The European Research Area and the 6th Framework Programme

The European Research The European Research Area and the 6th Area and the 6th

Framework Programme Framework Programme

Dr Dimitri CORPAKISDr Dimitri CORPAKIS

CEC- DG ResearchCEC- DG Research

[email protected]@cec.eu.intint

Aalborg 7 Nov. 2002Aalborg 7 Nov. 2002

7 Nov 02 CEC- DG RTD / DCORP 2

My talkMy talk

The Lisbon processThe Lisbon process The concept of the European Research Area The concept of the European Research Area Towards the 6th Framework Programme Towards the 6th Framework Programme

(2002-2006)(2002-2006)


The Lisbon Strategy and the The Lisbon Strategy and the Barcelona targetBarcelona target

The vision: within 10 years (2010), Europe should The vision: within 10 years (2010), Europe should become the most competitive and dynamic knowledge become the most competitive and dynamic knowledge society in the worldsociety in the world– Sustainable development, together with quantitative and qualitative Sustainable development, together with quantitative and qualitative

improvement in employment; greater social cohesion; improvement improvement in employment; greater social cohesion; improvement of the labour market; better governance; life-long learning and of the labour market; better governance; life-long learning and people mobilitypeople mobility

– Through an “Open method of co-ordination and benchmarking” (as Through an “Open method of co-ordination and benchmarking” (as a continuous, mutual learning process)a continuous, mutual learning process)

– RTDI a top priority for the EU (RTDI a top priority for the EU (this was repeated in Barcelona, this was repeated in Barcelona, last March, where the ambitious goal of GDP 3% average last March, where the ambitious goal of GDP 3% average investment in RTD was set. New Commission Communication investment in RTD was set. New Commission Communication on “More Research for Europe” adopted September 2002)on “More Research for Europe” adopted September 2002)

– ERA became one of the cornerstones of the Lisbon strategyERA became one of the cornerstones of the Lisbon strategy Strong message for all parties involved and the S&T communityStrong message for all parties involved and the S&T community


European Research Area: European Research Area:

the conceptthe concept A new vision for European researchA new vision for European research Re-invent the European research Re-invent the European research

landscapelandscape– avoid 15+1 policy frameworkavoid 15+1 policy framework– reduce fragmentation of effortreduce fragmentation of effort– improve use of scarce resourcesimprove use of scarce resources– improve organisation of researchimprove organisation of research– move to a really European research policymove to a really European research policy– mobilise all operators: the Union’s Institutions, the mobilise all operators: the Union’s Institutions, the

Member States, the Regions, the Public S&T and the Member States, the Regions, the Public S&T and the business R&D communitiesbusiness R&D communities

– build a new, lasting partnershipbuild a new, lasting partnership


7 questions for European 7 questions for European researchresearch

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

Finding the right balance:Finding the right balance:


About the Framework About the Framework ProgrammeProgramme

The Framework Programme has been The Framework Programme has been traditionally a policy planning tool for traditionally a policy planning tool for research and technological research and technological development at EU level. Historically it development at EU level. Historically it has been used as an instrument to has been used as an instrument to promote transnational co-operation by promote transnational co-operation by supporting collaborative RTD. supporting collaborative RTD.

Now it will serve to build the European Now it will serve to build the European Research AreaResearch Area


New ERA and FP New ERA and FP organising principlesorganising principles

Networks of excellence / Virtual laboratories / Strong Networks of excellence / Virtual laboratories / Strong programming characterprogramming character

Integrated Projects / Results oriented partnershipsIntegrated Projects / Results oriented partnerships Joint implementation of national programmesJoint implementation of national programmes A European approach to research infrastructuresA European approach to research infrastructures Greater researchers’ mobility / Improving the Greater researchers’ mobility / Improving the

attraction of Europe for researchers attraction of Europe for researchers from other parts of the worldfrom other parts of the world

Greater coherence of research activitiesGreater coherence of research activities


Global partnerships evolutionGlobal partnerships evolution

Larger networks / lasting integrationLarger networks / lasting integration Broader participationBroader participation Public private schemesPublic private schemes Increased SMEs presenceIncreased SMEs presence Regional involvement / ClustersRegional involvement / Clusters


European collaboration under the European collaboration under the Framework ProgrammeFramework Programme

The University - Industry transnational The University - Industry transnational consortium, cornerstone of European R&D consortium, cornerstone of European R&D collaborationcollaboration

Often survived proposal evaluation rejection Often survived proposal evaluation rejection and continued without Community fundingand continued without Community funding

A craddle for SME / University colaboration, A craddle for SME / University colaboration, also for outsourced researchalso for outsourced research

Currently in shared-cost projects, thematic Currently in shared-cost projects, thematic networks, concerted actions, mobility of networks, concerted actions, mobility of researchersresearchers


1957:1957: EURATOM treaty; Joint Research Centre set upEURATOM treaty; Joint Research Centre set up 1983:1983: ESPRIT programmeESPRIT programme 1984:1984: First Framework Programme (1984-1987), followed First Framework Programme (1984-1987), followed

by 4 successive Framework Programmes (up by 4 successive Framework Programmes (up to 2002)to 2002)

1987:1987: “European Single Act” - research and tecnological “European Single Act” - research and tecnological development enters in the Treaty; Second Framework development enters in the Treaty; Second Framework Programme (1987-1991)Programme (1987-1991)

