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FP7

FP7. Rules of the game. Presentation based on the Commission proposal on the RP, on the results of an informal trialogue 26 October 2006 - with a view to a first reading agreement – and on the draft of the documents derived by the RP. Framework Programme (EC). Framework Programme (EURATOM).

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FP7

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  1. FP7 Rules of the game Presentation based on the Commission proposal on the RP, on the results of an informal trialogue 26 October 2006 - with a view to a first reading agreement – and on the draft of the documents derived by the RP EUROPEAN COMMISSION – DG Research – 20061

  2. Framework Programme (EC) Framework Programme (EURATOM) The full legislative package FP7 RTD EUROPEAN COMMISSION – DG Research – 20062

  3. The EC legislative package Framework Programme (EC) Rules for Participation (EC) 4 Specific Programmes EUROPEAN COMMISSION – DG Research – 20063

  4. Approval Process (EC Treaty): FP & RP EUROPEAN COMMISSION – DG Research – 20064

  5. Where do RP come from State Aid Framework for R&D&I Financial Regulations FP7 Rules for Participation FP7 Needs EUROPEAN COMMISSION – DG Research – 20065

  6. 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 RP do not apply to article 169 & 171 EUROPEAN COMMISSION – DG Research – 20066

  7. Terminology changes EUROPEAN COMMISSION – DG Research – 20067

  8. 4 Annual Work Progr. 4 Specific Programmes Derived Documents (1) Rules for Participation (EC) Grant Agreement Forms & checklists Guides & rules for: Proposals … Evaluation … Financial … Reporting … EUROPEAN COMMISSION – DG Research – 20068

  9. DG RTD internal workgroups • FP7 funding schemes • from Negotiation to Contract • from Proposal Submission to ranking • Information Technology • Legal and financial issues • Reporting • Risk Management • Unique Registration Facility • Work programmes • Human resources and recruitment • Internal and external communication EUROPEAN COMMISSION – DG Research – 20069

  10. Derived Documents (2) • Guide for Applicants, including the proposal submission forms (several versions: generic, Marie Curie, Infrastructure actions, SME actions, ERC) • Rules for Proposals submission, Evaluation, Selection and Award procedures (standard and ERC) • Grand agreements (special Annexes: SMEs, NoEs, Infrastructure, Eranet+, lump sum version): three sets of documents (standard, ERC, Marie Curie) • Rules of verification of legal status and financial viability • Modalities for lump sums for IPCP • Negotiation guidelines notes, including grand agreement preparation forms (special Annexes: SMEs, NoEs, Infrastructure, Eranet+): • FP7 financial guidelines • Check list for consortium agreement • IPR guidelines • Reporting guidelines • Implementation modalities of guarantee fund EUROPEAN COMMISSION – DG Research – 200610

  11. Guiding principles • Continuity • Simplification • Improvement • Gradual introduction The challenge right balance between • Protection of Community’s financial interests • Simplifying the participation EUROPEAN COMMISSION – DG Research – 200611

  12. What’s new • 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 • “Frontier research”, JTIs & ERANET+ EUROPEAN COMMISSION – DG Research – 200612

  13. Who can participate? • Place of Establishment • Member States • Associated Countries • Third Countries • Type of participants • Undertakings • Universities • Research Centres • 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 EUROPEAN COMMISSION – DG Research – 200613

  14. 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 EUROPEAN COMMISSION – DG Research – 200614

  15. Funding Schemes • Collaborative projects (small to medium / large / targeted to specific groups) • Networks of Excellence • Co-ordination & support actions • “Frontier” research actions • Marie Curie actions • Joint Technology Initiatives • Joint implementation of national research programmes (Article 169) EUROPEAN COMMISSION – DG Research – 200615

  16. 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 EUROPEAN COMMISSION – DG Research – 200616

  17. 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 EUROPEAN COMMISSION – DG Research – 200617

  18. 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 EUROPEAN COMMISSION – DG Research – 200618

  19. 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% EUROPEAN COMMISSION – DG Research – 200619

  20. Lump sums - NoEs • A special lump sum for NoEs • Calculated according to the number of researchers • €23,500 / year / researcher • Max number of participants and researchers established in Work Programme • Payments will be based on assessment of progress EUROPEAN COMMISSION – DG Research – 200620

  21. Guarantee fund mechanism (1) • Replaces FP6 concept of “Collective financial responsibility” • Participants contribute a small fraction 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 EUROPEAN COMMISSION – DG Research – 200621

  22. Guarantee fund mechanism (2) • Commission will establish & operate the participant guarantee fund • Max 5% of Commission contribution from pre-financing • To be returned at the end of the action • Interest generated by the fund will be used to cover sums due to the Community • If not sufficient, Commission may deduct from amount to be returned to participant max 1% of Community contribution to it. EUROPEAN COMMISSION – DG Research – 200622

  23. The Project Life Cycle EUROPEAN COMMISSION – DG Research – 200623

  24. 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) • Toward Electronic Submission Only • Toward a new Unique Registration Facility EUROPEAN COMMISSION – DG Research – 200624

