Workshop on EU FP7

1
Workshop on EU FP7

• Dimitra Koutsantoni
• John Montgomery

2
Overview of workshop

• What is new in FP7?
• Programmes, themes, funding schemes
• Rules of participation/eligibility
• Funding opportunities for Social Scientists
• New themes
• New programmes (ERC-Starting researcher grant)
• Changes in existing programmes (Marie Curie)
• Calls timetable and deadlines

• Making an application
• Forms (electronic forms, parts of the form)
• Structuring a proposal-what to include
• Evaluation criteria-how to address them
• Where to go for information (websites, etc)
• Partners (where to find them, paperwork needed)
• Costing issues
• Dos and Donts

3
What is new in FP7?

• More money! (54 billion vs. 19 billion in FP6)
• New terminology
• New programmes and themes
• New costing rules
• Simplified application guidelines and procedures
• Fewer evaluation criteria (for example no
  'relevance to Commission objectives' criterion,
  though they still need to be addressed!)
• Higher rates of reimbursement
• Changes to reporting and audits

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New terminology
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The programmes

• Cooperation (new theme Socio-economic sciences
  and humanities)
• Ideas (new, European Research Council-ERC)
• People (Marie Curie-changes)
• Capacities
• EURATOM
• Joint Research Centre (similar to UK Research
  Councils)

6
FP7 Funding Schemes

• Collaborative Projects (CP)
• Networks of Excellence
• Coordination and Support Actions (CSA)
• Support for Frontier Research (ERC)
• Research for the Benefit of Specific Groups
• Support for Training and Career Development of
  Researchers (Marie Curie)
• Combinations e.g. CP and CSA

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General eligibility criteria

• Three independent participants from three
  different Member States (MS) or Associated
  countries (AC)
• Additional conditions can be established by the
  work programme or specific programme
• Co-ordination and Support Actions/Training at
  least one legal entity (no limit on place of
  establishment)
• Frontier research actions (ERC) at least one
  legal entity established in a MS or AC

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Member States (MS), Associated countries (AC),
Third countries

• EU-27
• Austria, Belgium, Bulgaria,
• Cyprus, Czech Republic,
• Denmark, Estonia, Finland,
• France, Germany, Greece,
• Hungary, Italy, Ireland, Latvia,
• Lithuania, Luxemburg, Malta,
• Netherlands, Poland, Portugal,
• Romania, Slovakia, Slovenia,
• Spain, Sweden, UK
• Associated Countries (FP7)
• Croatia, Iceland, Israel,
• Liechtenstein, Norway, Serbia,
• Switzerland, Turkey

• Third Countries (not EU-27 or AC)
• low-income, lower-middle-income or
  upper-middle-income country, identified as such
  in the work programmes
• Note Industrialised third countries (such as
  Australia, Canada and the USA) can participate
  under the FP7 Rules for participation, but
  under their own funding, unless specifically set
  out differently in the relevant work programme

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Funding opportunities for Social Scientists

• Cooperation
• Socio-economic sciences and humanities
• ICT
• Energy
• Transport
• Read work programmes carefully to identify
  suitable research questions
• ERC-Starting Research Grant

• Marie Curie Actions
• ITNs (International Training Networks)
• Industry Academia Partnerships and Pathways
  (IAPPs)
• Capacities
• Science in Society
• Research Infrastructures

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Cooperation themes

• Health
• Food, Agriculture and Biotechnology
• Information and CommunicationTechnologies
• Nanosciences, Nanotechnologies, Materials and New
  Production Technologies
• Energy
• Environment and Climate Change
• Transport
• Socio-economic Sciences and Humanities (new
  theme)
• Space
• Security Research

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Socio-economic sciences and humanities research
questions to be addressed

