The Sixth Research Framework Programme of the European Union

1. Jean-Louis LAVROFF Counsellor Head of Section Science and Technology Transport, Energy and Environment Delegation of the European Commission to Russia Jean-Louis. Lavroff@cec.eu.int The Sixth Research Framework Programme of the European Union Voronezh, 10 February 2005

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

3. A blueprint for the future of research in Europe Broad support at the highest political, scientific and industrial levels Being implemented The research Policy of the European Union (I)The European Research Area European Research Area National programmes European research policy ‘Open Coordination’ Framework programme European organisations

4. The research Policy of the European Union (II)Budgets of the EU Framework Programmes

5. The 6th FP Main Components (I)

6. FOCUSING and INTEGRATING European research STRUCTURING the European Research Area STRENGTHENING the foundations of the European Research Area The 6th FP RTD Main Components (II) EUR 320 M EUR 12585 M EUR 2605 M • BASIC PRINCIPLES Concentration: on selected priority research areas Structuring effect: through a stronger link with national, regional and other European initiatives Coordination - Simplification

7. The 6th FP RTDFocusing and Integrating Research (I) 285

8. 1. Genomics and biotechnology for health Advanced genomics and its application for health Fundamental knowledge and basic tools for functional genomics in all organisms: gene expression and proteomics, structural genomics, bioinformatics, etc. Application of knowledge and technologies in genomics and biotechnology for health: technological platforms, prevention and therapeutic tools, etc. Combating major diseases Application-oriented genomic approaches to medical knowledge and technologies: diabetes, cardiovascular diseases, resistance to antibiotics, brain and ageing, etc. Cancer Major poverty-linked infectious diseases: aids, malaria and tuberculosis The 6th FP RTD Focusing and Integrating Research (II) The 7 thematic priorities

9. Genomics and biotechnology for health 2. Information Society technologies (IST) Applied IST research addressing major societal and economic challenges: security, societal challenges, ‘ambient intelligence’, electronic commerce, etc Communication, computing and software technologies Components and microsystems Knowledge and interface technologies The 6th FP RTD Focusing and Integrating Research (III) The 7 thematic priorities

10. Genomics and biotechnology for health Information Society technologies 3. Nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes and devices Nanotechnologies and nanosciences: long-term research, supramolecular architectures and macromolecules, nano-biotechnologies, applications in health, chemistry etc Knowledge-based multifunctional materials: fundamental knowledge; production, transformation and processing technologies, etc New production processes and devices: flexible and intelligent manufacturing systems, systems research and hazard control, clean and safe production, optimisation of life cycles, etc The 6th FP RTD Focusing and Integrating Research (IV) The 7 thematic priorities

11. Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes and devices 4. Aeronautics and space Aeronautics: competitiveness of the industry (new aircraft, engines etc); improving environmental impact (emissions and noise); safety; increasing the capacity of the air transport system (‘Single European Sky’) Space: research relevant to Galileo (satellite navigation) and GMES (monitoring for environment and security); satellite telecommunications (integrating terrestrial networks and space systems) The 6th FP RTD Focusing and Integrating Research (V) The 7 thematic priorities

12. Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes and devices Aeronautics and space 5. Food quality and safety Epidemiology of food-related diseases and allergies Impact of food on health ‘Traceability’ processes all along the production chain Methods of analysis, detection and control Safer and environmentally friendly production methods and healthier foodstuffs Impact of animal feed on human health Environmental health risks The 6th FP RTD Focusing and Integrating Research (VI) The 7 thematic priorities

13. Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes and devices Aeronautics and space Food safety and health risks 6. Sustainable development and global change Sustainable energy systems: clean energy, energy savings, alternative motor fuels, fuel cells, energy carriers/transport/storage, etc Sustainable surface transport: environmentally friendly transport, interoperability, safety, etc Global change and ecosystems: greenhouse gas emissions, water cycle, biodiversity, natural disasters, land management, climate modelling, etc Focusing and Integrating Research (VII)The 7 thematic priorities The 6th FP RTD

14. Genomics and biotechnology for health Information Society technologies Nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes and devices Aeronautics and space Food safety and health risks Sustainable development and global change 7. Citizens and governance in the European knowledge-based society Knowledge-based society and social cohesion: generation/ distribution/use of knowledge; development of a knowledge-based society; variety of paths towards a knowledge-based society; etc Citizenship, democracy and new forms of governance: consequences of EU integration, enlargement; new forms of governance; resolution of conflicts; citizenship and cultural identities The 6th FP RTD Focusing and Integrating Research (VIII)The 7 thematic priorities

15. 7 thematic priorities Specific activities covering a wider field of research : Supporting policies and anticipating scientific and technological needs: activities in support of EU policies and research responding to new and emerging needs (annual programming) Horizontal research activities involving SMEs: to boost technological capacities of SMEs in traditional or new areas and develop their ability to operate internationally (co-operative and collective research) Specific measures in support of international co-operation: developing countries, Mediterranean countries, Western Balkans, Russia and the NIS (e.g. INTAS - 70 M€ out of 315 M€) The 6th FP RTD Focusing and Integrating Research (IX)Specific activities covering a wider field of research

16. The 6th FP RTD Structuring the ERA (I)

17. 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 The 6th FP RTD Structuring the ERA (II)

18. 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 The 6th FP RTD Structuring the ERA (III)

19. Networks of excellence Integrated projects Programmes implemented jointly Instruments (I)Three new ones

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

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

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

23. 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 Instruments (V)Other instruments