1993:1993: Maastricht Treaty on European Union; role of RTD Maastricht Treaty on European Union; role of RTD in the EU enlargedin the EU enlarged

2000: Concept of ERA backed by Lisbon European Council2000: Concept of ERA backed by Lisbon European Council 2002: 2002: Adoption of the Sixth Framework Programme Adoption of the Sixth Framework Programme

(2002-(2002- 2006)2006)

Community RTDCommunity RTDthe story so farthe story so far


3,755,39

6,6

13,2214,96

17,5

0

2

4

6

8

10

12

14

16

18

20

1984-1987 1987-1991 1990-1994 1994-1998 1998-2002 2002-2006

EUR billion

How we grew: evolution of the How we grew: evolution of the European Union’s RTD framework European Union’s RTD framework

programme budgetprogramme budget


EU research:EU research:changing prioritieschanging priorities

0

10

20

30

40

50

60

70

80

90

100

FP

1

FP

2

FP

3

FP

4

FP

5

FP

6

%

Coordination & development

Training of researchers

Dissemination & exploitation

International cooperation

Socio-economic

Transport

Energy

Life sciences

Environment

Industrial & materials technology

IT and Communications


Sixth Framework Sixth Framework Programme 2002-2006Programme 2002-2006

Commission proposal: February 2001Commission proposal: February 2001 Adoption by Council and Parliament: June 2002Adoption by Council and Parliament: June 2002 Instrumental for implementation of the European Instrumental for implementation of the European

Research Area (ERA)Research Area (ERA)

Proposed and final budget: EUR 17.5 billion Budget: EUR Proposed and final budget: EUR 17.5 billion Budget: EUR 17.5 billion (+17% compared to 5th Framework 17.5 billion (+17% compared to 5th Framework Programme)Programme)

== ~ 6% of the EU’s public (civilian) research budget ~ 6% of the EU’s public (civilian) research budget

Some figures:


Framework programme Framework programme 2002-20062002-2006

Financial instrument for implementing Financial instrument for implementing ERAERA

Three main blocks of activitiesThree main blocks of activities Integrating research (7+1 priorities).Integrating research (7+1 priorities).Priority Priority

instruments (others as well):instruments (others as well): Networks of excellenceNetworks of excellence Integrated ProjectsIntegrated Projects Members State programmes carried out jointlyMembers State programmes carried out jointly

Structuring ERA (research and innovation, human Structuring ERA (research and innovation, human resources-mobility, infrastructures, science-society)resources-mobility, infrastructures, science-society)

Strengthening the ERA foundationsStrengthening the ERA foundations


FP6 adopted Specific FP6 adopted Specific Programmes (5)Programmes (5)

For the EC Framework Programme: For the EC Framework Programme: – A specific programme on "A specific programme on "Integrating and strengthening the Integrating and strengthening the

European Research AreaEuropean Research Area" for the two blocks of activities " for the two blocks of activities ""Integrating researchIntegrating research" and "" and "Strengthening the foundations of the Strengthening the foundations of the European Research AreaEuropean Research Area" of the Framework Programme proposal." of the Framework Programme proposal.

– A specific programme on "A specific programme on "Structuring the European Research Structuring the European Research AreaArea". ".

– A specific programme for JRC activities.A specific programme for JRC activities.

For the EURATOM Framework Programme: For the EURATOM Framework Programme: – A specific programme for all the indirect actions in the fields of A specific programme for all the indirect actions in the fields of

nuclear fission and fusionnuclear fission and fusion

– A specific programme for JRC activities.A specific programme for JRC activities.


FOCUSING and INTEGRATING

European research

STRUCTURING the European Research Area

STRENGTHENING the foundations of the

European Research Area

Concentration: on selected priority research areas

Concentration: on selected priority research areas

Structuring effect: through a stronger link with national, regional and other

European initiatives

Structuring effect: through a stronger link with national, regional and other

European initiatives

Coordination - Simplification

Coordination - Simplification

BASIC PRINCIPLESBASIC PRINCIPLES

Sixth Framework ProgrammeSixth Framework Programme- Main components -- Main components -


Activities Budget (€ million)

1. European Community 16 270

2. Euratom 1 230

Total 17 500

Sixth Framework ProgrammeSixth Framework Programme


Sixth Framework Programme Sixth Framework Programme (EC)(EC)

Group of actions Budget(€ million)

1. Focusing and integrating Communityresearch

13 345

2. Structuring the European Research Area 2 605

3. Strengthening the foundations of theEuropean Research Area

320

Total 16 270


Sixth Framework Sixth Framework ProgrammeProgramme

I. Focusing and integrating research Budget(€ million)

1. Life sciences, genomics and biotechnology for health Advanced genomics and its applications for health Combatting major diseases

2 2551 1001 155

2. Information Society technologies 3 6253. Nanotechnologies and nano-sciences, knowledge-

based multifunctional materials and new productionprocesses and devices

1 300

4. Aeronautics and space 1 0755. Food quality and safety 6856. Sustainable development, global change and

ecosystems Sustainable energy systems Sustainable surface transport Global change and ecosystems

2 120810610700

7. Citizens and governance in a knowledge-based society 2258. Specific activities covering a wider field of research 1 300

