FP 7 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 FP 7 - August 2005 1 Rules of the game EUROPEAN COMMISSION – DG Research – 2006 1
The full legislative package FP 7 RTD Framework Programme (EC) FP 7 - August 2005 2 Framework Programme (EURATOM) EUROPEAN COMMISSION – DG Research – 2006 2
The EC legislative package Framework Programme (EC) Rules for Participation (EC) 4 Specific Programmes FP 7 - August 2005 3 EUROPEAN COMMISSION – DG Research – 2006 3
Approval Process (EC Treaty): FP & RP FP 7 - August 2005 4 EUROPEAN COMMISSION – DG Research – 2006 4
Where do RP come from State Aid Framework for R&D&I FP 7 Needs FP 7 - August 2005 5 Financial Regulations FP 7 Rules for Participation EUROPEAN COMMISSION – DG Research – 2006 5
Rules for Participation l 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 FP 7 - August 2005 6 EUROPEAN COMMISSION – DG Research – 2006 6
Terminology changes Contract Grant Agreement Proposer Applicant Instrument Funding scheme Financial Guidelines Financial Rules INCO ICPC Certificate on the financial statements Audit Certificates FP 7 - August 2005 7 EUROPEAN COMMISSION – DG Research – 2006 7
Derived Documents (1) 4 Specific Programmes 4 Annual Work Progr. FP 7 - August 2005 8 Rules for Participation (EC) Grant Agreement Forms & checklists Guides & rules for: Proposals … Evaluation … Financial … Reporting … EUROPEAN COMMISSION – DG Research – 2006 8
DG RTD internal workgroups 1) 2) 3) 4) 5) 6) 7) 8) 9) FP 7 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 10) Human resources and recruitment 11) Internal and external communication FP 7 - August 2005 9 EUROPEAN COMMISSION – DG Research – 2006 9
Derived Documents (2) l Guide for Applicants, including the proposal submission forms (several versions: generic, Marie Curie, Infrastructure actions, SME actions, ERC) l Rules for Proposals submission, Evaluation, Selection and Award procedures (standard and ERC) l Grand agreements (special Annexes: SMEs, No. Es, Infrastructure, Eranet+, lump sum version): three sets of documents (standard, ERC, Marie Curie) l Rules of verification of legal status and financial viability l Modalities for lump sums for IPCP l Negotiation guidelines notes, including grand agreement preparation forms (special Annexes: SMEs, No. Es, Infrastructure, Eranet+): l FP 7 financial guidelines l Check list for consortium agreement l IPR guidelines l Reporting guidelines l Implementation modalities of guarantee fund FP 7 - August 2005 10 EUROPEAN COMMISSION – DG Research – 2006 10
Guiding principles l Continuity l Simplification l Improvement l Gradual introduction The challenge right balance between – Protection of Community’s financial interests – Simplifying the participation FP 7 - August 2005 11 EUROPEAN COMMISSION – DG Research – 2006 11
What’s new l l Flexible funding schemes l Rationalisation of Audit Certificates l The Unique Registration Facility l The Joint Guarantee Fund l The Risk Sharing Financial Facility l Logistics and administrative tasks -> external structures l Work Programmes & Call for Proposals adopted at the same time each year l FP 7 - August 2005 12 Increased funding rates “Frontier research”, JTIs & ERANET+ EUROPEAN COMMISSION – DG Research – 2006 12
Who can participate? l Type of participants l 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 FP 7 - August 2005 13 EUROPEAN COMMISSION – DG Research – 2006 13
Minimum conditions for participation l General rule – 3 independent participants from 3 different MS or AC (Associated Countries) l Specific International Cooperation actions – 2 participants MS or AC and 2 participants ICPC (International Cooperation Partner Countries) l 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 FP 7 - August 2005 14 EUROPEAN COMMISSION – DG Research – 2006 14
Funding Schemes l l Networks of Excellence l Co-ordination & support actions l “Frontier” research actions l Marie Curie actions l Joint Technology Initiatives l FP 7 - August 2005 15 Collaborative projects (small to medium / large / targeted to specific groups) Joint implementation of national research programmes (Article 169) EUROPEAN COMMISSION – DG Research – 2006 15
Maximum funding rates l 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% l Demonstration activities: 50% of eligible costs l “Frontier” research actions: 100% l Coordination and support actions: 100% l Training and career development of researchers actions: 100% l Other activities (management, training, etc): 100% Receipts to be taken into account FP 7 - August 2005 16 EUROPEAN COMMISSION – DG Research – 2006 16
Forms of Grants l Three forms of grants: – reimbursement of eligible costs (vast majority) – lump sums financing (eg No. Es) – flat-rate financing, including scale of unit costs (eg. indirect costs, Marie Curie). l Different forms of grants may be used in combination. l Lump sums and flat rates will not require justification of eligible costs l Gradual introduction of lump sums and flat rates FR fundamental principle: a grant cannot generate a profit FP 7 - August 2005 17 EUROPEAN COMMISSION – DG Research – 2006 17
Cost Reporting Modes l 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 l 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 FP 7 - August 2005 18 EUROPEAN COMMISSION – DG Research – 2006 18
Indirect costs l Eligible costs = direct costs + indirect costs l Preferred solution: real indirect costs. l Flat rate always an option. 20% l For non-profit public-bodies, universities, research centres and SMEs. Grant awarded: – before 1 st January 2010 60% – after 1 st January 2010 tbd but > 40% l FP 7 - August 2005 19 Coordination & Support Actions 7% EUROPEAN COMMISSION – DG Research – 2006 19
