA-NET

• Fields of research All fields
• Participants
• public bodies responsible for financing or
  managing research
• other national bodies (research associations,
  including private) that finance or manage
  research
• bodies operating at European level
• At least 3 MS or AS are involved of which at
  least two are MS or candidate AS
• Activities to be covered
• Networking of research activities
• Unified management framework of an ERA-NET

25
ERA-NET

• Networking of research activities
• Systematic exchange of information
• Strategic activities
• Implementation of joint strategic activities
• Implementation of a transnational research
  activities
• Management of an ERA-NET
• management of the scientific and administrative
  activities including reporting with the
  Commission, development of strategic activities,
  launching, implementing and following up joint
  research activities, ensuring scientific
  excellence, ensuring the gender equality

26
ERA-NET - Instruments

• Coordination Actions
• to implement an ERA-NET
• on average 3 M max 5 years max
• Specific support actions
• to prepare ERA-NET proposals
• an average 200.000 max 1 year max
• Costs are limited to additional activities up to
  100 excluding the costs directly linked to
  research

27
ERA-NET

• Indicative Budget and timetable
• 148 M ( 2002- 2006)
• Open call for proposals
• 1st cut-off date 3 June 2003, budget 24M
• from March 2004, cut-off dates every 6 months up
  to October 2005

28
FP6 (2002-2006) - Budget for SMEs

• Thematic priorities (15!)
• - 1680 M (IP NoE, targeted RTD)
• Horizontal research activities involving SMEs
• - 330 M (CRAFT)
• - 100 M (Collective Research)
• Mobility grants
• Total over 2.1 billion
• In FP5, only 10 of total budget ( 1.1 bill.),
  including CRAFT, were allocated to SMEs. In FP6
  more emphasis is placed on SME participation in
  the thematic priorities.

29
Encouraging SMEs to participate in FP6
Specific measures taken in Integrated Projects,
Networks of Excellence and STREP (7 thematic
priorities)
1
Participation of SME groupings
Evaluation criteria related to SMEs
Targeting of calls in areas relevant for SMEs
Pre-allocated budget for take-up measures
Possibility to extend contracts to include new
SMEs
30
The role of SMEs in integrated projects

• Co-ordinator Driving the exploitation of new
  technology platforms or new developments
• Partner (at project start) Providing new
  technologies for both fundamental and applied
  research projects involving academia and large
  industry
• Partner (to be integrated at later stage)
  Exploring the commercial use of results and
  technologies developed in integrated projects

31
Encouraging SMEs to participate in FP6
Specific schemes in the form of actions on
Collective and Cooperative Research (any topic)
2
Individual SME
Cooperative Research (CRAFT)
Industrial associations or industry groupings
Collective Research
32
Encouraging SMEs to participate in FP6
Appropriate information and assistance to
potential SME participants
3
SME website and helpdesk
Specific support actions (7 thematic priorities)
33
Focus on the five types of projects
1. Integrated Projects
On the seven thematic priorities
2. Networks of Excellence
3. STREP/ CA
4. Collective Research
Across the whole field of science and technology
5. CRAFT
34
Collective research
New!
35
Cooperative research (CRAFT)
36
Comparison of the projects sizes
In term of budget, duration, size of consortia
37
Conclusion SMEs in FP6
With RD capacities in the 7 thematic priorities
With RD needs on any topic
Participant in CRAFT, Collective Research
Participant in IP, NoE, STREP, (technology
provider or end-user)
Technology Transfers from IP, NoE