The Sixth Research Framework Programme of the European Union

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The Sixth Research Framework Programme of the
European Union
Voronezh, 10 February 2005
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Outline of the presentation

• The research policy of the European Union
• The main components of the 6th FP (2002-2006)
• Focusing and integrating Community research
• Structuring the ERA
• Instruments
• Financial Provisions
• Rules for participation
• Intellectual Property Rights (IPR)
• Evaluation
• Information
• What is in for Russia?
• How to get involved in FP6?

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The research Policy of the European Union (I)The
European Research Area

• A blueprint for the future of research in Europe
• Broad 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
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The research Policy of the European Union (II)
Budgets of the EU Framework Programmes
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The 6th FP Main Components (I)
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The 6th FP RTD Main Components (II)

EUR 320 M
EUR 12585 M
EUR 2605 M
BASIC PRINCIPLES
Concentration on selected priority research
areas
Structuring effect through a stronger link with
national, regional and other European initiatives
Coordination - Simplification

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The 6th FP RTD Focusing and Integrating
Research (I)
285
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The 6th FP RTD
Focusing and Integrating Research (II) The 7
thematic priorities

• 1. Genomics and biotechnology for health
• Advanced genomics and its application for health
• Fundamental knowledge and basic tools for
  functional genomics in all organisms gene
  expression and proteomics, structural genomics,
  bioinformatics, etc.
• Application of knowledge and technologies in
  genomics and biotechnology for health
  technological platforms, prevention and
  therapeutic tools, etc.
• Combating major diseases
• Application-oriented genomic approaches to
  medical knowledge and technologies diabetes,
  cardiovascular diseases, resistance to
  antibiotics, brain and ageing, etc.
• Cancer
• Major poverty-linked infectious diseases aids,
  malaria and tuberculosis

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The 6th FP RTD
Focusing and Integrating Research (III) The 7
thematic priorities

• Genomics and biotechnology for health
• 2. Information Society technologies (IST)
• Applied IST research addressing major societal
  and economic challenges security, societal
  challenges, ambient intelligence, electronic
  commerce, etc
• Communication, computing and software
  technologies
• Components and microsystems
• Knowledge and interface technologies

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The 6th FP RTD
Focusing and Integrating Research (IV) The 7
thematic priorities

• Genomics and biotechnology for health
• Information Society technologies
• 3. Nanotechnologies and nanosciences,
  knowledge-based multifunctional materials, and
  new production processes and devices
• Nanotechnologies and nanosciences long-term
  research, supramolecular architectures and
  macromolecules, nano-biotechnologies,
  applications in health, chemistry etc
• Knowledge-based multifunctional materials
  fundamental knowledge production, transformation
  and processing technologies, etc
• New production processes and devices flexible
  and intelligent manufacturing systems, systems
  research and hazard control, clean and safe
  production, optimisation of life cycles, etc

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The 6th FP RTD
Focusing and Integrating Research (V) The 7
thematic priorities

• Genomics and biotechnology for health
• Information Society technologies
• Nanotechnologies and nanosciences,
  knowledge-based multifunctional materials, and
  new production processes and devices
• 4. Aeronautics and space
• Aeronautics competitiveness of the industry (new
  aircraft, engines etc) improving environmental
  impact (emissions and noise) safety increasing
  the capacity of the air transport system (Single
  European Sky)
• Space research relevant to Galileo (satellite
  navigation) and GMES (monitoring for environment
  and security) satellite telecommunications
  (integrating terrestrial networks and space
  systems)

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The 6th FP RTD
Focusing and Integrating Research (VI) The 7
thematic priorities

• Genomics and biotechnology for health
• Information Society technologies
• Nanotechnologies and nanosciences,
  knowledge-based multifunctional materials, and
  new production processes and devices
• Aeronautics and space
• 5. Food quality and safety
• Epidemiology of food-related diseases and
  allergies
• Impact of food on health
• Traceability processes all along the production
  chain
• Methods of analysis, detection and control
• Safer and environmentally friendly production
  methods and healthier foodstuffs
• Impact of animal feed on human health
• Environmental health risks

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Focusing and Integrating Research (VII)The 7
thematic priorities
The 6th FP RTD