24. 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 Instruments (VI)Other instruments

25. 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 Instruments (VII)Other instruments

26. Priority thematic areas: Networks of excellence (NoE) Integrated projects (IP) Specific targeted research projects (STREP) Specific activities covering a wider field of research: Specific targeted research projects Specific research projects for SMEs Structuring the ERA Specific targeted research and innovation projects Integrated infrastructure initiatives Actions to promote human resources and mobility Instruments (VIII)Their use in throughout the Programme

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

28. Full Cost (FC) : actual direct and indirect costs New - FCF (variant of FC): actual direct costs +flat rate for indirect costs (20% of total actual costs, except subcontracting) AC: actual additional direct costs + flat rate for indirect costs (20% of total actual costs, except subcontracting) Financial Provisions (II)Cost Models

29. Financial Provisions (III)Reimbursement Rates for IPs

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

31. Rules for participation (II)Focusing and Integrating INCO Country (DEV (Russia and other NIS Western Balkans MED) • may participate • + minimum number of participants • may receive a Community financial contribution 285 M€ to finance participation in Thematic Priorities and in specific activities covering a wider field of research Possible financial contribution (from the budget dedicated to Thematic Priorities)

32. Minimum number Three independent legal entities for IP and NoE with two from MS or Associated Candidate Countries Single participation possible for fellowships and specific support actions Minimum number can be increased by work-programmes Rules for participation (III)Minimum number of Participants

33. 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 Intellectual Property Rights – IPR (I)

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

35. Same principles as in FP 5: Transparency, equal treatment and impartiality Core criteria & criteria for new instruments: To be specified and complemented in work programmes according to instrument and activity Exclusion criteria: Violation of fundamental ethical principles Financial irregularities Evaluation (I)

36. General information on research: http://europa.eu.int/comm/research Information on research programmes, calls and projects : http://fp6.cordis.lu/fp6/calls.cfm Information requests: research@cec.eu.int Get Support? Commission help desks National Contact Points Information (I)

37. Nat. Coord. M. E. Ugrinovitch eugrinovitch@minstp.ru Health: Prof. A. Tonevitsky Tonevits@genetika.ru IST: Prof. V. Mikhov Valeriy.Mikhov@iosys.ru Nano: Prof. S. Pikin Pikin@ns.crys.ras.ru Space Dr. S. Kulik Skulik@mcc.rsa.ru Aero Mrs L. Rostovsteva rost@asvt.ru Food: Prof V. Popov Vpopov@ucit.orbita.ru Energy: To be re- confirmed Eco sys: Dr R. Perelet Renat.Perelet@msk.ru Citizens: Dr V. Zavarukhin Vzp@csrs.ru SME: Dr M. Shubin Mshubin@asvt.ru INCO Dr V. Khokhlova Khokhlova@csrs.ru Mobility: Dr L. Gokhberg Lgokhberg@hse.ru Information (II)

38. Russian organisations may participate over the minimum number of participants and receive Community financial contribution for all activities under the theme ‘focusing and integrating’ as an “INCO target country” (€ 285 M for all INCO target countries) Relevant Russian organisations and researchers may participate and receive a Community financial contribution for several activities in the area of ‘Human Resources and Mobility’. The 6th FP of RTD and its first calls (I)What is in for Russia?

39. Specific measures in support of international cooperation: € 70 M earmarked for INTAS out of the € 315 M budgeted  INTAS Work Programme 2003 and 2004. Dedicated Call for Specific Support Actions for Russia and the NIS with € 600 K in (2003), € 900 K in 2004, 2005 and 2006. The 6th FP of RTD and its first calls (II)What is in for Russia?

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

41. Programme structure, Instruments, rules for participation Download and carefully read the relevant Work Programme(s) from http://fp6.cordis.lu/fp6/calls_open.cfm The WP: - Specifies the content of research - Identifies the instruments applicable to each area - Defines implementation - Provides the roadmap of calls How to get involved in FP6 ? (II)Understanding the basics

42. Based on the core scientific competence of the institute/company, devise a set of ideas for research fully in line with the Work Programme. TIP: prepare yourself to take a share of the work - and not the entire task/objective called by the Work Programme Check deadline for the call Get to know what is going on in the area: - Projects in the field (http://europa.eu.int/comm/research/fp6/projects.cfm) - Partners (http://fp6.cordis.lu/fp6/partners.cfm) - Expressions of Interest (http://eoi.cordis.lu/search_form.cfm) - Events - National Contact Points - Local representatives of Western European Companies TIP: BE PRO-ACTIVE How to get involved in FP6 ? (III)Working out ideas for participation

43. Understanding eligible and non eligible costs Understanding the cost models Understanding the basics of the provisions for IPR Understanding the pro and cons of the cost models Understanding the pro and cons of participating as partner or subcontractor (to a partner) How to get involved in FP6 ? (IV)Negotiating participation in a proposal with the Coordinator and other partners

44. Renewed importance due to the new legal and financial approaches Regulates internal organisation of consortium, such as i.a.: management of the project and allocation of the EC financing agreement on IPR access rights crisis management Compulsory except otherwise mentioned in the call for proposal Not signed nor approved by the Commission After or (preferably) before signing the contract but some decisions must be made by the participants before signature of contract (e.g. IPR issues) Non binding guidelines published by the Commission How to get involved in FP6 ? (V) Consortium Agreement

45. The End Good luck! Thank you for your attention!