The European Research Area and the 6th Framework Programme

1
The European Research Area and the 6th Framework
Programme
Dr Dimitri CORPAKIS CEC- DG Research dimitri.corpa
kis_at_cec.eu.int Aalborg 7 Nov. 2002
2
My talk

• The Lisbon process
• The concept of the European Research Area
• Towards the 6th Framework Programme (2002-2006)

3
The Lisbon Strategy and the Barcelona target

• The vision within 10 years (2010), Europe should
  become the most competitive and dynamic knowledge
  society in the world
• Sustainable development, together with
  quantitative and qualitative improvement in
  employment greater social cohesion improvement
  of the labour market better governance
  life-long learning and people mobility
• Through an Open method of co-ordination and
  benchmarking (as a continuous, mutual learning
  process)
• RTDI a top priority for the EU (this was repeated
  in Barcelona, last March, where the ambitious
  goal of GDP 3 average investment in RTD was set.
  New Commission Communication on More Research
  for Europe adopted September 2002)
• ERA became one of the cornerstones of the Lisbon
  strategy
• Strong message for all parties involved and the
  ST community

4
European Research Area the concept

• A new vision for European research
• Re-invent the European research landscape
• avoid 151 policy framework
• reduce fragmentation of effort
• improve use of scarce resources
• improve organisation of research
• move to a really European research policy
• mobilise all operators the Unions Institutions,
  the Member States, the Regions, the Public ST
  and the business RD communities
• build a new, lasting partnership

5
7 questions for European research
Finding the right balance

• Concentration ? limited number of priorities
• Present priorities ? future needs
• Basic research ? applied research
• Industrial competitiveness ? other EU policies
• Established centres ? new teams
• Efficient management ? European dimension

6
About the Framework Programme

• The Framework Programme has been traditionally a
  policy planning tool for research and
  technological development at EU level.
  Historically it has been used as an instrument to
  promote transnational co-operation by supporting
  collaborative RTD.
• Now it will serve to build the European Research
  Area

7
New ERA and FP organising principles

• Networks of excellence / Virtual laboratories /
  Strong programming character
• Integrated Projects / Results oriented
  partnerships
• Joint implementation of national programmes
• A European approach to research infrastructures
• Greater researchers mobility / Improving the
  attraction of Europe for researchers from other
  parts of the world
• Greater coherence of research activities

8
Global partnerships evolution

• Larger networks / lasting integration
• Broader participation
• Public private schemes
• Increased SMEs presence
• Regional involvement / Clusters

9
European collaboration under the Framework
Programme

• The University - Industry transnational
  consortium, cornerstone of European RD
  collaboration
• Often survived proposal evaluation rejection and
  continued without Community funding
• A craddle for SME / University colaboration,
  also for outsourced research
• Currently in shared-cost projects, thematic
  networks, concerted actions, mobility of
  researchers

10
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 - research and
  tecnological development enters in the Treaty
  Second Framework Programme (1987-1991)
• 1993 Maastricht Treaty on European Union role
  of RTD in the EU enlarged
• 2000 Concept of ERA backed by Lisbon European
  Council
• 2002 Adoption of the Sixth Framework Programme
  (2002- 2006)

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How we grew evolution of the European Unions
RTD framework programme budget
12
EU researchchanging priorities
13
Sixth Framework Programme 2002-2006

• Commission proposal February 2001
• Adoption by Council and Parliament June 2002
• Instrumental for implementation of the European
  Research Area (ERA)
• Proposed and final budget EUR 17.5 billion
  Budget EUR 17.5 billion (17 compared to 5th
  Framework Programme)
• 6 of the EUs public (civilian) research
  budget

Some figures
14
Framework programme 2002-2006

• Financial instrument for implementing ERA
• Three main blocks of activities
• Integrating research (71 priorities).Priority
  instruments (others as well)
• Networks of excellence
• Integrated Projects
• Members State programmes carried out jointly
• Structuring ERA (research and innovation, human
  resources-mobility, infrastructures,
  science-society)
• Strengthening the ERA foundations

15
FP6 adopted Specific Programmes (5)

• For the EC Framework Programme
• A specific programme on "Integrating and
  strengthening the European Research Area" for the
  two blocks of activities "Integrating research"
  and "Strengthening the foundations of the
  European Research Area" of the Framework
  Programme proposal.
• A specific programme on "Structuring the European
  Research Area".
• A specific programme for JRC activities.
• For the EURATOM Framework Programme
• A specific programme for all the indirect actions
  in the fields of nuclear fission and fusion
• A specific programme for JRC activities.