• Genomics and biotechnology for health
• Information Society technologies
• Nanotechnologies and nanosciences,
  knowledge-based multifunctional materials, and
  new production processes and devices
• Aeronautics and space
• Food safety and health risks
• 6. Sustainable development and global change
• Sustainable energy systems clean energy, energy
  savings, alternative motor fuels, fuel cells,
  energy carriers/transport/storage, etc
• Sustainable surface transport environmentally
  friendly transport, interoperability, safety, etc
• Global change and ecosystems greenhouse gas
  emissions, water cycle, biodiversity, natural
  disasters, land management, climate modelling, etc

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The 6th FP RTD
Focusing and Integrating Research (VIII)The 7
thematic priorities

• Genomics and biotechnology for health
• Information Society technologies
• Nanotechnologies and nanosciences,
  knowledge-based multifunctional materials, and
  new production processes and devices
• Aeronautics and space
• Food safety and health risks
• Sustainable development and global change
• 7. Citizens and governance in the European
  knowledge-based society
• Knowledge-based society and social cohesion
  generation/ distribution/use of knowledge
  development of a knowledge-based society variety
  of paths towards a knowledge-based society etc
• Citizenship, democracy and new forms of
  governance consequences of EU integration,
  enlargement new forms of governance resolution
  of conflicts citizenship and cultural identities

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The 6th FP RTD
Focusing and Integrating Research (IX)Specific
activities covering a wider field of research

• 7 thematic priorities
• Specific activities covering a wider field of
  research
• Supporting policies and anticipating scientific
  and technological needs activities in support of
  EU policies and research responding to new and
  emerging needs (annual programming)
• Horizontal research activities involving SMEs to
  boost technological capacities of SMEs in
  traditional or new areas and develop their
  ability to operate internationally (co-operative
  and collective research)
• Specific measures in support of international
  co-operation developing countries, Mediterranean
  countries, Western Balkans, Russia and the NIS
  (e.g. INTAS - 70 M out of 315 M)

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The 6th FP RTD
Structuring the ERA (I)
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The 6th FP RTD
Structuring the ERA (II)

• Research and innovation
• Human resources and mobility
• Host-driven actions MC (Marie Curie) research
  training networks, MC host fellowships for early
  stage research training, MC host fellowships for
  the transfer of knowledge, MC conferences and
  training courses
• Individual-driven actions MC intra-European
  fellowships, MC outgoing/incoming international
  fellowships,
• Excellence promotion and recognition MC
  excellence grants, MC excellence awards, MC
  chairs
• Return and reintegration mechanisms

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The 6th FP RTD
Structuring the ERA (III)

• Research and innovation
• Human resources and mobility
• Research infrastructures
• Transnational access to research infrastructures
• Integrating activities
• Communication network development
• Design studies
• Development of new infrastructures

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Instruments (I)Three new ones

• Networks of excellence
• Integrated projects
• Programmes implemented jointly

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Instruments (II)Three new ones

• Networks of excellence (NoE)
• Lasting integration of research capacities
• Long-term and multidisciplinary objectives
• Implemented by a joint programme of activities
• Genuine virtual centres of excellence
• High level of management autonomy
• Gradual integration of work programmes
• Selected on the basis of calls for proposals
• Integrated projects
• Programmes implemented jointly

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Instruments (III)Three new ones

• Networks of excellence
• Integrated projects (IP)
• To boost competitiveness or to address major
  societal needs
• To provide results applicable to products,
  processes or services
• Research activities may be complemented by
  demonstration, innovation activities
• High level of management autonomy
• Implemented through overall financing plans
• Selected on the basis of calls for proposals
• Programmes implemented jointly

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Instruments (IV)Other instruments

• Specific targeted research or innovation projects
  (STREP)
• Specific targeted research projects to improve
  competitiveness need to be sharply focussed
  either a RTD project (to gain knowledge) or a
  demonstration project (to prove the viability of
  new technologies which cannot be commercialised
  directly)
• Specific targeted innovation projects to test,
  validate and disseminate new innovation concepts
  and methods
• Specific research projects for SMEs
• Actions to promote and develop human resources
  and mobility
• Co-ordination actions
• Specific support actions
• Integrated infrastructure initiatives

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Instruments (V)Other instruments

• Specific targeted research or innovation projects
• Specific research projects for SMEs
• Actions to promote and develop human resources
  and mobility
• To promote training, development of expertise or
  transfer of knowledge
• To support actions undertaken by individuals,
  host structures (including training networks) and
  European research teams
• Coordination actions
• Specific support actions
• Integrated infrastructure initiatives

