fp7 - august 2005 1 european commission – dg research – 2007 fp7 cooperation rules of the game...
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FP7 - August 2005 1 EUROPEAN COMMISSION – DG Research – 2007
FP7 Cooperation
Rules of the Game
Stefano PuppinEuropean Commission, DG Research
Energy Conversion and Distribution Systems
FP7 - August 2005 2 EUROPEAN COMMISSION – DG Research – 2007
What’s new in FP7
“Frontier research”, JTIs & ERANET+ Increased funding rates Flexible funding schemes Rationalisation of Audit Certificates The Unique Registration Facility The Joint Guarantee Fund The Risk Sharing Financial Facility Logistics and administrative tasks -> external
structures Work Programmes & Call for Proposals adopted
at the same time each year
FP7 - August 2005 3 EUROPEAN COMMISSION – DG Research – 2007
The legislative package
Framework Programme
(EC)
Rules for Participation
(EC)
4 Specific
Programmes
FP7 - August 2005 4 EUROPEAN COMMISSION – DG Research – 2007
Where do RP come from
State Aid Framework for R&D&I
Financial Regulations
FP7 NeedsFP7 Rules for Participation
FP7 - August 2005 5 EUROPEAN COMMISSION – DG Research – 2007
Rules for Participation
The Rules for Participation cover: Partner eligibility
Proposal submission, evaluation and negotiation
Legal & financial rules
Community financial contribution
Maximum funding rates
Implementation and grant agreements
Cost Reporting
Intellectual Property Rights
Procedures for appointment of external experts
FP7 - August 2005 6 EUROPEAN COMMISSION – DG Research – 2007
Terminology changesFP6 FP7
Contract Grant Agreement
Proposer Applicant
Instrument Funding scheme
Financial Guidelines
Financial Rules
INCO ICPC
Audit Certificates Certificate on the financial statements
FP7 - August 2005 7 EUROPEAN COMMISSION – DG Research – 2007
Important definitionsImportant definitions
Public body means any legal entity established as such by national law, and international organisations
Research organisation means a legal entity established as a non profit organisation which carries out research or technological development as one of its main objectives
Higher and secondary education establishments -Term used by Financial Regulation / Implementing Rules, includes universities, schools for applied sciences and similar
SMEs mean micro, small and medium-sized enterprises within the meaning of Recommendation 2003/361/EC in the version of 6 May 2003 (OJ L 124, 20.5.2003, p. 36)
International cooperation partner countries (ICPC) = FP6 INCO countries
FP7 - August 2005 8 EUROPEAN COMMISSION – DG Research – 2007
Who can participate?
Type of participants
Undertakings
Universities
Research Centres
International Organisations
Any Other legal entity
Natural Persons
Place of Establishment Member States
Associated Countries
Third Countries
Additional Conditions may be included in the Work
Programme
Normally, non IPCP third countries are not eligible
for funding
FP7 - August 2005 9 EUROPEAN COMMISSION – DG Research – 2007
Eligibility for FundingEligibility for Funding
Legal entities from MS and AC or created under Community law (and JRC)
International European interest organisations
Legal entities established in international cooperation partner countries (ICPC)
and
International organisations, third countries other than ICPC, if provided for in SP or WP; or essential for carrying out action; or provision for funding is provided for in a bilateral agreement between Community and the third country
FP7 - August 2005 10 EUROPEAN COMMISSION – DG Research – 2007
Third Countries
Industrialised countries (US, Japan, Canada, Australia, New Zealand, Korea)
Associated countries
International Cooperation Partner Countries (ICPC)
Mediterranean partner Countries,
Western Balkans,
Eastern European and Central Asian countries (inc. Russia)
ACP, ASIA, Latin America
Emerging economies (e.g. China, India, Brazil, Russia, South Africa, Mexico)
FP7 - August 2005 11 EUROPEAN COMMISSION – DG Research – 2007
Minimum conditions for participation
General rule
3 independent participants from 3 different MS or AC (Associated Countries)
Specific International Cooperation Actions
2 participants MS or AC and 2 participants ICPC (International Cooperation Partner Countries)
Coordination and support actions, Training of Researchers, “Frontier” research projects
1 participant
Sole participants composed of members that meet the criteria above can participate
Work Programme or Specific Programme can add conditions on number or type of participant, place of establishment, etc
FP7 - August 2005 12 EUROPEAN COMMISSION – DG Research – 2007
FP7 Funding Schemes
Collaborative Projects (small to medium / large / targeted to specific groups)
Networks of Excellence
Coordination and Support Actions
Support for Frontier Research (ERC)
Research for the Benefit of Specific Groups
Support for Training and Career Development of Researchers (Marie Curie)
Joint Technology Initiatives
Joint implementation of national research programmes (Article 169)
FP7 - August 2005 13 EUROPEAN COMMISSION – DG Research – 2007
Collaborative Projects (CP)Collaborative Projects (CP)
Purpose: objective driven research projects, developing new knowledge, new technology, products, including scientific coordination and/or demonstration activities or common resources for research
Size & Resources: the number of participants and volume of resources should be compatible with overall objective and manageability
Indicative average duration: 24-60 months
Activities: Research, Demonstration, Management of the consortium, Other activities (such as dissemination, training)
FP7 - August 2005 14 EUROPEAN COMMISSION – DG Research – 2007
Coordination Actions (CA)Coordination Actions (CA)
Purpose: coordinating research activities and policies
Size & Resources: the size, scope and internal organisation of coordination actions can vary from research theme to research theme and from topic to topic
Indicative average duration: 12-48 months
Activities: organisation of events - including conferences, meetings, workshops or seminars -, related studies, exchanges of personnel, exchange and dissemination of good practices, and, if necessary, the definition, organisation and management of joint or common initiatives, together with management of the action.