Total 13 345** Including non-nuclear activities of the Joint Research Centre: €760 million


Informationsociety

Informationsociety

Framework programme 2002-2006:Framework programme 2002-2006:Typology of proposed thematic prioritiesTypology of proposed thematic priorities

Dissemination

and support

Dissemination

and supportCutting-edge

research

Industrial competitiveness

Industrial competitiveness

Governance, citizenship

Governance, citizenship

Science-society, ethics

Science-society, ethics GovernanceGovernance

Support for SMEs

Support for SMEs

Food safety andhealth risks

Food safety andhealth risks

Sustainable development

andglobal change

Sustainable development

andglobal change

Human resources

and mobility ofresearchers

Support for innovationSupport for innovation

Nanotechnologies,new production

processes

Nanotechnologies,new production

processes

Aeronautics and space

Aeronautics and space

Genomics and biotechnology

for health

Genomics and biotechnology

for health


The 7 thematic priorities The 7 thematic priorities Genomics and biotechnology for healthGenomics and biotechnology for health

Advanced genomics and its application for healthAdvanced genomics and its application for health Fundamental knowledge and basic tools for functional Fundamental knowledge and basic tools for functional

genomics in all organismsgenomics in all organisms: gene expression and : gene expression and proteomics, structural genomics, bioinformatics, etc.proteomics, structural genomics, bioinformatics, etc.

Application of knowledge and technologies in Application of knowledge and technologies in genomics and biotechnology for healthgenomics and biotechnology for health: technological : technological platforms, prevention and therapeutic tools, etc.platforms, prevention and therapeutic tools, etc.

Combating major diseasesCombating major diseases Application-oriented genomic approaches to medical Application-oriented genomic approaches to medical

knowledge and technologiesknowledge and technologies: diabetes, cardiovascular : diabetes, cardiovascular diseases, resistance to antibiotics, brain and ageing, etc.diseases, resistance to antibiotics, brain and ageing, etc.

CancerCancer Major poverty-linked infectious diseasesMajor poverty-linked infectious diseases: aids, malaria : aids, malaria

and tuberculosisand tuberculosis


Genomics and biotechnology for healthGenomics and biotechnology for health Information Society technologiesInformation Society technologies

Applied IST research addressing major societal and Applied IST research addressing major societal and economic challengeseconomic challenges: security, societal challenges, : security, societal challenges, ‘ambient intelligence’, electronic commerce, etc‘ambient intelligence’, electronic commerce, etc

Communication, computing and software Communication, computing and software technologiestechnologies

Components and microsystemsComponents and microsystems Knowledge and interface technologiesKnowledge and interface technologies

The 7 thematic priorities The 7 thematic priorities


Genomics and biotechnology for healthGenomics and biotechnology for health Information Society technologiesInformation Society technologies Nanotechnologies and nanosciences, knowledge-Nanotechnologies and nanosciences, knowledge-

based multifunctional materials, and new production based multifunctional materials, and new production processes and devicesprocesses and devices Nanotechnologies and nanosciencesNanotechnologies and nanosciences: long-term research, : long-term research,

supramolecular architectures and macromolecules, nano-supramolecular architectures and macromolecules, nano-biotechnologies, applications in health, chemistry etcbiotechnologies, applications in health, chemistry etc

Knowledge-based multifunctional materialsKnowledge-based multifunctional materials: fundamental : fundamental knowledge; production, transformation and processing knowledge; production, transformation and processing technologies, etctechnologies, etc

New production processes and devicesNew production processes and devices: flexible and : flexible and intelligent manufacturing systems, systems research and hazard intelligent manufacturing systems, systems research and hazard control, clean and safe production, optimisation of life cycles, etccontrol, clean and safe production, optimisation of life cycles, etc



Genomics and biotechnology for healthGenomics and biotechnology for health Information Society technologiesInformation Society technologies Nanotechnologies and nanosciences, knowledge-based Nanotechnologies and nanosciences, knowledge-based

multifunctional materials, and new production multifunctional materials, and new production processes and devicesprocesses and devices

Aeronautics and spaceAeronautics and space AeronauticsAeronautics: competitiveness of the industry (new aircraft, : competitiveness of the industry (new aircraft,

engines etc); improving environmental impact (emissions and engines etc); improving environmental impact (emissions and noise); safety; increasing the capacity of the air transport system noise); safety; increasing the capacity of the air transport system (‘Single European Sky’)(‘Single European Sky’)

SpaceSpace: research relevant to Galileo (satellite navigation) and : research relevant to Galileo (satellite navigation) and GMES (monitoring for environment and security); satellite GMES (monitoring for environment and security); satellite telecommunications (integrating terrestrial networks and space telecommunications (integrating terrestrial networks and space systems)systems)




multifunctional materials, and new production processes and multifunctional materials, and new production processes and devicesdevices

Aeronautics and spaceAeronautics and space Food quality and safetyFood quality and safety

Epidemiology of food-related diseases and allergiesEpidemiology of food-related diseases and allergies Impact of food on healthImpact of food on health ‘‘Traceability’ processes all along the production chainTraceability’ processes all along the production chain Methods of analysis, detection and controlMethods of analysis, detection and control Safer and environmentally friendly production methods and healthier Safer and environmentally friendly production methods and healthier

foodstuffsfoodstuffs Impact of animal feed on human healthImpact of animal feed on human health Environmental health risksEnvironmental health risks




multifunctional materials, and new production processes and multifunctional materials, and new production processes and devicesdevices