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Instruments (VI)Other instruments

• Specific targeted research or innovation projects
• Specific research projects for SMEs
• Actions to promote and develop human resources
  and mobility
• Coordination actions
• To support co-ordinated initiatives undertaken by
  a range of stakeholders involved in research and
  innovation (with the aim of improving
  integration)
• Actions conferences, meetings, studies, exchange
  of personnel, exchange of good practices,
  information systems, expert groups etc
• Specific support actions
• Integrated infrastructure initiatives

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Instruments (VII)Other instruments

• Specific targeted research or innovation projects
• Specific research projects for SMEs
• Actions to promote and develop human resources
  and mobility
• Coordination actions
• Specific support actions
• To complement FP6 implementation
• To prepare future RTD activities (monitoring,
  assessment, etc)
• Actions conferences, meetings, studies, awards,
  information and communication activities, support
  of research infrastructures (e.g. feasibility
  studies) etc
• Integrated infrastructure initiatives

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Instruments (VIII)Their use in throughout the
Programme

• Priority thematic areas
• Networks of excellence (NoE)
• Integrated projects (IP)
• Specific targeted research projects (STREP)
• Specific activities covering a wider field of
  research
• Specific targeted research projects
• Specific research projects for SMEs
• Structuring the ERA
• Specific targeted research and innovation
  projects
• Integrated infrastructure initiatives
• Actions to promote human resources and mobility

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Financial Provisions (I)Costs

• New - Cost categories not required
• Costs must be
• actual, economic and necessary for the project
• incurred during the duration of the project
• recorded in the accounts (or third parties)
• follow contractors own accounting rules
• Cost must exclude indirect taxes, duties,
  interests, costs reimbursed in respect of another
  Community project, and not give rise to profit
• Audit certificates by external auditor for each
  partner, each year for IP/NoE
• for public bodies - competent public auditor

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Financial Provisions (II)Cost Models

• Full Cost (FC) actual direct and indirect costs
  
• New - FCF (variant of FC) actual direct costs
  flat rate for indirect costs (20 of total
  actual costs, except subcontracting)
• AC actual additional direct costs flat rate
  for indirect costs (20 of total actual costs,
  except subcontracting)

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Financial Provisions (III)Reimbursement Rates
for IPs
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Rules for participation (I)

• Candidate countries associated to the FP will
  participate under same conditions as EU Member
  States
• European research organisations (e.g. CERN, ESA,
  etc.) will be treated as any entity from member
  states
• Russia and the NIS are part of the INCO targeted
  Countries

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Rules for participation (II)Focusing and
Integrating
INCO Country (DEV (Russia and other NIS Western
Balkans MED)

• may participate
• minimum number of participants
• may receive a Community financial contribution

285 M to finance participation in Thematic
Priorities and in specific activities covering a
wider field of research
Possible financial contribution (from the budget
dedicated to Thematic Priorities)
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Rules for participation (III)Minimum number of
Participants

• Minimum number
• Three independent legal entities for IP and NoE
  with two from MS or Associated Candidate
  Countries
• Single participation possible for fellowships and
  specific support actions
• Minimum number can be increased by
  work-programmes

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Intellectual Property Rights IPR (I)

• As in FP 5
• Participants own results they have generated
• Emphasis on use of results, dissemination if
  appropriate or if results are not used
• SMEs own results generated in SME-activities

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Intellectual Property Rights IPR (II)
Access rights to
Access rights to
pre-existing know-how
knowledge
If a participant needs them for carrying out its
own work under the project
For carrying out the project
Royalty-free unless otherwise agreed before
signing the contract
Royalty-free
If a participant needs them for using its own
knowledge
For use (exploitation further research)
Non-discriminatory conditions to be agreed
Royalty-free unless otherwise agreed before
signing the contract
Possibility for participants to agree on
exclusion of specific pre-existing know-how
before signature of the contract (or before
entry of a new participant)
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Evaluation (I)

• Same principles as in FP 5
• Transparency, equal treatment and impartiality
• Core criteria criteria for new instruments
• To be specified and complemented in work
  programmes according to instrument and activity
• Exclusion criteria
• Violation of fundamental ethical principles
• Financial irregularities

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Information (I)

