fp7 - august 2005 1 european commission – dg research – 2007 fp7 cooperation rules of the game...

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


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


The legislative package

Framework Programme

(EC)

Rules for Participation

(EC)

4 Specific

Programmes


Where do RP come from

State Aid Framework for R&D&I

Financial Regulations

FP7 NeedsFP7 Rules for Participation


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


Terminology changesFP6 FP7

Contract Grant Agreement

Proposer Applicant

Instrument Funding scheme

Financial Guidelines

Financial Rules

INCO ICPC

Audit Certificates Certificate on the financial statements


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


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


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


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)


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 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)


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)


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


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


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


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


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


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


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%


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


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


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


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


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


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


Call

EvaluationNegotiation

Implementation Proposal

Exploitation /Dissemination

The Project Life Cycle


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


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


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


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


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

fp7 - august 2005 1 european commission – dg research – 2007 fp7 cooperation rules of the game...

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