European Research: Towards a Sustainable, Integrated, and Coordinated Framework

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. Society’s Needs Integrating European Research Key Actions Priority Thematic Areas Anticipating S/T Needs Strengthening the Foundations of ERA RDT Generic Activities Support for Infrastructure Structuring the ERA Towards a European Research Policy Problem-solving Approach 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. STRUCTURING ERA STRENGTHENING THE ERA FOUNDATIONS • To structure the ERA in: • Research & Innovation • Training & Mobility • Infrastructures • Science & Society • To co-ordinate EU research • activities • To support the development of • research/innovation policies 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-instruments

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 activitiesM€ 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 Europe’s 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 Areas Basic science, Modelling, Monitoring, Technologies, Management of resources, Instruments and devices, Engineering, Logistics, etc. … across Activities Research, Support to SMEs, Int. Cooperation, Technology Transfer, Dissemination, Training 50% EC Funds … among Participants e.g. technologists, environmental scientists, users, environment managers, sociologists, industry, SMEs, universities, research institutes, etc.

19. To integrate the critical mass of activities/resources needed for :  addressing major societal needs increasing EU competitiveness predefined S/T results and clear deliverables Ethical aspects, science-society dialogue Training strong management structure RTD 4 RTD 5 Management RTD 1 RTD 3 RTD 2 Implementation Plan Demonstration Technology transfer, exploitation 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. Governing Council Funding Bodies Representatives To structure the EU research potential by integrating existing research capacities  To structure the EU research potential by integrating research capacities Scientific Council • Joint research activities • Integrating activities • Spreading of excellence (training) • Common management European Commission • Joint research activities • Integrating activities • Spreading of excellence • Common management Management Group Management Group Research team leader Partner Organisation Representative 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. SME National Contact Points (NCP) Economic and Technological Intelligence 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. New! Collective research

35. Cooperative research (CRAFT)

36. Collective Research CRAFT STREP IP NoE Comparison of the projects sizes In term of budget, duration, size of consortia

37. SME Conclusion : SMEs in FP6 With R&D capacities in the 7 thematic priorities With R&D needs on any topic Participant in CRAFT, Collective Research Participant in IP, NoE, STREP, (technology provider or end-user) Technology Transfers from IP, NoE

38. Participation • Every legal entity • New: Associated candidate countries = Member States (MS) • New: International European interest organisations = MS Who can participate?

39. Participation Minimum number • 3 participants with 2 from MS or Ass. Cand. Countries • Single participation possible for fellowships and specific support actions • minimum number can be increased by work-programmes

40. Three major routes for international scientific co-operation in FP6 • Opening of “Focusing and Integrating Community Research” to third country organizations (with substantial funding) • Specific measures in support of international co-operation • International mobility of researchers • Over and above these three major routes, the international dimension is a cross-cutting issue which concerns the whole Framework programme New

41. Opening of “Focusing and Integrating Community Research” to third country organizations (1) • Participation to Community activities • participation of researchers, teams and institutions from third countries in projects within • the seven Priority Thematic Areas of Research, • Specific activities covering a wider field of research • Budget: 285 million Euro for third (INCO) country participation

43. Opening of “Focusing and Integrating Community Research” to third country organizations (2) • Overall focus:Community interest • Examples for issues demanding international efforts: • Food safety • Sustainable development (e.g. biodiversity, desertification, global climatic change, forest management) • Combating infectious diseases associated with poverty (HIV, tuberculosis, malaria)

44. Opening of “Focusing and Integrating Community Research” to third country organizations (3) • Who can participate? • All third countries: in addition to minimal number of participants from Member States and Associated countries • Who can be funded? • All third countries • INCO target countries (developing countries, Mediterranean partner countries, Western Balkan countries, Russia and the other NIS): within limit of budget (285 million Euros) • Other third countries: if provision is made in work programme or if necessary to carry out the RTD activity

45. Specific measures in support of international co-operation (1) • Dedicated international cooperation activities which are relevant to some groups of countries or regions with own calls for proposals • Budget: 315 million Euro for RTD actions • Strategic objective To lend support, in the scientific and technological field, to the implementation of the Community’s foreign policy and development aid policy • Overall focus Mutual interest

46. Specific measures in support of international co-operation (2) • These activities will be carried out: • To complement the activities in the seven thematic priorities • By means of specific targeted research projects of a limited scale, actions to coordinate national efforts and, specific support measures • Problem oriented approach on a regional basis, policy dialogue and prioritization • Research priorities defined on the basis of • the interests and objectives of the Community’s political partnership with the different groups of countries • the particular economic and social needs of countries and regions concerned

47. Specific measures in support of international co-operation (3) • These activities Activities could cover more particularly: • for developing countries, the problems of health and public health, food security safety, and the rational exploitation of resources • for the Mediterranean partner countries, issues relating to environment, health and water issues, as well as protection of the cultural heritage • for Western Balkan countries: Environment and Energy, Health • for Russia and the other NIS: stabilization of R&D potential, issues relating to changes in the industrial production system, environment and health protection and various safety aspects cooperation activities with Russia and the CIS will be carried out in particular through the INTAS structure set up jointly by the Community and the Member States

48. International mobility of researchers • in-coming fellowships with possibility for “return ticket” • to work and undertake research training in Europe • provision to assist fellows to return to their countries of origin in case of emerging and transition economies and developing countries • out-going fellowships • to be awarded to research workers from EU and Associated Countries to work in established third country research centres • requires submission of a coherent individual training programme involving a first phase abroad followed by mandatory second phase in Europe Two main types of grants:

49. Other parts of FP6(Strengthening the Foundations of ERA,Structuring ERA outside Human Resources) • Who can participate? • Countries with S&T co-operation agreement: in accordance with agreement • all third countries: if provision is made in work programme or if necessary to carry out RTD action • Who can be funded? • all third countries: if provision is made in work programme or if necessary to carry out RTD action.

50. The mandate of INTAS INTAS - International Association for the promotion of co-operation with scientists from the New IndependentStates of the former Soviet Union (NIS) Established in 1993 to: preserve the best NIS scientific capabilities foster social & economic progress support international scientific collaboration for mutual benefit