• General information on research
  http//europa.eu.int/comm/research
• Information on research programmes, calls and
  projects
• http//fp6.cordis.lu/fp6/calls.cfm
• Information requests
• research_at_cec.eu.int
• Get Support?
• Commission help desks National Contact Points

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Information (II)

• Nat. Coord. M. E. Ugrinovitch eugrinovitch_at_minstp.
  ru
• Health Prof. A. Tonevitsky Tonevits_at_genetika.ru
• IST Prof. V. Mikhov Valeriy.Mikhov_at_iosys.ru
• Nano Prof. S. Pikin Pikin_at_ns.crys.ras.ru
• Space Dr. S. Kulik Skulik_at_mcc.rsa.ru
• Aero Mrs L. Rostovsteva rost_at_asvt.ru
• Food Prof V. Popov Vpopov_at_ucit.orbita.ru
• Energy To be re- confirmed
• Eco sys Dr R. Perelet Renat.Perelet_at_msk.ru
• Citizens Dr V. Zavarukhin Vzp_at_csrs.ru
• SME Dr M. Shubin Mshubin_at_asvt.ru
• INCO Dr V. Khokhlova Khokhlova_at_csrs.ru
• Mobility Dr L. Gokhberg Lgokhberg_at_hse.ru

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The 6th FP of RTD and its first calls (I)What is
in for Russia?

• Russian organisations may participate over the
  minimum number of participants and receive
  Community financial contribution for all
  activities under the theme focusing and
  integrating as an INCO target country ( 285 M
  for all INCO target countries)
• Relevant Russian organisations and researchers
  may participate and receive a Community financial
  contribution for several activities in the area
  of Human Resources and Mobility.

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The 6th FP of RTD and its first calls (II)What
is in for Russia?

• Specific measures in support of international
  cooperation
• 70 M earmarked for INTAS out of the 315 M
  budgeted
• ? INTAS Work Programme 2003 and 2004.
• Dedicated Call for Specific Support Actions for
  Russia and the NIS with 600 K in (2003), 900
  K in 2004, 2005 and 2006.

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How to get involved in FP6? (I)
4.Negotiate Participation in proposal
1.Understand basics of 6th FP
3. Get in touch With potential partners
2.Work out ideas for participation
(Following steps Submission of
proposal Evaluation ranking Decision for
funding Negotiation of proposal Contracting)
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How to get involved in FP6 ? (II) Understanding
the basics

• Programme structure, Instruments, rules for
  participation
• Download and carefully read the relevant Work
  Programme(s) from http//fp6.cordis.lu/fp6/calls_o
  pen.cfm
• The WP
• - Specifies the content of research
• - Identifies the instruments applicable to each
  area
• - Defines implementation
• - Provides the roadmap of calls

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How to get involved in FP6 ? (III) Working
out ideas for participation

• Based on the core scientific competence of the
  institute/company, devise a set of ideas for
  research fully in line with the Work Programme.
• TIP prepare yourself to take a share of the work
  - and not the entire task/objective called by the
  Work Programme
• Check deadline for the call
• Get to know what is going on in the area
• - Projects in the field (http//europa.eu.int/com
  m/research/fp6/projects.cfm  )
• - Partners (http//fp6.cordis.lu/fp6/partners.cfm
  )
• - Expressions of Interest (http//eoi.cordis.lu/s
  earch_form.cfm)
• - Events
• - National Contact Points
• - Local representatives of Western European
  Companies
• TIP BE PRO-ACTIVE

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How to get involved in FP6 ? (IV) Negotiating
participation in a proposal with the Coordinator
and other partners

• Understanding eligible and non eligible costs
• Understanding the cost models
• Understanding the basics of the provisions for
  IPR
• Understanding the pro and cons of the cost models
• Understanding the pro and cons of participating
  as partner or subcontractor (to a partner)

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How to get involved in FP6 ? (V) Consortium
Agreement

• Renewed importance due to the new legal and
  financial approaches
• Regulates internal organisation of consortium,
  such as i.a.
• management of the project and allocation of the
  EC financing
• agreement on IPR access rights
• crisis management
• Compulsory except otherwise mentioned in the call
  for proposal
• Not signed nor approved by the Commission
• After or (preferably) before signing the contract
  but some decisions must be made by the
  participants before signature of contract (e.g.
  IPR issues)
• Non binding guidelines published by the
  Commission

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The End
Good luck! Thank you for your attention!