Research, technological development or demonstration activities cannot be supported within this scheme
FP7 - August 2005 15 EUROPEAN COMMISSION – DG Research – 2007
Maximum funding rates Research activities: 50% of eligible costs, except for:
SMEs: 75%
Non-profit public bodies: 75%
Secondary and higher education establishments: 75%
Research organisations (non-profit): 75%
Demonstration activities: 50% of eligible costs
“Frontier” research actions: 100%
Coordination and support actions: 100%
Training and career development of researchers actions: 100%
Other activities (management, training, etc): 100%
Receipts to be taken into account
FP7 - August 2005 16 EUROPEAN COMMISSION – DG Research – 2007
Maximum reimbursement
rates of eligible costs
Research and technological
development (*)
Demonstration
activities
Management
of the consortium
activities
Other
activities (**)
Network of excellence
50%
75% (***)
100%
100%
Collaborative
project
50%
75% (***)
50%
100%
100%
Coordination and support
action
100% (****)
100% (****)
(*) Research and technological development includes operational activities directly related to the protection of foreground and coordination of research activities. (**) Other activities means any "specific activity" covered by Annex I. (***) For beneficiaries that are non profit public bodies, secondary and higher education establishments, research organisations and SMEs (****) The reimbursement of indirect eligible costs, in the case of coordination and support actions, may reach a maximum 7% of the direct eligible costs, excluding the direct eligible costs for subcontracting and the costs of reimbursement of resources made available by third parties which are not used on the premises of the beneficiary.
Upper funding limits
FP7 - August 2005 17 EUROPEAN COMMISSION – DG Research – 2007
Forms of Grants
Three forms of grants:
reimbursement of eligible costs (vast majority)
lump sums financing (eg NoEs)
flat-rate financing, including scale of unit costs (eg. indirect costs, Marie Curie).
Different forms of grants may be used in combination.
Lump sums and flat rates will not require justification of eligible costs
Gradual introduction of lump sums and flat rates
FR fundamental principle: a grant cannot generate a profit
FP7 - August 2005 18 EUROPEAN COMMISSION – DG Research – 2007
Eligible Costs
• Eligible
• actual*
• during duration of project
• in accordance with its usual accounting and management principles
• recorded in the accounts of beneficiary
• used for the sole purpose of achieving the objectives of the project (in FP6: “necessary for the project”)
• Non-eligible (identifiable indirect taxes including VAT…) - same as in FP6
FP7 - August 2005 19 EUROPEAN COMMISSION – DG Research – 2007
Cost Reporting Modes
Cost reporting models (FC, AC, etc) have been eliminated Participants charge direct (and indirect) costs For indirect costs, a flat rate is an option Average personnel costs may be used if they do not differ
significantly from actual costs
Audit certificates continued, but rationalised Now called Certificate on the financial statements No Certificate required for participants receiving <= €375,000 For projects of 2 years, if required, maximum one Certificate
per partner at the end of the project
FP7 - August 2005 20 EUROPEAN COMMISSION – DG Research – 2007
Indirect costs
Eligible costs = direct costs + indirect costs
Preferred solution: real indirect costs.
