Towards the implementation of the next Framework Programme

1. Towards the implementation of the next Framework Programme The new instruments Participation rules Intellectual Property Rights Evaluation procedures

2. “Integrating European research” Mainly through Networks of Excellence Integrated Projects EU participation in joint execution of national programmes

3. Networks of Excellence (NoE) WHY? In order to reinforce European scientific and technological excellence, each network aiming at ambitious advances of knowledge in the area within which it is set up

4. Networks of Excellence (NoE) HOW ? • Through a progressive and lasting integration of existing and emerging research capacities in Europe • Pooling of a critical mass of competence and skills (“Virtual Centre of Excellence”) • Under common strategic objective

5. Networks of Excellence (NoE) WHAT CHARACTERISTICS ? • Size : Participants from at least 3 different countries (MS or AS, min 2 MS or candidate countries) - but typically larger • Organised around core group of participants • EC contribution : may attain several million Euro/year • Duration : long lasting association, beyond period of EC support

6. Networks of Excellence (NoE) WHAT ACTIVITIES ? “JOINT PROGRAMME OF ACTIVITIES” comprises: • Integrated R&D activities • Specific integration support activities • Spreading of excellence/competence activities

7. Networks of Excellence (NoE) WHAT ACTIVITIES ? • Integrated R&D activities : • Following common roadmap • Pursuing joint objectives • In long term perspective • Often multi-disciplinary

8. Networks of Excellence (NoE) WHAT ACTIVITIES ? • Specific integration support activities : • Mutual adaptation of members’ research programmes • Close linkage of members by means of advanced Information and Communication Technologies • Exchange of personnel (promotion of gender equality) • Development/use of joint research facilities • Joint management of the knowledge produced

9. Networks of Excellence (NoE) WHAT ACTIVITIES ? • Spreading of excellence/competence : • Training of non-member organisation researchers • Dissemination / transfer of knowledge • Communication activities on network aims and achievements • Support of technological innovation for SMEs (take-up) • Analysis of relevant science and society issues

10. Networks of Excellence (NoE) SELECTION • Periodic calls for Proposals,in certain cases preceded by calls for Expression of Interest • Evaluation based on “Peer-Review” principle

11. Networks of Excellence (NoE) FUNDING EC contribution: • A grant to support integration • Amount determined at the outset as a function of the value of the research capacities being integrated • Additional to member “own” funding • Annual advance payments based on: previous year activity report and members’ resource utilisation report certified by independent auditors of own choice + detailed joint programme of activities for the following year

12. Networks of Excellence (NoE) IMPLEMENTATION Increased flexibility and autonomy regarding: • Internal organization • Evolution of initial partnership (open calls, transparency, objective and fair evaluation) • Adjustment/modification of joint programme of activities according to evolving needs • Allocation of EC contribution among activities and/or participants

13. Integrated Projects (IP) WHY? • In order to obtain results with significant and direct impact on European industrial competitiveness and/or • In order to contribute to solving important societal/global problems

14. Integrated Projects (IP) HOW ? • By mobilising a critical mass of resources and skills in the context of a new research actions • So as to attain, within a specified time frame, clearly defined objectives, in terms of scientific and technological knowledge and/or results applicable to products, processes, services or policy issues

15. Integrated Projects (IP) WHAT CHARACTERISTICS ? • Size : Participants from at least 3 different countries (MS or AS, min 2 MS or candidate countries) - but typically larger • EC contribution : may attain several million Euro/year • Duration : Fixed according to needs of project • Structure and organisation : • Partners with key role and global responsibility • Partners contributing to specific activities • Integration of all activities in a coherent whole either as single project with distinct work packages or as a “backbone” project with associated sub-projects

16. Integrated Projects (IP) WHAT ACTIVITIES ? IN THE FORM OF AN EXECUTION PLAN : • Research and technological development and demonstration (often multidisciplinary, clearly defined and precise objectives) • Management, dissemination and transfer of knowledge • Analysis and evaluation of technologies • Training • Take up actions in particular for SMEs • Information and communication activities (including science and society issues)

17. Integrated Projects (IP) SELECTION • Periodic calls for Proposals,in certain cases preceded by calls for Expression of Interest • Evaluation based on “Peer-Review” principle, adapted to scale and scope of the project

18. Integrated Projects (IP) FUNDING EC contribution: • In the form of a grant to the project budget • EC contribution calculated at the outset on the basis of a provisional budget • Ceiling : up to max. 50% of the total budget • Payments, in form of yearly advances based on previous year activity report and financial report certified by independent auditors of participants’ choice + the detailed “execution plan” and budget for the following year

19. Integrated Projects (IP) IMPLEMENTATION Increased flexibility and autonomy regarding: • Internal organization • Evolution of initial partnership (open calls, transparency, objective and fair evaluation) • Adjustment/modification of joint program of activities according to evolving needs • Allocation of EC contribution among activities and/or participants