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Sixth Framework Programme- Main components -
STRENGTHENING the foundations of the
European Research Area
FOCUSING and INTEGRATING European research
STRUCTURING the European Research Area
BASIC PRINCIPLES
Structuring effect through a stronger link with
national, regional and other European initiatives

Coordination - Simplification
Concentration on selected priority research
areas
17
Sixth Framework Programme
18
Sixth Framework Programme (EC)
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Sixth Framework Programme
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Framework programme 2002-2006Typology of
proposed thematic priorities
Industrial competitiveness
Nanotechnologies, new production processes
Aeronautics and space
Support for innovation
Information society
Support for SMEs
Genomics and biotechnology for health
Human resources and mobility of researchers
Sustainable development and global change
Dissemination and support
Cutting-edge research
Food safety and health risks
Governance
Science-society, ethics
Governance, citizenship
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The 7 thematic priorities

• 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

22
The 7 thematic priorities

• Genomics and biotechnology for health
• Information Society technologies
• 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

23
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
• 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

24
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
• 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)

25
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 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

26
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
• 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

27
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
• 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 8th PrioritySpecific 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 including the Western Balkans Russia
  and the CIS

29
International co-operation activities

• Participation of third countries in the thematic
  priorities
• Specific activities (in support of the EUs
  foreign policy and development aid policy)
• Third countries countries which are not members
  of the EU and not associated with the Framework
  Programme.

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SMEs

• General activities
• At least 15 of the total budget allocated to
  SMEs
• Taking into consideration specific regional
  economic and social situations
• Support for technological needs of SMEs
• Specific activities
• Co-operative research carried out by research
  centres for SMEs or by high-tech SMEs in
  collaboration with research centres and
  universities
• Collective research carried out by research
  centres for industrial associations or industry
  groupings in entire sectors of industry dominated
  by SMEs

31
Sixth Framework Programme
32
Structuring the ERA four categories of activity

• Research and innovation
• Networking the players and users
• Encouraging trans-regional co-operation
• New tools and approaches concerning technological
  innovation
• Putting services in place and consolidating them
  (CORDIS)
• Economic and technological intelligence
• Analysing innovation in EU-funded research
  projects

33
Structuring the ERA four categories of activity

• 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

34
Structuring the ERA four categories of activity

• 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

35
Structuring the ERA four categories of activity

• Research and innovation
• Human resources and mobility
• Research infrastructures
• Science/society
• Bringing research closer to society science and
  governance, scientific advice and reference
  systems
• Responsible research and application of science
  and technology ethics, uncertainty, risk,
  precautionary principle
• Stepping up the science/society dialogue and
  women in science public understanding, young
  peoples interest in scientific careers, women
  and science

36
Sixth Framework Programme
37
Strengthening the foundations of ERA two
categories of activity (I)

• Support for the co-ordination of activities (all
  ST fields eligible / some examples below)
• Co-ordination of national activities in areas
  such as
• Health major diseases, diseases linked to
  poverty, development of European databases,
  co-ordination of clinical trials etc.
• Biotechnology non-health and non-food
  applications
• Environment urban environment, marine
  environment, seismic risk
• Energy new generation of power plants, energy
  storage etc.
• Co-ordination at the European level
• Other co-operation frameworks (COST etc)
• Joint initiatives of specialised European
  scientific organisations (CERN, ESA? ESO, EMBL
  etc)

38
Strengthening the foundations of ERA two
categories of activity (II)

• Coherent development of research and innovation
  policies in Europe
• Analyses and studies (foresight, indicators etc.)
• Benchmarking of research and innovation policies
• Mapping excellence in Europe
• Regulatory and administrative environment for
  research and innovation