Flat rate always an option. 20%
For non-profit public-bodies, universities, research centres and SMEs. Grant awarded:
before 1st January 2010 60%
after 1st January 2010 tbd but > 40%
Coordination & Support Actions 7%
FP7 - August 2005 21 EUROPEAN COMMISSION – DG Research – 2007
Certification
Certificate on financial statements (Form D)
Mandatory when requested funding reaches 375,000 Euro (except for project of 2 years or less - submitted at the end)
If above the threshold, mandatory for every beneficiary and every period, exceptexcept if a certification on the methodology (Form E) is provided
FP7 - August 2005 22 EUROPEAN COMMISSION – DG Research – 2007
Grant Agreement signature procedure
Signature by Commission & coordinator only
Accession of beneficiaries via “Form A”
Later accession of new beneficiaries via “Form B”
Entry into force upon signature by coordinator & Commission
FP7 - August 2005 23 EUROPEAN COMMISSION – DG Research – 2007
Guarantee fund mechanism
● Replaces FP6 concept of “Collective financial responsibility”
● Participants contribute 5% of their EC grant to the fund to insure against losses of a defaulting partner
● Does not apply to:● public bodies, secondary and higher education and
entities guaranteed by MS or AC ● participants in certain types of funding schemes
(training, frontier research, actions for benefit of specific groups except SMEs)
Consequence -> Ex-ante financial viability check only for coordinators and participants
receiving more than € 500,000
FP7 - August 2005 24 EUROPEAN COMMISSION – DG Research – 2007
Payment modalities
Only one pre-financingpre-financing for the whole duration – up to 150% of the EC contribution of the average funding per period (for projects with more than 2 periods) – to be agreed during negotiations
Interim paymentsInterim payments based on financial statements (EC contribution = amounts justified & accepted * funding rate)
Retention (at least 10%)
Final payment
FP7 - August 2005 25 EUROPEAN COMMISSION – DG Research – 2007
Reporting
Periodic reports to be submitted by coordinator 60 days after end of period:
- progress of the work
- use of the resources and
- Financial Statement (Form C)
Final reports to be submitted by coordinator 60 days after end of project:
- publishable summary report, conclusions and socioeconomic impact
- covering wider societal implications and a plan on use and dissemination of results
FP7 - August 2005 26 EUROPEAN COMMISSION – DG Research – 2007
Consortium Agreement
Compulsory, unless explicitly excluded in the text of the call.
Commission will publish Guidelines on the Consortium Agreement
Consortium Agreement must cover:
Internal organisation of the consortium
The distribution of EC financial contribution
Specific rules of dissemination and IPR
Rules for settlements of dispute
Liability, indemnification and confidentiality arrangements
FP7 - August 2005 27 EUROPEAN COMMISSION – DG Research – 2007
Call
EvaluationNegotiation
Implementation Proposal
Exploitation /Dissemination
The Project Life Cycle
FP7 - August 2005 28 EUROPEAN COMMISSION – DG Research – 2007
Proposals
Call for proposals
Evaluation criteria established in RP and WP.
1 Specific Programme 1 Annual Work Programme 1 publication date of the calls.
Work Programme will specify:
Topics with associated Type of funding scheme (Collaborative projects, Networks of Excellence, Coordination and support actions)
Indicative budgets
Type of evaluation procedure (one / two stage / hearings)
Particular requirements (criteria, minimum conditions, etc)
EPSS Electronic Submission Only
FP7 - August 2005 29 EUROPEAN COMMISSION – DG Research – 2007
Evaluation. General Principles
Same principles than in FP6,
Quality, Transparency, Impartiality, Equal treatment
peer review - independent evaluators – [hearings]
but:
More use of two-stage submission procedure
More use of remote evaluation
New set of evaluation criteria
FP7 - August 2005 30 EUROPEAN COMMISSION – DG Research – 2007
The experts
The Commission draws on a wide pool of evaluators applications from individuals; and from institutions
Applications via CORDIS
Commission invites individuals, call-by-call
Expertise, and experience are paramount Geography, gender and “rotation” also considered
Typically, an individual will review about 10 proposals “remotely”….
…then spend a few days in Brussels for consensus stage
Some will participate in “hearings” with the consortia
Experts sign confidentiality and conflict of interest declaration
FP7 - August 2005 31 EUROPEAN COMMISSION – DG Research – 2007
The criteria
Criteria adapted to each funding scheme
specified in the work programme
Divided into three main criteria:
S&T Quality (relevant to the topic of the call) Concept, objective, work-plan
Implementation Individual participants and consortium as a whole Allocation of resources
Impact Contribution to expected impacts listed in work programme Plans for dissemination/exploitation
New for
FP7
FP7 - August 2005 33 EUROPEAN COMMISSION – DG Research – 2007
For each proposal:
Proposal Xcopy 1
Proposal Xcopy 2
Proposal Xcopy 3
IARexpert 1
IAR expert 2
IAR expert 3
Consensus meeting
CR 3 experts
Note: There may be more than 3 evaluatorsIAR=Individual assessment reportCR=Consensus Report
May be “remote”
Proposal
Individual evaluation
Consensus
Panel review
Consultation of programme committee (if required)
Commission funding and/or rejection decision
with hearing(optional)
Thresholds
Eligibility
Negotiation
Commission ranking
Commission rejection decision
Ethical Review
(if needed)
Security Scrutiny
(if needed)
Applicants informed of results of expert evaluation*
• invitation to submit second-stage
proposal, when applicable
Evaluation in FP7
Applicants informed of Commission decision
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