Norbert Brinkhoff-Button DG Information Society European Commission

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

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL Programme Objectives and strategy Workprogramme 2003-2004 Instruments 1st Call for proposals Contracts and finance Hints = sections that are provisional

Mission of the directorate Subject area: Digital Content Remit: Make information accessible to all Overcome multilingual barriers Implementation:Legislation andFinancial intervention Information Market Public Sector Info. e-Content Safer Internet Knowledge Information Application Development Technology-enhanced Learning Access to Cultural Heritage Research and Technology Development Multimodal interfaces and Cognitive Systems Semantic-based knowledge systems Content

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 ...

Guiding principles • Streamlined and simplified procedures • esp. proposing, contracting, costing • Flexibility and adaptability • all instruments applicable throughout • projects can evolve • More autonomity • consortium has more responsibility

The timetable Adopted: • FP6 (June 2002) • Specific Programmes (Sep 2002) Current planning: • First Call for Proposals (17 Dec 2002 ?) • Second Call for Proposals (15 Jun 2003 ?) Awaiting adoption: • Rules for Participation (Nov 2002) • WP 2003-2004 (Dec 2002)

Objectives Strengthen competitiveness and build knowledge society for ALL • Enshrined in Union objectives: • Lisbon Council: make Europe the world’s most competitive knowledge based economy • eEurope2005: foster modern online public services, a dynamic e-business environ-ment, widespread broadband acces, secure infostructures

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL Programme Objectives and strategy Workprogramme 2003-2004 Instruments 1st Call for proposals Contracts and finance Hints Draft WP NOW available on Cordis

Expressions of interest (June 2002) • First ‚field test‘ of FP6 • New research ideas, players and partnerships • BUT: lack of understanding of “new deal” (esp. instruments: only 15-30% were judged to be genuine IPs) • Report: http://www.cordis.lu/fp6/eoi- instruments/home.html • Input to WP, along with inputs from ISTAG, IRGs, IPPA, Call 8, sectoral workshops...

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL 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. > 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 S&T content, hints as to which instrument to be used for what, and terms of call (dates, budget, evaluation criteria)

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL Call 1 Call 2 • Pushing the limits of CMOS,preparing for post-CMOS • Micro & nano-systems • Broadband access for All • Mobile & wireless systems beyond 3G • Towards a global dependability & security framework • Multimodal interfaces • Semantic-based knowledge systems • Networked audiovisual systems & home platforms • Networked business & government • eSafety for road and air transport • eHealth • Technology-enhanced learning & access to cultural heritage • Advanced displays • Optical, opto-electronic, photonic functional components • Open development platforms for software and services • Cognitive systems • Embedded systems • Applications & services for the mobile user & worker • Cross-media content for leisure and entertainment • GRID-based Systems & solving complex problems • Improving Risk management • eInclusion • Product design & manufacturing 2010 Strategic Objectives in Call 1 & 2 Technology components Integrated systems Applications

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL Budget Phasing of annual budgets over calls Year 2003 2004 2005 2006 IndicativeBudget (€) 835 891 935 964 Call 1 2 ... 3 Indicative Budget (€) 1,095 525 ... ... ... Total IST budget: 3625 ME GRIDS, GEANT: 100 ME from IST, 200 ME from „Structuring“

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL 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

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

Overview of FP6 instruments • Integrated Projects (IP) • Networks of Excellence (NoE) • Article 169 (joint implementation of national programmes) • Specific Targeted Research Projects (STReP’s) • Co-ordination actions (CA) • Specific Support Actions (SSA) „New“ „Old“

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

Integrated project Current projects Example of an IP Area: Multi-sensorial interfaces

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 network’s goals • Spreading excellence • training of researchers and other key staff • dissemination and technology transfer to industry New or additionalto ongoing efforts

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

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

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

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 !)

Integrated Projects Current Industrial strength / presence « Monolitihic » Incremental Integrated Projects Targeted Research Projects Networks of Excellence Industrial exploitation Fundamental research Basicresearch Industry-driven research Example of implementation in IST

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

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

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

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 !

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL 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.

Contract Structure One contract for all instruments • Core contract • Annex I - the “project” • Annex II - general conditions (all instruments) • Annex III - instrument specific provisions

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

New :Collective Responsibility of Participants • Technical and financial responsibility • Used as a last resort • Limited in proportion to the participant’s 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

Consortium Agreement • Regulates internal organisation and management of consortium • Compulsoryunless 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

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

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 %) • R&D (50%), Demonstration (35%) • Management & training (max. 100% of direct cost) • Cost statements, certified by ext. auditor

Reporting Accepted costs Detailed work plan Reporting Accepted costs Adjusted advance Accepted costs Detailed work plan Reporting Adjusted advance Reporting Adjusted advance Accepted costs Detailed work plan Initial advance Detailed work plan 0 6 12 18 24 30 36 42 48 Months 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

! ! ! ! ! PROVISIONAL PROVISIONAL PROVISIONAL PROVISIONAL 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: < 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

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)

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

Some lessons • It’s 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

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 !) • STRP’s are more limited in scope but must go well beyond the state of the art

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 : +32 2 296 83 88 E-Mail : ist@cec.eu.int

Norbert Brinkhoff-Button DG Information Society European Commission