Aeronautics and spaceAeronautics and space Food safety and health risksFood safety and health risks Sustainable development and global changeSustainable development and global change

Sustainable energy systemsSustainable energy systems: clean energy, energy savings, alternative : clean energy, energy savings, alternative motor fuels, fuel cells, energy carriers/transport/storage, etcmotor fuels, fuel cells, energy carriers/transport/storage, etc

Sustainable surface transportSustainable surface transport: environmentally friendly transport, : environmentally friendly transport, interoperability, safety, etcinteroperability, safety, etc

Global change and ecosystemsGlobal change and ecosystems: greenhouse gas emissions, water cycle, : greenhouse gas emissions, water cycle, biodiversity, natural disasters, land management, climate modelling, etcbiodiversity, natural disasters, land management, climate modelling, etc




multifunctional materials, and new production processes multifunctional materials, and new production processes and devicesand devices

Aeronautics and spaceAeronautics and space Food safety and health risksFood safety and health risks Sustainable development and global changeSustainable development and global change Citizens and governance in the European knowledge-based Citizens and governance in the European knowledge-based

societysociety Knowledge-based society and social cohesionKnowledge-based society and social cohesion: generation/ : generation/

distribution/use of knowledge; development of a knowledge-distribution/use of knowledge; development of a knowledge-based society; variety of paths towards a knowledge-based based society; variety of paths towards a knowledge-based society; etcsociety; etc

Citizenship, democracy and new forms of governanceCitizenship, democracy and new forms of governance: : consequences of EU integration, enlargement; new forms of consequences of EU integration, enlargement; new forms of governance; resolution of conflicts; citizenship and cultural governance; resolution of conflicts; citizenship and cultural identitiesidentities



The 8th Priority:The 8th Priority:Specific activities covering a wider field of researchSpecific activities covering a wider field of research

7 thematic priorities7 thematic priorities Specific activities covering a wider field of research :Specific activities covering a wider field of research :

Supporting policies and anticipating scientific and Supporting policies and anticipating scientific and technological needs: technological needs: activities in support of EU policies and activities in support of EU policies and research responding to new and emerging needs (annual research responding to new and emerging needs (annual programming) programming)

Horizontal research activities involving SMEs:Horizontal research activities involving SMEs: to boost to boost technological capacities of SMEs in traditional or new areas and technological capacities of SMEs in traditional or new areas and develop their ability to operate internationally (co-operative and develop their ability to operate internationally (co-operative and collective research)collective research)

Specific measures in support of international co-operation:Specific measures in support of international co-operation: developing countries, Mediterranean countries including the developing countries, Mediterranean countries including the Western Balkans; Russia and the CISWestern Balkans; Russia and the CIS


International co-operation International co-operation activitiesactivities

Participation of third countries in the Participation of third countries in the thematic prioritiesthematic priorities

&& Specific activities (in support of the EU’s Specific activities (in support of the EU’s

foreign policy and development aid policy)foreign policy and development aid policy)

Third countriesThird countries : countries which are not members of the EU : countries which are not members of the EU and not associated with the Framework Programme. and not associated with the Framework Programme.


SMEsSMEs

General activitiesGeneral activities At least 15% of the total budget allocated to SMEsAt least 15% of the total budget allocated to SMEs Taking into consideration specific regional economic and Taking into consideration specific regional economic and

social situations social situations Support for technological needs of SMEsSupport for technological needs of SMEs

Specific activitiesSpecific activities ‘‘Co-operative research’: carried out by research centres Co-operative research’: carried out by research centres forfor

SMEs or SMEs or byby high-tech SMEs in collaboration with research high-tech SMEs in collaboration with research centres and universities centres and universities

‘‘Collective research’: carried out by research centres for Collective research’: carried out by research centres for industrial associations or industry groupings in entire sectors industrial associations or industry groupings in entire sectors of industry dominated by SMEsof industry dominated by SMEs


II. Structuring the ERA Budget(€ million)

1. Research and innovation 2902. Human resources 1 5803. Research infrastructures 6554. Science and society 80

Total 2 605



Structuring the ERA: Structuring the ERA: four categories of activityfour categories of activity

Research and innovationResearch and innovation Networking the players and usersNetworking the players and users Encouraging trans-regional co-operationEncouraging trans-regional co-operation New tools and approaches concerning technological New tools and approaches concerning technological

innovation innovation Putting services in place and consolidating them Putting services in place and consolidating them

(CORDIS)(CORDIS) Economic and technological intelligenceEconomic and technological intelligence Analysing innovation in EU-funded research projectsAnalysing innovation in EU-funded research projects


Research and innovationResearch and innovation Human resources and mobilityHuman resources and mobility

Host-driven actionsHost-driven actions: MC (: MC (Marie CurieMarie Curie) research ) research training networks, MC host fellowships for early stage training networks, MC host fellowships for early stage research training, MC host fellowships for the transfer research training, MC host fellowships for the transfer of knowledge, MC conferences and training coursesof knowledge, MC conferences and training courses