• Growth, employment and competitiveness in a
  knowledge society
• (innovation, competitiveness and labour market
  policies education and life
• long learning and economic structures and
  productivity)
• A combination of economic, social and
  environmental objectives in a
• European perspective (socio-economic models
  within Europe and across the
• world economic and social and cohesion across
  regions, the social and
• economic dimensions of environmental policy)
• Major trends in society and their implications
  (demographic change,
• reconciling family and work, health and quality
  of life, youth policies, social
• exclusion and discrimination)
• Europe in the world (trade, migration, poverty,
  crime, conflict and
• resolution)
• The citizen in the European Union (political
  participation, citizenship and
• rights, democracy and accountability, the media,
  cultural diversity and
• heritage, religions, attitudes and values)
• Socio-economic and scientific indicators (the
  use and value of indicators in
• policymaking at macro and micro levels)
• Foresight activities (the future implications
  of global knowledge, migration,
• ageing, risk and the emerging domains in research
  and science).

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Ideas European Research Council (1)

• Two funding schemes
• ERC Starting Grantattract retain the next
  generation of researchers
• ERC Advanced Grantattractive prestigious
  grants for established leaders

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Ideas European Research Council (2)

• Eligibility for ERC Starting grant
• Applicants should have at least 2 years of
  experience after their PhD, but no more than 9
  years
• This can be extended by up to 12 years after the
  PhD in special circumstances (maternity/paternity
  leave, military/civil service)

• No allowance for part-time work (e.g. 2 yrs half
  time2 yrs full time)
• Preference for projects NOT to be collaborative
• Need for collaborators MUST be absolutely
  justified

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People Marie Curie actions (1) Funding schemes
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People Marie Curie actions (2)

• Host Actions-This means
• Host institutions/network applies for a number of
  fellows/researchers
• Hosts proposal is evaluated
• Selected host/network advertises fellowship
  position and selects fellows/researchers
• Contract duration with host, usually 4 years
• Fellows stay depending on Action (up to 3
• years)

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ITNs

• Multi-site projects, mono-sites or twinnings
• At least at post-graduate or equivalent level
  researchers, typically during the first five
  years (or full-time equivalent) of their careers
  in research (with some exceptions)
• Typical Activities of an ITN
• Training activities
• Networking
• Visits and secondments
• Visiting scientists
• Organisation of international conferences and
  other training events open to external
  researchers

• Recruitment procedure should be in line with the
  principles set out in the European Charter for
  Researchers and in the Code of Conduct for the
  Recruitment of Researchers. See
  http//ec.europa.eu/eracareers/europeancharter
• For a number of European policy links, see
• http//www.grad.ac.uk/cms/ShowPage/Home_page/Polic
  y/European_policy/p!eFjlkal

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Industry-academia partnerships and pathways

• Two-way partnership with at least one commercial
  enterprise and one academic organisation in two
  different Member or Associated Countries
• Typical activities
• Staff secondments between both sectors within the
  partnership

• Temporary hosting in both sectors of experienced
  researchers recruited from outside the
  partnership
• workshops and conferences
• As an SME specific measure a contribution to
  small equipment related to their participation in
  the co-operation.

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Marie Curie actions-Differences between FP7 and
FP6
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Capacities (1)

• Science in Society 3 action lines
• Action Line 1 A more dynamic governance on the
  science and society relationship
• Action Line 2 Strengthening potential,
  broadening horizons
• Action Line 3 Science and society communicate

• Action Line 2
• The evolving role of universities
• Defining better conditions for university
  research
• Partnerships with the business sector
• Reinforcing knowledge-sharing
• Gender and research
• Young people and science

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Capacities (2)

• Research Infrastructures
• soft tools
• databases
• surveys
• e.g. SHARE-Survey of Health, Ageing and
  Retirement in Europe

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Calls timetable and deadlines

• 25 April ERC Starting Independent Researcher
  Grant- Call identifier ERC-2007-StG A
• 7 May Initial Training Networks-Call identifier
  FP7-PEOPLE-2007-1-1-ITN

