Transcript Building a Europe of Knowledge

FP7 Cooperation
Rules of the Game
Stefano Puppin
European Commission, DG Research
Energy Conversion and Distribution Systems
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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
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The legislative package
Framework
Programme
(EC)
Rules for
Participation
(EC)
4 Specific
Programmes
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Where do RP come from
State Aid
Framework
for R&D&I
FP7 Needs
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Financial
Regulations
FP7 Rules for
Participation
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
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Terminology changes
FP6 
FP7
Contract

Grant Agreement
Proposer

Applicant
Instrument

Funding scheme
Financial
Guidelines

Financial Rules
INCO

ICPC

Certificate on the financial
statements
Audit Certificates
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Important 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
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Who can participate?
 Type of participants
 Place of Establishment
 Undertakings
 Member States
 Universities
 Associated Countries
 Research Centres
 Third Countries
 International
Organisations
 Any Other legal entity
 Natural Persons
Additional Conditions may
be included in the Work
Programme
Normally, non IPCP third
countries are not eligible
for funding
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Eligibility for Funding

Legal entities from MS and AC or created under Community law
(and JRC)
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International European interest organisations
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Legal entities established in international cooperation partner
countries (ICPC)
and
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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
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)
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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
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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)
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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)
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Coordination Actions (CA)
Research, technological development or demonstration
activities cannot be supported within this scheme
 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.
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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
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Upper funding limits
Maximum
reimbursement
rates of
eligible costs
Research and
technological
development (*)
Network of
excellence
50%
75% (***)
Collaborative
project
50%
75% (***)
Coordination
and support
action
Demonstration
activities
50%
Management
of the
consortium
activities
Other
activities
(**)
100%
100%
100%
100%
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.
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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
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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
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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
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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%
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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, except if a certification on the methodology (Form E) is
provided
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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
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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
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Payment modalities
 Only one pre-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 payments based on financial statements
(EC contribution = amounts justified & accepted * funding rate)
 Retention (at least 10%)
 Final payment
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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
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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
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The Project Life Cycle
Exploitation /
Dissemination
Implementation
Negotiation
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Call
Proposal
Evaluation
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
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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
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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
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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
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For each proposal:
May be “remote”
Proposal X
copy 1
Proposal X
copy 2
Proposal X
copy 3
IAR
expert 1
Consensus
meeting
IAR
CR
expert 2
3 experts
IAR
expert 3
Note: There may be more than 3 evaluators
IAR=Individual assessment report
CR=Consensus Report
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Evaluation in
FP7
Proposal
Eligibility
Individual
evaluation
Security
Scrutiny
(if needed)
Consensus
Thresholds
Applicants informed of results
of expert evaluation*
• invitation to submit second-stage
Commission ranking
proposal, when applicable
Commission rejection
decision
Applicants informed of
Commission decision
with hearing
(optional)
Panel review
Ethical
Review
(if needed)
Negotiation
Consultation of programme committee
(if required)
Commission funding
and/or rejection decision