Individual-driven actionsIndividual-driven actions: MC intra-European : MC intra-European fellowships, MC outgoing/incoming international fellowships, MC outgoing/incoming international fellowships,fellowships,

Excellence promotion and recognitionExcellence promotion and recognition: MC : MC excellence grants, MC excellence awards, MC chairsexcellence grants, MC excellence awards, MC chairs

Return and reintegration mechanismsReturn and reintegration mechanisms



Research and innovationResearch and innovation Human resources and mobilityHuman resources and mobility Research infrastructures Research infrastructures

Transnational access to research Transnational access to research infrastructures infrastructures

Integrating activities Integrating activities Communication network developmentCommunication network development Design studiesDesign studies Development of new infrastructuresDevelopment of new infrastructures



Research and innovationResearch and innovation Human resources and mobilityHuman resources and mobility Research infrastructuresResearch infrastructures Science/societyScience/society

Bringing research closer to societyBringing research closer to society: science and : science and governance, scientific advice and reference systemsgovernance, scientific advice and reference systems

Responsible research and application of science and Responsible research and application of science and technologytechnology: ethics, uncertainty, risk, precautionary : ethics, uncertainty, risk, precautionary principleprinciple

Stepping up the science/society dialogue and women Stepping up the science/society dialogue and women in sciencein science: public understanding, young people’s interest : public understanding, young people’s interest in scientific careers, women and sciencein scientific careers, women and science



III. Strengthening thefoundations of the ERA

Budget(EUR million)

1. Support for the coordination ofactivities

270

2. Coherent development of researchand innovation policies

50

Total 320



Strengthening the foundations of ERA: Strengthening the foundations of ERA: two categories of activity (I)two categories of activity (I)

Support for the co-ordination of activities (all S&T Support for the co-ordination of activities (all S&T fields eligible / some examples below): fields eligible / some examples below):

Co-ordination of national activitiesCo-ordination of national activities in areas such as:in areas such as: HealthHealth: major diseases, diseases linked to poverty, development of : major diseases, diseases linked to poverty, development of

European databases, co-ordination of clinical trials etc.European databases, co-ordination of clinical trials etc. BiotechnologyBiotechnology: non-health and non-food applications: non-health and non-food applications EnvironmentEnvironment: urban environment, marine environment, seismic risk: urban environment, marine environment, seismic risk EnergyEnergy: new generation of power plants, energy storage etc.: new generation of power plants, energy storage etc.

Co-ordination at the European levelCo-ordination at the European level Other co-operation frameworks (COST etc)Other co-operation frameworks (COST etc) Joint initiatives of specialised European scientific organisations (CERN, Joint initiatives of specialised European scientific organisations (CERN,

ESA? ESO, EMBL etc)ESA? ESO, EMBL etc)


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

innovationinnovation

Strengthening the foundations of ERA: Strengthening the foundations of ERA:

two categories of activity (II)two categories of activity (II)


Three new instrumentsThree new instruments Networks of excellenceNetworks of excellence Integrated projects Integrated projects Programmes implemented jointlyProgrammes implemented jointly

In priority thematic areas, the new instruments:In priority thematic areas, the new instruments: Will be used from the start of FP6Will be used from the start of FP6 As a priority means, while maintaining the use As a priority means, while maintaining the use

of specific targeted projects and co-ordination of specific targeted projects and co-ordination actionsactions

Will be assessed in 2004Will be assessed in 2004


Framework programme 2002-2006:Framework programme 2002-2006: New priority instrumentsNew priority instruments

Networks of excellenceNetworks of excellence– Lasting integration of research capacities / Implementation of joint Lasting integration of research capacities / Implementation of joint

programmes or activitiesprogrammes or activities– Genuine ‘virtual centres of excellence’ / Operational autonomy Genuine ‘virtual centres of excellence’ / Operational autonomy – Gradual integration of work programmes / Selected on the basis of Gradual integration of work programmes / Selected on the basis of

calls for proposalscalls for proposals

Integrated projectsIntegrated projects– Actions with a real European scope / Involving significant Actions with a real European scope / Involving significant

mobilisation of stake-holdersmobilisation of stake-holders– High level of autonomy / Implemented through overall financing High level of autonomy / Implemented through overall financing

plansplans– Selected on the basis of calls for proposalsSelected on the basis of calls for proposals

Programmes carried out jointlyProgrammes carried out jointly– Financial participation in national programmes carried out jointly Financial participation in national programmes carried out jointly

(article 169 of the Treaty)(article 169 of the Treaty)– Specific implementation structureSpecific implementation structure– Development or running of common infrastructuresDevelopment or running of common infrastructures


Additional instrumentsAdditional instruments Specific targeted research or innovation projectsSpecific targeted research or innovation projects Specific research projects for SMEsSpecific research projects for SMEs Actions to promote and develop human resources and mobilityActions to promote and develop human resources and mobility Co-ordination actionsCo-ordination actions Specific support actionsSpecific support actions Integrated infrastructure initiativesIntegrated infrastructure initiatives


Other instrumentsOther instruments Specific targeted research or innovation projects:Specific targeted research or innovation projects:

Specific targeted Specific targeted researchresearch projects: to improve projects: to improve competitiveness; need to be sharply focussed; either a RTD competitiveness; need to be sharply focussed; either a RTD project (to gain knowledge) or a demonstration project (to project (to gain knowledge) or a demonstration project (to prove the viability of new technologies which cannot be prove the viability of new technologies which cannot be commercialised directly)commercialised directly)

Specific targeted Specific targeted innovationinnovation projects: to test, validate and projects: to test, validate and disseminate new innovation concepts and methodsdisseminate new innovation concepts and methods

Specific research projects for SMEsSpecific research projects for SMEs Actions to promote and develop human resources Actions to promote and develop human resources

and mobilityand mobility Co-ordination actionsCo-ordination actions Specific support actionsSpecific support actions Integrated infrastructure initiatives Integrated infrastructure initiatives


Other instruments (continued)Other instruments (continued)

Specific targeted research or innovation Specific targeted research or innovation projectsprojects

Specific research projects for SMEsSpecific research projects for SMEs Co-operativeCo-operative research projects undertaken for the benefit research projects undertaken for the benefit

of a number of SMEs on themes of common interestof a number of SMEs on themes of common interest CollectiveCollective research projects carried out for industrial research projects carried out for industrial

associations or industry groupings in sectors where SMEs associations or industry groupings in sectors where SMEs are prominentare prominent

Actions to promote and develop human Actions to promote and develop human resources and mobilityresources and mobility

Coordination actionsCoordination actions Specific support actionsSpecific support actions Integrated infrastructure initiatives Integrated infrastructure initiatives



Specific research projects for SMEsSpecific research projects for SMEs Actions to promote and develop human Actions to promote and develop human

resources and mobilityresources and mobility To promote training, development of expertise or transfer To promote training, development of expertise or transfer

of knowledgeof knowledge To support actions undertaken by individuals, host To support actions undertaken by individuals, host

structures (including training networks) and European structures (including training networks) and European research teamsresearch teams

Coordination actionsCoordination actions Specific support actionsSpecific support actions Integrated infrastructure initiatives Integrated infrastructure initiatives



Specific targeted research or innovation projectsSpecific targeted research or innovation projects Specific research projects for SMEsSpecific research projects for SMEs Actions to promote and develop human Actions to promote and develop human

resources and mobilityresources and mobility Coordination actionsCoordination actions

To support co-ordinated initiatives undertaken by a range of To support co-ordinated initiatives undertaken by a range of stakeholders involved in research and innovation (with the aim stakeholders involved in research and innovation (with the aim of improving integration)of improving integration)

Actions: conferences, meetings, studies, exchange of Actions: conferences, meetings, studies, exchange of personnel, exchange of good practices, information systems, personnel, exchange of good practices, information systems, expert groups etcexpert groups etc

Specific support actionsSpecific support actions Integrated infrastructure initiatives Integrated infrastructure initiatives




Specific research projects for SMEsSpecific research projects for SMEs Actions to promote and develop human Actions to promote and develop human

resources and mobilityresources and mobility Coordination actionsCoordination actions Specific support actionsSpecific support actions

To complement FP6 implementationTo complement FP6 implementation To prepare future RTD activities (monitoring, assessment, To prepare future RTD activities (monitoring, assessment,

etc)etc) Actions: conferences, meetings, studies, awards, Actions: conferences, meetings, studies, awards,

information and communication activities, support of information and communication activities, support of research infrastructures (e.g. feasibility studies) etcresearch infrastructures (e.g. feasibility studies) etc

Integrated infrastructure initiatives Integrated infrastructure initiatives



Specific targeted research or innovation projectsSpecific targeted research or innovation projects Specific research projects for SMEsSpecific research projects for SMEs Actions to promote and develop human resources Actions to promote and develop human resources

and mobilityand mobility Coordination actionsCoordination actions Specific support actionsSpecific support actions Integrated infrastructure initiativesIntegrated infrastructure initiatives

To reinforce and develop research infrastructures in order to To reinforce and develop research infrastructures in order to provide services at European levelprovide services at European level

Must combine networking activities with support (e.g. Must combine networking activities with support (e.g. transnational access) or research (e.g. to improve performance)transnational access) or research (e.g. to improve performance)

Financing for new infrastructures is excluded (see ‘Specific Financing for new infrastructures is excluded (see ‘Specific support actions’)support actions’)



Sixth Framework Sixth Framework Programme (Euratom)Programme (Euratom)Framework programme Euratom Budget

(EUR million)

1. Management of radioactive waste 90

2. Controlled thermonuclear fusion 750*

3. Radiation protection 50

4. Other activities 50

4. Activities of the Joint ResearchCentre

290

Total 1 230

* including EUR 200 million for participation in ITER


EURATOM activitiesEURATOM activities Waste treatment and storage:Waste treatment and storage:

– Long-term storage etc.Long-term storage etc.– Reducing the impact of waste and the hazards associated with Reducing the impact of waste and the hazards associated with

waste etc.waste etc. Controlled thermonuclear fusion:Controlled thermonuclear fusion:

– Fusion physics and technologyFusion physics and technology– Activities related to ‘Next Step’/ITERActivities related to ‘Next Step’/ITER

Other activities:Other activities:– Radiation protectionRadiation protection– Safer processes for the exploitation of nuclear energySafer processes for the exploitation of nuclear energy

Joint Research Centre:Joint Research Centre:– Nuclear safety and securityNuclear safety and security– Measurements and reference materials Measurements and reference materials


The FP6 TimelineThe FP6 Timeline21 February 2001 Commission’s proposal

30 May 2001 Specific programmes

14 November 2001 First reading at EP

10 December 2001 Political agreement at Council

28 January 2002 Common position at Council

15 May 2002 Second reading and approval at EP

3 June 2002 Adoption

11-12-13 November 2002 Launch conference (Brussels)


ParticipationParticipation Who can participate?Who can participate?