• 10 May and 29 November Socio-economic sciences
  and humanities-Call identifier FP7-SSH-2007-1
• 31 May Industry-Academia Partnerships and
  Pathways FP7-PEOPLE-2007-3-1-IAPP

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Making an application (1)

• Electronic Proposal Submission Service (EPSS)
  (available at least four weeks before the call
  deadline)
• Co-ordinator must register on CORDIS and be sent
  password and access details
• Passes on access to other participants
• Complete A forms
• Upload .pdf file of Part B (10Mb limit)
• Can revise up to deadline
• Deadline strictly enforced
• Submission must be selected
• EPSS user guide on http//www.ukro.ac.uk/subscrib
  er_services/fp6/submission_evaluation/epss/050803_
  epss_user_guide.pdf

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Making an application (2)

• The application forms
• Part A
• Participant Identity Code (PIC) - a unique
  organisational identifier, not running for first
  calls
• Basic info call details, title, summary,
  partners, budget
• Part B
• Cover Page, Table of Contents
• ST Quality (plus templates for work packages,
  deliverables and milestones)
• Implementation
• Impact
• Ethical Issues
• Consideration of gender issues

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Writing the proposal-general guidelines (1)

• Take the steer from the Work Programme
• Understand the Commissions objectives
• Be aware of Lisbon and Barcelona objectives and
  mention them!!!
• Also mention recent relevant communications from
  the European Commission (e.g. White and Green
  Papers)

• Be aware of the outcome of previous programmes
  and the nature of ongoing projects
• Understand the funding schemes
• Know what the evaluator is looking for (read
  evaluation criteria in work programme)

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Writing the proposal-general guidelines (2)

• Involve all partners
• Think about the impact of the project
• European or Regional Economy
• Impact on European Policy or Legislation
• Social Impact
• Ensure that ALL aspects are addressed (science,
  management, integration, training, technology
  transfer, dissemination.)

• Pay attention to layout
• Follow the guidance
• Stick to the guidelines e.g. page and budget
  limits
• Address ethical, safety, regulatory and gender
  issues

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Cooperation Evaluation criteria(1)
S/T Quality Excellence
Implementation
Impact
3/5
3/5
3/5
3/5
Overall threshold 10/15
Relevance
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Cooperation Evaluation criteria (2)

• Addressing S T Quality
• Have you explained the concept of the project?
• Have you clearly identified your objectives?
• Are your objectives achievable within your
  project?
• Have you addressed the state-of-the-art?
• Do you have improvement or innovation?
• Have you clearly described your aims and
  methodology?
• Have you described your overall strategy of the
  work plan?
• Have you used Gantt Charts ?
• Are the work packages explained?

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Cooperation Evaluation criteria (3)

• Addressing Implementation
• Have you described the management structure?
• Do you have an information management strategy?
• Do you have a knowledge management strategy?
• Its it matched to the complexity and scale of the
  project?
• Individual Participants and the Consortium as a
  whole
• Have you identified the role of the co-ordinator?
• Have you described individual participants?

• Have you explained the consortium structure?
• Do you have the appropriate personnel/is it well
  balanced?
• Can you demonstrate relevant management
  experience?
• Do partners have the appropriate equipment?
• Can they illustrate integrated financial
  planning?
• Can they illustrate integrated project planning?

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CooperationEvaluation criteria (4)

• Addressing Impact
• Have you described how your project will
  contribute to the expected impacts in the Work
  Programme?
• Does the project have suitably ambitious goals?
• Can you illustrate a contribution to economic
  competitiveness?
• Can you illustrate impact on quality of life?
• Can you illustrate the effect of shaping research
  in the field?
• Have you elaborated on your dissemination
  strategy?
• What about exploitation of results, IP (if
  appropriate) and knowledge management?

