Get ready for FP7

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Get ready for FP7

• Dr. M. Sánchez
• DG-RESEARCH
• Energy Conversion and Distribution Systems

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content

• FP7 Rules for Participation
• Basic principles of FP7 Grant Agreement
• FP7 submission and evaluation procedures

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1

• FP7 Rules for Participation
• Basic principles of FP7 Grant Agreement
• FP7 submission and evaluation procedures

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New terminology

• Contract becomes Grant Agreement
• Contractor becomes Beneficiary
• Instruments become Funding Schemes
• Audit certificate becomes Certification on
  Financial Statement
• Proposers become Applicants

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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 three categories
  according to income per capita and will be
  identified as such in the work programmes

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Minimum conditions for participation

• General
• 3 independent legal entities from 3 different
  Member States (MS) or Associated countries (AC)
  no two of which established in the same MS or AC
• Natural persons may participate
• JRC may participate and is deemed to be from a
  different MS or AC
• Additional conditions can be established by the
  work programme (WP) or specific programme (SP)
  (e.g. number or type of participant, place of
  establishment)

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Minimum conditions for participation

• Specific
• Coordination and support actions minimum of 1
  legal entity (except actions to coordinate, min 3
  legal entities)
• Participation of international organisations and
  participants from third countries possible if in
  addition to minima

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Community financial contribution

• Eligibility 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

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General principles

• Forms of grants
• Reimbursement of eligible costs as the preferred
  method, particularly at the beginning of FP7
  (including the different options for flat rates
  on indirect costs) the only form of grant in
  the Energy WP for the moment
• Flat rates financing, including scale of unit
  costs
• Lump sum amounts, in particular as option for
  participants from ICPC and, if provided for by
  work programme, for NoEs
• Principle of co-financing and no profit

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Maximum funding rates

• Research and technological development
  activities up to 50 of eligible costs except
  for
• Public bodies, Secondary and higher education
  establishments, Research organisations
  (non-profit), SMEs up to 75
• Demonstration activities up to 50
• Coordination and support actions up to 100
• Other activities up to 100 including e.g.
  management, training, dissemination (No 7 limit
  for management)

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Funding schemes Energy Theme

• Collaborative projects (CP)
• Small or medium scale focused projects (up to 4
  M)
• Large scale integrating projects (more than 4 M)
• Coordination and Support Actions (CSA)
• Coordination type (typically in the range of 1-2
  M)
• Support type (up to 1 M)

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Funding scheme Collaborative projects (CP)

• Purpose 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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2

• FP7 Rules for Participation
• Basic principles of FP7 Grant Agreement
• FP7 submission and evaluation procedures

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Similarities with FP6 contract (1)

• Structure
• Core part GA parameters,
• Annex I DoW,
• Annex II General Conditions,
• Annex III Specific provisions for funding
  schemes
• Annex IV, V VI Form A,B C
• Annex VII Form D terms of reference for the
  certificate of costs and Form E certificate on
  the methodology (NEW)
• Consortium Agreement mandatory (except if
  excluded by Call)

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Similarities with FP6 contract (2)

• Signature by coordinator Commission
• Accession of beneficiaries via Form A
• Later accession of beneficiaries via Form B
• Entry into force upon signature by coordinator
  Commission

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FP6 contract - FP7 Grant Agreement differences
improvements

• Financial provisions
• Payment modalities
• Eligible costs
• Indirect costs
• Certificates (Terms of Reference Annex VII)
• Third parties
• Upper funding limits
• No financial collective responsibility
• Other provisions
• Reporting
• Amendments

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1.Payment modalities

• Only one pre-financing (upon entry into force)
  for the whole duration up to 150 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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2. Eligible Costs (1)

• 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)

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2. Eligible Costs (2)

• Average personnel costs accepted if
• Consistent with the management principles and
  accounting practices
• they do not significantly differ from actual
  personnel costs if identified according to a
  methodology approved by the Commission (NEW Form
  E)

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3. Indirect Cost

• The participant shall apply the method chosen in
  all grant agreements under FP7
• For all
• actual overhead
• simplified method at the level of the legal
  entity of the beneficiary (certification of
  methodology)
• flat rate of 20 of direct costs minus
  subcontracting and 3rd parties not used on the
  premises of the beneficiary
• For Non profit Public Bodies, Secondary and
  Higher Education establishments, Research
  Organisations and SMEs unable to identify real
  indirect costs, may apply for a flat rate of 60
  (for calls 2007-2009, not lower than 40 for
  calls 2010-2013)
• For CSA limit of 7 of direct costs

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4. Certification (1)

• 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 is provided

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4. Certification (2)

• Certificate on the methodology (NEW Form E)
• Aims at certifying the methodology of calculating
  (average) personnel costs and overhead rates
• Valid throughout FP7, must be accepted by EC
• Particularly aimed at legal entities with
  multiple participation
• Waives the obligation of certificates on
  financial statements for interim payments
• Simplified certificate for final payments