  25. Evaluation. General Principles Same principles than in FP6, • Quality, Transparency, Impartiality, Equal treatment • peer review - independent experts – [hearings] but: • More use of two-stage submission procedure • More use of remote evaluation • New set of evaluation criteria EUROPEAN COMMISSION – DG Research – 200625

  26. Evaluation Process • Process • Eligibility checks (time of receipt, completeness, partnership) • Individual reading and marking (3-5 experts) • Consensus discussion and final marking • Evaluation Summary Report • Commission decision on ranking (Selected, Reserve, Rejected) • Start of negotiation for the selected proposals EUROPEAN COMMISSION – DG Research – 200626

  27. Evaluation Criteria • General principles in RP • Details of evaluation criteria in Annex 2 of Work Programme & in Guide for Applicants • Interpretation of evaluation criteria is tailored to each funding scheme • For “Ideas” only one evaluation criteria: S&T Excellence EUROPEAN COMMISSION – DG Research – 200627

  28. Life of the project - Simplifications • No 18 months detailed implementation plan • Fewer audit certificates to be submitted • Negotiable number of reviews • Reporting rationalised, with significant reduction in number. (tbc deviation reports) • IPR provisions clarified and simplified • Changes in consortium membership possible • Sub-contracting: no change from FP6 EUROPEAN COMMISSION – DG Research – 200628

  29. Payment modalities • Pre-Financing (PF) • Interim payments (IP) = EC contribution in reporting period • Final payment Condition: • (PF + IP ) < 90% Total EC Contribution Part of Pre-financing will be used to contribute to the guarantee fund EUROPEAN COMMISSION – DG Research – 200629

  30. 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 EUROPEAN COMMISSION – DG Research – 200630

  31. Management Increased FP budget+No increase in Commission staff • Need new structures to manage the increase • ‘Externalise’ part of the FP management to executive agencies for the first time EUROPEAN COMMISSION – DG Research – 200631

  32. Management • Commission, Executive Agencies & Special Structures • Executive agencies for • Frontier research projects • Most Human Potential and SME-specific actions • Space and Security research • Some Transport and Energy research • Some Logistical and administrative tasks EUROPEAN COMMISSION – DG Research – 200632

  33. Management: special structures • Ad-hoc special structures to manage • Joint Technology Initiatives • New infrastructure initiatives • Joint projects with Member States (Art.169) • Co-funding of national Human Potential schemes EUROPEAN COMMISSION – DG Research – 200633

  34. The RSFF approach: Loans for R&D Technological development Prototyping IPR Basic Research Applied Research Commercialisation Time Own funds Equity + Loans Own funds Equity Grants + Loans Own funds Grants + Loans Own funds Grants Framework Programme RSFF loans by EIB and its partner banks Many R&D projects, which are currently undertaken thanks to subsidies, or abandoned for lack of them, have a financial profile that could give them access to loans EUROPEAN COMMISSION – DG Research – 200634

  35. RSFF The leverage effect Risk coverage Loans representing on averageone third of total costof financed research projects Provisioning and capital allocation representing 15% to 25% (average 20%) of volume of individual loan FP7 Contribution: up to € 1 billion Additional private investments in research: € 24 to 36 billions EIB loans and guarantees: € 8 to 12 billions X 2 X 4 to 6 X 3 EIB Contribution: up to € 1 billion EUROPEAN COMMISSION – DG Research – 200635

  36. Cooperation with local banks For loans of EUR 7.5 millionor more - direct involvement of the EIB EIB Borrower For all loans where borrowers wish to work with their own banks, in particular those of less than EUR 7.5 million - sharing of RSFF benefits with intermediaries (e.g. through guarantees) EIB Intermediary guarantee Borrower EUROPEAN COMMISSION – DG Research – 200636

  37. Eligible projects – Some remarks • RSFF is a demand-driven instrument and will provide finance on a “first come, first served” basis (no call for proposals) • Actions and research infrastructuressupported by an FP 7 grant (JTIs, Collaborative Projects, NoE, Research for the benefit of SMEs) • Research infrastructures needed by the European Research Community (at least three Member States or Associated Countries) • All other RTD European actions (whether trans-national or not) and falling within the scope of the contributing FP 7 themes • All other R&D and Innovation projects including commercial innovation (only with EIB’s own contribution for risk coverage) EUROPEAN COMMISSION – DG Research – 200637

  38. Personal advise to applicants READ MORE WRITE LESS EUROPEAN COMMISSION – DG Research – 200638

  39. Information • EU research: http://ec.europa.eu/research • Seventh Framework Programme: http://ec.europa.eu/research/fp7 • Information on research programmesand projects: http://www.cordis.lu/ • RTD info magazine: http://ec.europa.eu/research/rtdinfo/ • Information requests: http://ec.europa.eu/research/enquiries/ EUROPEAN COMMISSION – DG Research – 200639

  40. Thank you for your attention! Name: Stefano Puppin E-mail: stefano.puppin@ec.europa.eu Phone +32 2 296.21.91 EUROPEAN COMMISSION – DG Research – 200640

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