acceding and candidate countries and the 6th framework programme conference
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Acceding and Candidate Countries and the 6th Framework Programme Conference (Bucharest, February 12-13, 2004) “FP6 New Instruments : IP and NoE". A wider range of better differentiated instruments for the thematic priorities. New instruments Integrated projects - PowerPoint PPT PresentationTRANSCRIPT
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°1
Acceding and Candidate Countriesand the 6th Framework Programme Conference
(Bucharest, February 12-13, 2004)
“FP6 New Instruments : IP and NoE"
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°2
A wider range of better differentiated instruments for the thematic priorities
New instruments
Integrated projects
Networks of excellence
Article 169
Traditional instruments
Specific targeted research projects
Coordination actions
Specific support actions
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°3
Principles guiding their design
Simplification and streamlining
reduction of administrative burden and speed up procedures, especially time-to-contract
Flexibility and adaptability
to enable instruments to be applicable throughout all the priority themes and projects to evolve
Increased management autonomy
to eliminate unnecessary micro-management
While preserving public accountability and protecting interests of the Community
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°4
Classification of the instruments
Instrument Purpose Primarydeliverable
Scale
IP
NoE
Art. 169
STREP
CA
SSA
objective-driven research
tacklefragmentation
joint MSprogrammes
research
coordination
support
knowledge
structuring
knowledge and/or
structuring
knowledge
coordination
support
med-high
med-high
high
low-med
low-med
low-med
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°5
“FP6Integrated Projects”
An instrument for supporting objective-driven research of European dimension
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°6
Purpose of Integrated Projects
Designed to generate the knowledge required to implement the priority thematic areas of FP6
by integrating the critical mass of activities and resources needed
to achieve ambitious, clearly defined scientific and technological objectives
Essentially an instrument for supporting objective-driven research of a European dimension
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°7
IP- Activities
May cover the full research spectrum
must contain objective-driven research
technological development and demonstration components as appropriate
may contain a training component
the effective management of knowledge will also be an essential feature
the whole carried out in a coherent management framework
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°8
Critical mass
Resources: those needed to achieve its ambitious objectives
but no minimum threshold, provided necessary ambition and critical mass is achieved
Partnership: minimum of 3 participants from 3 different States, of which at least 2 should be M S or ACC
but in practice substantially more
Duration: typically 3 to 5 years
but more if necessary to deliver the objectives
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°9
Financial regime (I)
A Community “grant to the budget” paid as a contribution to actual costsnecessary to the project
determined in accordance with the normal accounting rules of the participants
recorded in their accounts
excluding indirect taxes, interests...
Annual settlement of paymentsan outline of previous 12 months’ activities
summary financial statement by participant
certification by independent auditor
justification of the costs incurred
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°10
Financial regime (2)
3 simplified cost methodologies (still under discussion)
full costs (FC)
full costs flat rate (FCF)
additional costs (AC)
Maximum rates of support (FC-FCF participants)
research components: 50 %
demonstration components: 35 %
management and training: 100 % (7% rule)
AC participants: 100 % of additional costs for all components
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°11
Evaluation processCalls for proposals ( possibly preceded by calls for expressions of interest)
Simplified proposal making (evolutionary nature of the project)
Strengthened peer review system (stages, individual reviews, panel sessions, hearings…)
Key evaluation criteria
scale of ambition and potential impact
critical mass (activities, resources)
effectiveness of knowledge management
quality of project management
changes decided by the consortium (no additional funding)
calls launched by the Commission (with additional funding)
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°12
“FP6Networks
ofexcellence”
An instrument for tackling the fragmentation of European research
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°13
NoE Objectives
Strengthen Europe’s excellence on a particular research topic
by integrating the critical mass of expertise needed to provide European leadership and be a world force
around a joint programme of activities
Tackling the fragmentation of European research
where the main deliverable is a durable structuring and shaping of how research is carried out in Europe
Spreading excellence beyond its partners
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°14
NoE Joint programme of activities
A range of new or re-oriented activities:
Integrating activities
coordinated programming of the partners’ activities
sharing of research platforms/tools/facilities
joint management of the knowledge portfolio