Every legal entityEvery legal entity NewNew:: Associated candidate countries = Associated candidate countries =

Member States (MS)Member States (MS) NewNew:: International European interest International European interest

organisations = MSorganisations = MS


Rules for participationRules for participation Funding mechanisms: Funding mechanisms: 'grant for integration''grant for integration' (for networks of (for networks of

excellence) and excellence) and 'grant to the overall budget''grant to the overall budget' (integrated projects), (integrated projects), i.e. the financing principle will no longer be the 'eligible costs'i.e. the financing principle will no longer be the 'eligible costs'

Mainly on-going and ex-post control (rather than ex-ante); Mainly on-going and ex-post control (rather than ex-ante);

Changes in partnerships (addition or withdrawal) may be decided by Changes in partnerships (addition or withdrawal) may be decided by partners, with tacit agreement by the Commissionpartners, with tacit agreement by the Commission

Candidate countries associated to the FP will participate under same Candidate countries associated to the FP will participate under same conditions as EU Member States;conditions as EU Member States;

European research organisations (e.g. CERN, ESA, EMBO, etc.) will be European research organisations (e.g. CERN, ESA, EMBO, etc.) will be treated as any entity from member states;treated as any entity from member states;

Intellectual Property Rights (IPR) rules simplified; relevant Intellectual Property Rights (IPR) rules simplified; relevant agreements to be established by consortium partners.agreements to be established by consortium partners.


EvaluationEvaluationSame principles as in FP 5:Same principles as in FP 5:TransparencyTransparency

Equal treatmentEqual treatment

ImpartialityImpartiality


FundingFunding

Three different systems:Three different systems:Grant to the budgetGrant to the budget

Grant for integrationGrant for integration

Flat-rateFlat-rate


Control and SanctionsControl and Sanctions Objective:Objective:

Reinforcing ex-post controlsReinforcing ex-post controls To simplify and streamline ex-ante controlsTo simplify and streamline ex-ante controls As a counterbalance to increased autonomy for As a counterbalance to increased autonomy for

participantsparticipants

Sanctions:Sanctions: Exclusion criterion: financial irregularity Exclusion criterion: financial irregularity

Recovery decisions (art. 256 EC Treaty) Recovery decisions (art. 256 EC Treaty)

Other sanctions in contracts Other sanctions in contracts


Intellectual Property Rights Intellectual Property Rights (IPR)(IPR)

Complete and comprehensive in one documentComplete and comprehensive in one document

Based on:Based on:

Experience with FP 5 rulesExperience with FP 5 rules

Consultation with academia and industryConsultation with academia and industry

As in FP 5:As in FP 5:Participants own results they have generatedParticipants own results they have generatedEmphasis on use of results, dissemination if Emphasis on use of results, dissemination if

appropriate or if results are not usedappropriate or if results are not usedSMEs own results generated in SME-activitiesSMEs own results generated in SME-activities


A Regional Dimension A Regional Dimension for the ERAfor the ERA

Concept identified in all ERA related Concept identified in all ERA related Communications as important / Special Communications as important / Special Communication on the Regional Dimension Communication on the Regional Dimension adopted 03/10/01 (COM(2001)549)adopted 03/10/01 (COM(2001)549)

Need to paying more attention to local and Need to paying more attention to local and regional factors and operators, when regional factors and operators, when thinking about research policy - thinking about research policy - a message a message primarily addressed to the Member Statesprimarily addressed to the Member States

Involve more the Member States and the Involve more the Member States and the regions in a European Policy contextregions in a European Policy context


ERA: what role for the ERA: what role for the regions ?regions ?

An An activeactive role: supportive, pro-active, role: supportive, pro-active, based on public-private partnerships, based on public-private partnerships, strengthening actors, providing strengthening actors, providing infrastructure and means, infrastructure and means, bridging bridging the gapthe gap between knowledge creators between knowledge creators and knowledge usersand knowledge users

NotNot just concentrated in a fund- just concentrated in a fund-absorption modelabsorption model


Specific implementation measures in Specific implementation measures in FP6 relevant to the Regional FP6 relevant to the Regional

Dimension (2002-2006)Dimension (2002-2006) Regions as direct or indirect partners in the major new instruments (NoE Regions as direct or indirect partners in the major new instruments (NoE

or IP)or IP) Strengthening the ERA foundationsStrengthening the ERA foundations: the : the ERA-NETERA-NET scheme: support for scheme: support for

coordination measures at national or regional levelcoordination measures at national or regional level Strengthening the ERA foundationsStrengthening the ERA foundations: Coherent development of research and : Coherent development of research and

innovation policies (analysies, studies, benchmarking)innovation policies (analysies, studies, benchmarking) Structuring the ERA: Research and Innovation Structuring the ERA: Research and Innovation

encouragement and validation of local and regional initiativesencouragement and validation of local and regional initiatives encouraging trans-regional co-operationencouraging trans-regional co-operation experimenting with new tools and approachesexperimenting with new tools and approaches

SMESSMES (collective / cooperative research; technology intelligence studies) (collective / cooperative research; technology intelligence studies) Human PotentialHuman Potential: special grants favouring less developed regions: special grants favouring less developed regions The possibility of complementing the Framework Programme funding of a given The possibility of complementing the Framework Programme funding of a given

action with funding from the Structural Funds in Objective 1 regions (but action with funding from the Structural Funds in Objective 1 regions (but respecting fully the scientific excellence criteria when selecting projects for respecting fully the scientific excellence criteria when selecting projects for funding).funding).