Lump sums - No. Es l l Calculated according to the number of researchers l € 23, 500 / year / researcher l Max number of participants and researchers established in Work Programme l FP 7 - August 2005 20 A special lump sum for No. Es Payments will be based on assessment of progress EUROPEAN COMMISSION – DG Research – 2006 20
Guarantee fund mechanism (1) ● ● ● Replaces FP 6 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 FP 7 - August 2005 21 EUROPEAN COMMISSION – DG Research – 2006 21
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. FP 7 - August 2005 22 EUROPEAN COMMISSION – DG Research – 2006 22
The Project Life Cycle Exploitation / Dissemination Implementation Proposal Evaluation Negotiation FP 7 - August 2005 23 EUROPEAN COMMISSION – DG Research – 2006 23
Proposals l Call for proposals l Evaluation criteria established in RP and WP. l 1 Specific Programme 1 Annual Work Programme 1 publication date of the calls. l 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) l l FP 7 - August 2005 24 Toward Electronic Submission Only Toward a new Unique Registration Facility EUROPEAN COMMISSION – DG Research – 2006 24
Evaluation. General Principles Same principles than in FP 6, l Quality, Transparency, Impartiality, Equal treatment l peer review - independent experts – [hearings] but: l l More use of remote evaluation l FP 7 - August 2005 25 More use of two-stage submission procedure New set of evaluation criteria EUROPEAN COMMISSION – DG Research – 2006 25
Evaluation Process l 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 FP 7 - August 2005 26 EUROPEAN COMMISSION – DG Research – 2006 26
Evaluation Criteria l General principles in RP l Details of evaluation criteria in Annex 2 of Work Programme & in Guide for Applicants l Interpretation of evaluation criteria is tailored to each funding scheme l For “Ideas” only one evaluation criteria: S&T Excellence FP 7 - August 2005 27 EUROPEAN COMMISSION – DG Research – 2006 27
Life of the project - Simplifications l l Fewer audit certificates to be submitted l Negotiable number of reviews l Reporting rationalised, with significant reduction in number. (tbc deviation reports) l IPR provisions clarified and simplified l Changes in consortium membership possible l FP 7 - August 2005 28 No 18 months detailed implementation plan Sub-contracting: no change from FP 6 EUROPEAN COMMISSION – DG Research – 2006 28
Payment modalities l Pre-Financing (PF) l Interim payments (IP) = EC contribution in reporting period l Final payment Condition: l (PF + IP ) < 90% Total EC Contribution Part of Pre-financing will be used to contribute to the guarantee fund FP 7 - August 2005 29 EUROPEAN COMMISSION – DG Research – 2006 29
Consortium Agreement l Compulsory, unless explicitly excluded in the text of the call. l Commission will publish Guidelines on the Consortium Agreement l 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 FP 7 - August 2005 30 EUROPEAN COMMISSION – DG Research – 2006 30
Management Increased FP budget + No increase in Commission staff ØNeed new structures to manage the increase Ø‘Externalise’ part of the FP management to executive agencies for the first time FP 7 - August 2005 31 EUROPEAN COMMISSION – DG Research – 2006 31
Management l Commission, Executive Agencies & Special Structures l 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 FP 7 - August 2005 32 EUROPEAN COMMISSION – DG Research – 2006 32
Management: special structures l 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 FP 7 - August 2005 33 EUROPEAN COMMISSION – DG Research – 2006 33
The RSFF approach: Loans for R&D Basic Research Applied Research Time Own funds Grants + Loans Technological development Prototyping IPR Commercialisation Own funds Equity Grants + Loans Own funds Equity + Loans 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 FP 7 - August 2005 34 EUROPEAN COMMISSION – DG Research – 2006 34
RSFF The leverage effect Risk coverage FP 7 Contribution: up to € 1 billion X 2 Loans representing on average one third of total cost of financed research projects Provisioning and capital allocation representing 15% to 25% (average 20%) of volume of individual loan X 4 to 6 EIB loans and guarantees: € 8 to 12 billions X 3 Additional private investments in research: € 24 to 36 billions EIB Contribution: up to € 1 billion FP 7 - August 2005 35 EUROPEAN COMMISSION – DG Research – 2006 35
Cooperation with local banks For loans of EUR 7. 5 million or more - direct involvement of the 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 FP 7 - August 2005 36 guarantee Intermediary Borrower EUROPEAN COMMISSION – DG Research – 2006 36
Eligible projects – Some remarks • • • FP 7 - August 2005 37 RSFF is a demand-driven instrument and will provide finance on a “first come, first served” basis (no call for proposals) Actions and research infrastructures supported by an FP 7 grant (JTIs, Collaborative Projects, No. E, 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 – 2006 37
Personal advise to applicants READ MORE WRITE LESS FP 7 - August 2005 38 EUROPEAN COMMISSION – DG Research – 2006 38
Information l EU research: http: //ec. europa. eu/research l Seventh Framework Programme: http: //ec. europa. eu/research/fp 7 l Information on research programmes and projects: http: //www. cordis. lu/ l RTD info magazine: http: //ec. europa. eu/research/rtdinfo/ l Information requests: http: //ec. europa. eu/research/enquiries/ FP 7 - August 2005 39 EUROPEAN COMMISSION – DG Research – 2006 39
Thank you for your attention! Name: Stefano Puppin E-mail: stefano. puppin@ec. europa. eu Phone +32 2 296. 21. 91 FP 7 - August 2005 40 EUROPEAN COMMISSION – DG Research – 2006 40
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