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ERC-Starting Grant Evaluation criteria (1)

• (1) Potential of applicant (?/5)
• (2) Quality of project (?/5)
• (3) Research Environment ("pass/fail" and
  commented but not scored)

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ERC-Starting Grant Evaluation criteria (2)

• Principal Investigator Potential to become a
  world class research leader
• a. Quality of research output
• Has the Principal Investigator published in high
  quality peer reviewed journals or the equivalent?
• To what extent are these publications
  ground-breaking and demonstrative of independent
  creative thinking and capacity to go
  significantly beyond the state of the art?
• b. Intellectual capacity and creativity
• To what extent does the Principal Investigator's
  record of research, collaborations, project
  conception, supervision of students and
  publications demonstrate that he/she is able to
  confront major research challenges in the field,
  and to initiate new productive lines of thinking?

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ERC-Starting Grant Evaluation criteria (3)

• (2) Quality of the research proposal
• a. Ground-breaking nature of the research
• Does the proposed research address important
  challenges in the field(s) addressed?
• Does it have suitably ambitious objectives, which
  go substantially beyond the current state of the
  art (e.g. including trans-disciplinary
  developments and novel or unconventional
  approaches)?
• b. Potential impact
• Does the research open new and important,
  scientific, technological or scholarly horizons?
• c. Methodology
• Stage 1 Is the outlined scientific approach
  (including the activities to be undertaken by the
  individual team members) feasible?
• Stage 2 Is the proposed research methodology
  (including when pertinent the use of
  instrumentation, other type of infrastructures
  etc.) comprehensive and appropriate for to the
  project? Will it enable the goals of the project
  convincingly to be achieved within the timescales
  and resources proposed and the level of risk
  associated with a challenging research project?

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ERC-Starting Grant Evaluation criteria (4)

• (3). Research Environment
• a. Transition to independence
• Will the proposed project enable the Principal
  Investigator to make or consolidate the
  transition to independence?
• b. Host institution normally applicant legal
  entity
• Does the institution hosting the project have
  most of the infrastructure necessary for the
  research to be carried out?
• Is it in a position to provide an appropriate
  intellectual environment and infrastructural
  support and to assist in achieving the ambitions
  for the project and the Principal Investigator?
• c. Participation of other legal entities
• If it is proposed that other legal entities
  participate in the project, in addition to the
  applicant legal entity, is their participation
  fully justified by the scientific added value
  they bring to the project?

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Marie Curie Evaluation Criteria (1)

• (1) S T Quality
• Inter/multi-disciplinary, intersectoral and/ or
  newly emerging supra-disciplinary fields
• Scientific quality of the research programme
• Appropriateness of research methodology
• Originality and innovative aspect of the research
  programme
• Knowledge of the state-of-the-art
• (2) Training and knowledge transfer
• Quality of the training programme
• Several methods of training
• Complementary skills offered Management,
  Communication, IPR, Ethics, Grant writing,
  Commercial exploitation of results, Research
  Policy, entrepreneurship, etc.
• Conferences and training courses part of training
  package

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Marie Curie Evaluation Criteria (2)

• (3) Implementation
• Infrastructure, work plan, feasibility of project
• Adherence to principles of Code of Conduct of the
  Recruitment of Researchers
• Detailed management processes and plan
• (4) Impact
• Long-term collaboration prospects
• Researcher professional development
• For IAPPs extent of SMEs participation,
  adequacy of infrastructure
• Note If you have received previous funding
  under the Marie Curie actions under the Seventh
  Framework programme or under similar actions
  under previous Framework Programmes, you have to
  clearly demonstrate the substantial added value
  of the new project in relation to the project
  previously financed.