staff mobility and exchanges
relocation of staff, teams, equipment
reinforced electronic communication systems
Joint Research programme:to support the network’s goals
Activities to spread excellence: training, dissemination and communication
within a unified management framework
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°15
NoE Critical mass
Expertise: this needed to achieve its ambitious objectives
variable from topic to topic
but no minimum threshold, provided necessary ambition and critical mass is achieved
Partnership: minimum of 3 participants from 3 different States, of which at least 2 should be M S or ACC
but in general at least 6
Duration: typically 5 years, possibly more but no more than 7 years
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°16
NoE Financial regime(1)
A fixed grant for integration, acting as an incentive, calculated on basis:
of the degree of integration
of the total number of researchers
of the characteristics of the field of research
of the joint programme of activities
with a bonus for registered doctoral students
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°17
NoE Financial regime(2)
The average annual grant to a network could vary with the number of researchers as follows:
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 and above € 6 million/year
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°18
NoE Payments regime
Annual payments of the grant will be paid on the basis of results
depending on a progressive advance towards a durable integration
with an additional check that costs of at least the value of the grant were incurred in implementing the joint programme of activities
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°19
NoE Evaluation process
Calls for proposals ( possibly preceded by calls for expressions of interest)
Simplified proposal making (evolutionary nature of the network)
Strengthened peer review system (stages, individual reviews, panel sessions, hearings…)
Key evaluation criteria
potential impact on strengthening European excellence
collective excellence of the network’s members
extent, depth and lasting nature of integration
contribution to spreading excellence
management and governance of the network
critical mass (activities, resources)
effectiveness of knowledge management
quality of project management
changes decided by the consortium (no additional funding)
calls launched by the Commission (with additional funding)
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°20
NoE Governance and monitoring
Institutional engagement by partners organisations
“governing council” (senior representatives of the partners): overseeing the integration of the partners’ activities
Robust output monitoring by the Commission, assisted by external experts
annual reviews (basis for payment, yellow flag/red flag)
end-of-term review: assessment of impact and lasting character
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°21
Reminder Main NoE features(1)
Demonstrated need for structuring
description of fragmentation on the topic
existence of excellent capacities in Europe in the topic
Is there a real need for a structuring
intervention?
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°22
Reminder Main NoE features(2)
Characteristics of the network planned
composition of the partnership: presence of key excellent actors
potential synergies, complementarities, potential specialisation among the members
quality/degree of integration planned
Is the network planned likely to constitute an answer to the fragmentation problem identified?
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°23
Reminder Main NoE features(3)
Viability of the network during and beyond the period
awareness of high decision level representatives of the participating organisations: strong commitment
security regarding network’s funding, particularly beyond the period
Will the network constitute a durable answer to the problem identified?
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°24
Some general comments after the first calls
o Some misunderstanding regarding the concept of integration
o Partnerships as a rule too large
o Some doubts about the use of the Community grant
o Some uncertainty regarding the final « deliverable » expected from the network
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°25
Concept of integration
o much further than simple co-ordination
o requires an institutional active and permanent involvement
o sort of “mutation process”
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°26
Partnerships
o likely to allow for actual integration
o all partners expected to be equal
o all partners directly involved in the « governing board »
o should remain manageable!!!
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°27
Use of the Community grant
o decided by the consortium
o on entirely autonomous basis
o can be used for ANY activity of the joint programme of activities (integrating activities, joint research programme, spreading of excellence, management)
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°28
What does the Commission expect as deliverable?
Main objective: durable integration at the end of the funding period
o Beyond the funding period (more than 5 years)
o Clearly demonstrated at the end of the period (legal structure, important shared investments, important common projects portfolio….)
European Commission - DG Research - Directorate B – “Structuring the European Research Area”Jean-David MALO – Bucharest, February 12-13, 2004 - NOT LEGALLY BINDING - Page n°29
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