39
Three new instruments

• Networks of excellence
• Integrated projects
• Programmes implemented jointly
• In priority thematic areas, the new instruments
• Will be used from the start of FP6
• As a priority means, while maintaining the use of
  specific targeted projects and co-ordination
  actions
• Will be assessed in 2004

40
Framework programme 2002-2006 New priority
instruments

• Networks of excellence
• Lasting integration of research capacities /
  Implementation of joint programmes or activities
• Genuine virtual centres of excellence /
  Operational autonomy
• Gradual integration of work programmes / Selected
  on the basis of calls for proposals
• Integrated projects
• Actions with a real European scope / Involving
  significant mobilisation of stake-holders
• High level of autonomy / Implemented through
  overall financing plans
• Selected on the basis of calls for proposals
• Programmes carried out jointly
• Financial participation in national programmes
  carried out jointly (article 169 of the Treaty)
• Specific implementation structure
• Development or running of common infrastructures

41
Additional instruments

• Specific targeted research or innovation projects
• Specific research projects for SMEs
• Actions to promote and develop human resources
  and mobility
• Co-ordination actions
• Specific support actions
• Integrated infrastructure initiatives

42
Other instruments

• Specific targeted research or innovation
  projects
• 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

43
Other instruments (continued)

• Specific targeted research or innovation projects
• Specific research projects for SMEs
• Co-operative research projects undertaken for the
  benefit of a number of SMEs on themes of common
  interest
• Collective research projects carried out for
  industrial associations or industry groupings in
  sectors where SMEs are prominent
• Actions to promote and develop human resources
  and mobility
• Coordination actions
• Specific support actions
• Integrated infrastructure initiatives

44
Other instruments (continued)

• 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

45
Other instruments (continued)

• 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

46
Other instruments (continued)

• 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

47
Other instruments (continued)

• 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
• Integrated infrastructure initiatives
• To reinforce and develop research infrastructures
  in order to provide services at European level
• Must combine networking activities with support
  (e.g. transnational access) or research (e.g. to
  improve performance)
• Financing for new infrastructures is excluded
  (see Specific support actions)

48
Sixth Framework Programme (Euratom)
49
EURATOM activities

• Waste treatment and storage
• Long-term storage etc.
• Reducing the impact of waste and the hazards
  associated with waste etc.
• Controlled thermonuclear fusion
• Fusion physics and technology
• Activities related to Next Step/ITER
• Other activities
• Radiation protection
• Safer processes for the exploitation of nuclear
  energy
• Joint Research Centre
• Nuclear safety and security
• Measurements and reference materials

50
The FP6 Timeline
51
Participation

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

52
Rules for participation

• Funding mechanisms 'grant for integration' (for
  networks of excellence) and 'grant to the overall
  budget' (integrated projects), i.e. the financing
  principle will no longer be the 'eligible costs'
• Mainly on-going and ex-post control (rather than
  ex-ante)
• Changes in partnerships (addition or withdrawal)
  may be decided by partners, with tacit agreement
  by the Commission
• Candidate countries associated to the FP will
  participate under same conditions as EU Member
  States
• European research organisations (e.g. CERN, ESA,
  EMBO, etc.) will be treated as any entity from
  member states
• Intellectual Property Rights (IPR) rules
  simplified relevant agreements to be established
  by consortium partners.

53
Evaluation

• Same principles as in FP 5
• Transparency
• Equal treatment
• Impartiality

54
Funding

• Three different systems
• Grant to the budget
• Grant for integration
• Flat-rate

55
Control and Sanctions

• Objective
• Reinforcing ex-post controls
• To simplify and streamline ex-ante controls
• As a counterbalance to increased autonomy for
  participants

• Sanctions
• Exclusion criterion financial irregularity
• Recovery decisions (art. 256 EC Treaty)
• Other sanctions in contracts

56
Intellectual Property Rights (IPR)

• Complete and comprehensive in one document
• Based on
• Experience with FP 5 rules
• Consultation with academia and industry
• 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