Specific direct measures in the 6th FP on Specific direct measures in the 6th FP on

regions:regions: Strengthening the ERA Strengthening the ERA

foundations, foundations, the ERA-NET schemethe ERA-NET scheme Support for the Support for the co-ordination of activities - co-ordination of activities -

programmes, instruments, plans or other programmes, instruments, plans or other initiatives undertaken at regional level, involving initiatives undertaken at regional level, involving public funding to support RTD work, the public funding to support RTD work, the development of research capabilities, and the development of research capabilities, and the promotion of innovationpromotion of innovation– co-ordination of independent activities including their co-ordination of independent activities including their

mutual openingmutual opening– preparation and management of joint activitiespreparation and management of joint activities


ERA-NET objectivesERA-NET objectivesStep up cooperation of research Step up cooperation of research

activities carried out at national or activities carried out at national or regional level in the MS and the regional level in the MS and the associated states, through:associated states, through:– networking of RTD activities conducted networking of RTD activities conducted

at national or regional levelat national or regional level– mutual opening of national and mutual opening of national and

regional research programmesregional research programmes


ERA-NET contentERA-NET content Strategically planned or executed at Strategically planned or executed at NN or or R R levelslevels financed or managed by financed or managed by NN or or RR public bodies or public bodies or

structures closely related to or mandated by public structures closely related to or mandated by public authoritiesauthorities

networkingnetworking does not involve transnational flows of does not involve transnational flows of national fundingnational funding

mutual openingmutual opening involvesinvolves mutually organised mutually organised transnational flows of national fundingtransnational flows of national funding

all S&T fieldsall S&T fields Info exchange, strategic activities, implementation of Info exchange, strategic activities, implementation of

joint activities, transnational RTD activities, mutual joint activities, transnational RTD activities, mutual openingopening


ERA-NET financial aspectsERA-NET financial aspects Community contributionCommunity contribution limited to the limited to the

coordination costs of additional activities coordination costs of additional activities up to 100%, could reach 2 MEUR per up to 100%, could reach 2 MEUR per project (instrument used: coordination project (instrument used: coordination action); duration: up to 5 yearsaction); duration: up to 5 years

Preparatory actionsPreparatory actions possible (max 1 possible (max 1 year); up to 200 KEUR (instrument: year); up to 200 KEUR (instrument: specific support action)specific support action)

ContactContact: : anneanne..mandenoffmandenoff@@ceccec..eueu..intint


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

NoE - IP: benefits for the regions NoE - IP: benefits for the regions (I)(I)


positive spill-overs to the local and regional economies positive spill-overs to the local and regional economies strong barriers against interregional brain-drain strong barriers against interregional brain-drain

(scientists moving from less favoured to richer regions). (scientists moving from less favoured to richer regions). Ability to build multi-polar areas of innovationAbility to build multi-polar areas of innovation excellence, supporting indirectly local development and excellence, supporting indirectly local development and

economic growth, thus contributing to regional economic growth, thus contributing to regional population stability population stability

Regional bodies may be associated in transnational Regional bodies may be associated in transnational partnerships to develop specific projects, of a partnerships to develop specific projects, of a substantial scale, aiming at integrating scientific and substantial scale, aiming at integrating scientific and technological efforts.technological efforts.

NoE - IP: benefits for the regions NoE - IP: benefits for the regions (II)(II)


The challenge of The challenge of EnlargementEnlargement

R&D policy priorities:R&D policy priorities:– human resourceshuman resources– research infrastructuresresearch infrastructures– integrated research and innovation integrated research and innovation

strategies (including at regional level)strategies (including at regional level)– framework conditions / synergies with framework conditions / synergies with

education and training / business education and training / business environment / risk capitalenvironment / risk capital

– linkage between knowledge institutions and linkage between knowledge institutions and the economy, including technology foresightthe economy, including technology foresight


Find more on ERA and the FPFind more on ERA and the FP General information on research: General information on research:

http://europa.eu.int/comm/researchhttp://europa.eu.int/comm/research General information on the Sixth General information on the Sixth

Framework Programme : Framework Programme : http://europa.eu.int/comm/research/fphttp://europa.eu.int/comm/research/fp6/index_en.html6/index_en.html

Information on research Information on research programmes and projects :programmes and projects :http://www.cordis.luhttp://www.cordis.lu

Information requests:Information requests:research@[email protected]

Th@nk youTh@nk you

68CEC- DG RTD / DCORP7 Nov 02

The European Research Area and the 6th Framework Programme

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Transcript of The European Research Area and the 6th Framework Programme