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5. Third parties

• Third parties carrying part of the work
• Subcontracts tasks have to be indicated in Annex
  I
• awarded according to best value for money
• External support services may be used for
  assistance in minor tasks (not to be indicated in
  Annex I)
• Third parties making available resources
• Third parties to be indicated in Annex I,
• Costs may be claimed by the beneficiary
• Resources free of charge may be considered as
  receipts

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6. Upper funding limits
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7. No financial collective responsibility

• Participant Guarantee Fund (the Fund)
• to manage the risk associated with non-recovery
  of sums due to EC (managed by the EC as executive
  agent on behalf of the participants, under
  conditions to be established by the model grant
  agreement)
• 5 of the EC contribution due to the participant
  (returned at the end of the project, except
  deduction of 1 if interest generated is
  insufficient to cover sums due to EC - for
  private companies) ? offset by the EC from the
  initial pre-financing
• Participants implement the indirect actions
  jointly and severally towards the Community
  (replaces technical collective responsibility)
  and carry out work of a defaulting partner

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Reporting (1)

• Periodic reports to be submitted by coordinator
  60 days after end of period
• progress of the work, including publishable
  summary
• use of the resources and
• Financial Statement (Form C Annex VI)
• Final reports to be submitted by coordinator 60
  days after end of project
• publishable summary report, conclusions and
  socioeconomic impact of the project
• report covering wider societal implications
  (gender, ethics) and a plan on use and
  dissemination of results
• distribution of EC contribution 30 days after
  reception of final payment

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Reporting (2)

• Commission has 105 days to evaluate and execute
  the corresponding payment
• No tacit approval of reports
• EC will pay automatically interest on late
  payment
• After reception Commission may
• Approve
• Suspend the time-limit requesting
  revision/completion
• Reject them giving justification, possible
  termination
• Suspend the payment

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Amendments

• Coordinator requests amendments on behalf of the
  consortium
• Coordinator can accept an amendment proposed by
  the Commission
• For addition/withdrawal tacit approval after 45
  days

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Access rights
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• FP7 Rules for Participation
• Basic principles of FP7 Grant Agreement
• FP7 submission and evaluation procedures

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Evaluation in FP7

• the evaluation process has developed to a very
  high standard. It compares well with other
  prestigious national or international granting
  agencies
• Report of Independent Observers, Dec. 2005
• No major change for FP7
• But improved and streamlined, based on experience
• Adapted to the new features of FP7 where necessary

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Whats new ?

• Eligibility checks
• As always deadline, completeness, minimum
  participation
• Now includes out of scope (the proposal relates
  to the topic and funding scheme, including any
  special conditions)
• Budget limit collaborative projects small or
  medium focused projects shall have a maximum
  requested EC contribution of 4 M
• Evaluation basis peer-review carried out by
  independent experts
• Experts selection Expertise, geography, gender
  and rotation
• Conflicts of interest Disqualifying and
  potential conflicts spelled out in expert
  appointment letter

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Evaluation criteria

• Criteria adapted to each funding scheme
• indicated in the work programme and in the Guide
  for applicants (CORDIS)
• Divided into three main criteria
• ST Quality (including relevance to the topic of
  the call concept, objective, work-plan
• Implementation (operational capacity of
  participants)
• 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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Scoring Redress

• Criteria scored out of 5 gt total 15
• Individual threshold 3
• Overall threshold 10
• Redress procedure foreseen
• An obligation on the Commission - Details of
  operation still to be determined
• Aim is to address complaints in a systematic
  manner after the initial information letter
• Looks at procedure and factual questions
• Not an internal evaluation of the proposal
• Not calling into question the scientific
  assessment of the experts

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Submission tools

• EPSS will be fully operational mid-March
• Start of FP7 looks like end of FP6 (EPSS
  Electronic Proposal Submission Service) ? CORDIS
• Part A entered through a set of on-line forms
  Part B uploaded by the applicant into EPSS
  (template available) ? coordinator press SUBMIT
  button
• No offline No paper
• (proposals arriving by any other means are
  regarded as not submitted and will not be
  evaluated)

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Evaluation procedure

• Evaluation shall follow a single stage procedure
• Individual Evaluation of the proposals may be
  carried out remotely
• Proposals will not be evaluated anonymously
• At the Panel stage, proposals with equal overall
  scores will be prioritised according to the
  Quality criterion, then Impact and Implementation
  criterion, finally WP coverage
• Evaluation expected to be carried out May July
  2007 and contract negotiations open by September
  2007

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New call for experts for evaluation of project
applications and monitoring of the Seventh
Framework Programme

• For new registration
• https//cordis.europa.eu/emmfp7/index.cfm?fuseacti
  onwel.welcome
• For experts registered already FP6 or FP7
• https//cordis.europa.eu/emmfp7/index.cfm?fuseacti
  onwel.Login

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Thank you for your attention!

• Directorate-General for Research
• Energy Conversion and Distribution Systems
• manuel.sanchez-jimenez_at_ec.europa.eu