57
A Regional Dimension for the ERA

• Concept identified in all ERA related
  Communications as important / Special
  Communication on the Regional Dimension adopted
  03/10/01 (COM(2001)549)
• Need to paying more attention to local and
  regional factors and operators, when thinking
  about research policy - a message primarily
  addressed to the Member States
• Involve more the Member States and the regions in
  a European Policy context

58
ERA what role for the regions ?

• An active role supportive, pro-active, based on
  public-private partnerships, strengthening
  actors, providing infrastructure and means,
  bridging the gap between knowledge creators and
  knowledge users
• Not just concentrated in a fund-absorption model

59
Specific implementation measures in FP6 relevant
to the Regional Dimension (2002-2006)

• Regions as direct or indirect partners in the
  major new instruments (NoE or IP)
• Strengthening the ERA foundations the ERA-NET
  scheme support for coordination measures at
  national or regional level
• Strengthening the ERA foundations Coherent
  development of research and innovation policies
  (analysies, studies, benchmarking)
• Structuring the ERA Research and Innovation
• encouragement and validation of local and
  regional initiatives
• encouraging trans-regional co-operation
• experimenting with new tools and approaches
• SMES (collective / cooperative research
  technology intelligence studies)
• Human Potential special grants favouring less
  developed regions
• The possibility of complementing the Framework
  Programme funding of a given action with funding
  from the Structural Funds in Objective 1 regions
  (but respecting fully the scientific excellence
  criteria when selecting projects for funding).

60
Specific direct measures in the 6th FP on
regions Strengthening the ERA foundations,
the ERA-NET scheme

• Support for the co-ordination of activities -
  programmes, instruments, plans or other
  initiatives undertaken at regional level,
  involving public funding to support RTD work, the
  development of research capabilities, and the
  promotion of innovation
• co-ordination of independent activities
  including their mutual opening
• preparation and management of joint activities

61
ERA-NET objectives

• Step up cooperation of research activities
  carried out at national or regional level in the
  MS and the associated states, through
• networking of RTD activities conducted at
  national or regional level
• mutual opening of national and regional research
  programmes

62
ERA-NET content

• Strategically planned or executed at N or R
  levels
• financed or managed by N or R public bodies or
  structures closely related to or mandated by
  public authorities
• networking does not involve transnational flows
  of national funding
• mutual opening involves mutually organised
  transnational flows of national funding
• all ST fields
• Info exchange, strategic activities,
  implementation of joint activities, transnational
  RTD activities, mutual opening

63
ERA-NET financial aspects

• Community contribution limited to the
  coordination costs of additional activities up to
  100, could reach 2 MEUR per project (instrument
  used coordination action) duration up to 5
  years
• Preparatory actions possible (max 1 year) up to
  200 KEUR (instrument specific support action)
• Contact anne.mandenoff_at_cec.eu.int

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NoE - IP benefits for the regions (I)

• Reinforcement and integration of existing or
  developing scientific excellence in all EU
  regions
• strong programming character
• better connectivity between central and
  peripheral hubs of scientific competence,
• increased opportunities for collaboration, staff
  mobility, information and knowledge exchange

65
NoE - IP benefits for the regions (II)

• positive spill-overs to the local and regional
  economies
• strong barriers against interregional
  brain-drain (scientists moving from less favoured
  to richer regions).
• Ability to build multi-polar areas of innovation
• excellence, supporting indirectly local
  development and economic growth, thus
  contributing to regional population stability
• Regional bodies may be associated in
  transnational partnerships to develop specific
  projects, of a substantial scale, aiming at
  integrating scientific and technological efforts.

66
The challenge of Enlargement

• RD policy priorities
• human resources
• research infrastructures
• integrated research and innovation strategies
  (including at regional level)
• framework conditions / synergies with education
  and training / business environment / risk
  capital
• linkage between knowledge institutions and the
  economy, including technology foresight

67
Find more on ERA and the FP

• General information on research
  http//europa.eu.int/comm/research
• General information on the Sixth Framework
  Programme http//europa.eu.int/comm/research/fp
  6/index_en.html
• Information on research programmes and projects
• http//www.cordis.lu
• Information requests
• research_at_cec.eu.int

68
Th_at_nk you
68
CEC- DG RTD / DCORP
7 Nov 02