20. Coordination and Article 169 WHY? • Over 80% of publicly funded research in Europe is conducted at national level • Little co-ordination among national programmes, and among national, European and Community programmes • ERA requires real partnership of all research policy actors

21. Coordination and Article 169 HOW ? • “Open co-ordination method” (Lisbon) • Proposed new FP contributes to this objective through • Actions foreseen under the heading “Co-ordination of research activities” • Article 169 mechanism in support of joint implementation of programmes

22. Coordination and Article 169 WHAT CAN WE EXPECT TO ACHIEVE ? • Boost the scale of financial and human resources mobilised • A better overall allocation of resources; • Enhance cohesion and complementarity among national and European programmes • Accelerate pace of production of results • Pave the way toward a European research policy

23. FP6 Participation Rules • Three principles: • Opening of projects to new participants • Flexibility in operational conditions, including procedures for launching new activities • Great autonomy in project implementation

24. FP6 Participation Rules • New features: • Exactly same rights and obligations for MS and candidate AS • For CERN, ESA, ESO… same conditions as for MS institutions • Third country participants are fully entitled to participate in the bulk of the FP. Organisations eligible to take part in specific international cooperation actions are entitled to receive funding (NIS, Mediterranean and developing countries) • Community financial contribution in new forms (grants for integration, grants to budget), with essentially ex-post controls • Consortia can change partnership, including through competitive calls

25. FP6 Participation Rules • Minimum consortia • To be specified in the work programmes according to the nature of instruments and RTD activities • Absolute minima: · for NoE and IP: 3 independent legal entities from 3 different MS or AS, of which at least 2 from MS or candidate AS · for specific targeted projects: 2 independent legal entities from different MS or AS, of which at least one from a MS or candidate AS • European Economic Interest Groups (EEIG) or other legal entities made up of independent legal entities may act as single participants if their composition is in accordance with the above rules.

26. FP6 Participation Rules • Changes in consortium membership • For all instruments: modification of membership is possible within the limits of the initial Community financial contribution and with agreement by the Commission • For NoE, IP: changes in membership requiring publication of a competitive call shall be specified in advance in the programme of activities/execution plan. Wide advertising and independent evaluation is required

27. FP6 Participation Rules • New IPR rules • Established and well functioning principles are kept, e.g.: • Participants will own results they have generated. • Emphasis on use of results. Dissemination if appropriate or if results are not used. • SMEs will own results generated in SME- activities.

28. FP6 Participation Rules • New IPR rules • main changes with regard to FP 5: (1/2) • Simplified System of access rights (ARs) by giving up distinction between different types of participants and by reducing the number of AR granting conditions (FP5: royalty- free, favourable conditions, market conditions). • Obligatory ARs reduced to assure protection of participants’ intellectual property and make exploitation of results economically attractive. • Exclusion of pre-existing know-how from the obligation to grant access possible (written agreement) .

29. FP6 Participation Rules • New IPR rules • main changes with regard to FP 5: (2/2) • No more obligatory ARs to project results between projects • ARsto project results only if the demanding participant needs access to another participant’s knowledge to use its own knowledge.

30. FP6 Participation Rules • Basic evaluation criteria • (a) Relevance to the objectives of the specific programme • (b) Scientific and technological excellence • (c) Community added value • (d) Quality of plan for use and/or dissemination of knowledge, potential for innovation and ability to manage intellectual property • (e) Resources, competences, organisation

31. FP6 Participation Rules • Basic evaluation criteria • In addition to (c): • For NoE: scope and degree of effort to achieve integration, capacity of the network to promote excellence beyond its membership, prospects for long- term integration • For IP: scale of ambition of the objectives, capacity to make a significant contribution to reinforcing competitiveness or solving societal problems • For integrated infrastructure initiatives: prospects for long-term continuation after the end of the Community financing

32. FP6 Participation Rules • Appointment of independent evaluators • calls for applications from individuals • suggestions from research organisations • individual appointments

33. FP6: Evaluationof Proposals • Improved evaluation system • Established and well functioning principles are kept, e.g.: • peer review by independent external experts • common Evaluation Manual • principles of quality, transparency, equality of treatment, impartiality, efficiency and speed

34. FP6: Evaluationof Proposals • main changes with regard to FP 5: • Simplification of procedures: procedures described in common Evaluation manual; criteria described in specific work programmes • Transparency of selection of evaluators: combining the open call for experts and suggestions from other bodies, including the MS • Flexibility in accordance with new instruments: including possibility of multiple stages for proposal submission and proposal evaluation

35. A broad debate Invitation to discuss with the MS, AS and the broader research community on ways of improving the proposal evaluation process FP6: Evaluationof Proposals