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Where to find information

• CORDIS
• http//cordis.europa.eu/fp7/ncp_en.html
• ERC Home page
• http//erc.europa.eu/index_en.cfm
• UKRO
• http//www.ukro.ac.uk
• http//www.ukro.ac.uk/mariecurie
• http//www.ukro.ac.uk/erc
• ECs Framework Programme Websites
• http//ec.europa.eu/research/index.cfm
• http//cordis.europa.eu/en/home.html
• Cass Research Support pages
• http//www.cass.city.ac.uk/ressupport/secure/eu.ht
  ml

37
Policy websites

• Information on green and white papers, reports
  press
• releases http//europa.eu/documents/comm/index_en
  .htm
• EUR-Lex (EU legislation)
• http//eur-lex.europa.eu/en/index.htm
• Official statistics agency of the EU - wide range
  of useful data
• for your proposal http//europa.eu.int/comm/euros
  tat/
• Lisbon Strategy
• http//ec.europa.eu/education/policies/2010/et_201
  0_en.h
• ml
• European Research Area
• http//cordis.europa.eu/era/concept.htm
• Barcelona objectives
• http//cordis.europa.eu/era/3percent.htm

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Partners

• Where to find them
• CORDIS http//cordis.europa.eu/partners-service/
• Welcome Europe
• http//www.welcomeurope.com/default.asp?id1510
• UKRO
• (electronic system currently down, but UKRO can
  put you in touch with partners)
• Singleimage http//www.singleimage.co.uk/index.ht
  ml

• Documentation needed
• Consortium agreement (draft can be found on UKRO
  website)
• Advice
• If you already have contacts in other countries,
  use those (safer!)
• Network in conferences, seminars, etc.

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Costing issues (1)

• Costs are eligible if
• Actual
• Incurred during the project
• Determined according to usual accounting and
  management principles
• Used solely for project objectives
• Consistent with principles of economy, efficiency
  and effectiveness
• Recorded in accounts
• Exclusive of non-eligible costs

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Costing issues (2)

• Management costs include
• maintenance of the consortium agreement, if it is
  obligatory
• the overall legal, ethical, financial and
  administrative management including for each of
  the beneficiaries obtaining the certificates on
  the financial statements or on the methodology
• implementation of competitive calls by the
  consortium for the participation of new
  beneficiaries, where required by Annex I
• obtaining any financial security such as bank
  guarantees, when requested by the Commission
• any other management activities foreseen by the
  annexes, except coordination of research and
  technological development activities
• NB 7 limit of total costs in FP6 limit removed
  but.participants are expected to self-regulate

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Dos!

• Carefully read the text in the work programme
• Research previous and current projects
• Meet with consortium partners (if applicable)
• Register in EPSS
• Make sure all forms are completed correctly
• Get someone to read through your proposal
• Discuss budget early with us

• For ERC Absolutely adhere to page limits-longer
  proposals WILL NOT be evaluated
• Submit before the deadline-STRONGLY advised!
• Register as an expert with CORDIS (evaluator,
  reviewer or monitor expert) https//cordis.europa
  .eu/emmfp7/
• Contact us for advice and support
• Register with UKRO
• Attend UKRO proposal writing training events

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Donts!

• Do not undertake co-ordination of a consortium if
  this is your first EU application
• Do not submit a proposal without having obtained
  approval from the university (this involves
  contacting us and having us cost and process your
  application)
• Do not submit proposals for collaborative
  projects to ERC
• Do not solely rely on CORDIS/UKRO etc. for
  finding partners-use existing contacts
• Do not submit on the last day of the deadline!!!

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• Any questions?

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If you are thinking of applying for EU funding

• Call us on extensions
• 0140 (Dimitra)
• 4193 (John)
• E-mail us
• dimitra.koutsantoni.1_at_city.ac.uk
• j.montgomery_at_city.ac.uk

• We are here to help!
• We can give you detailed
• information on
• the work programme
• how to apply
• how to structure the proposal
• what documentation you need
• eligible costs

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Further training

• UKRO (free) http//www.ukro.ac.uk/subscriber_serv
  ices/events/index.htm0607_training_development
• Bluebell Research
• http//www.bluebell-res.co.uk/