Towards the Seventh Framework Programme 20072013

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Towards the Seventh Framework Programme2007-2013
Martin Penny European Commission Research DG
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Simplification of procedures

• Objectives
• Eliminate procedures, rules and requests with no
  added value
• Cut the number of requests to participants
• Avoid red tape and increase user-friendliness
• Reduce delays
• Principles
• Rationalisation of all procedures
• Communication
• Strike a new balance between risk and control to
  provide
• Greater trust
• Increased risk-taking

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Concrete MeasuresFlexible Application

• 1. Funding schemes based on FP6
• But more flexible application
• Simple set of funding schemes
• Objectives and contents determined by programme
• Participants identified in work/specific
  programme

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Consistent high-quality communication

• 2. Consistent high-quality communication
• Information accessible and necessary
• Clear, user-friendly, no duplication
• Uniform interpretation

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Informationfrom participants

• 3. Information requested from participants
• Submitted once kept centrally
• Participant registration number for all projects
• Additional information requests specific to
  project only
• Reporting only information necessary for
  follow-up
• Electronic tools for all communication Commission
  ? participants

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Community financial interest versus burden on
participants

• 4. Clarifying the limits of a priori controls
• Capacity to implement the work
• Assess during evaluation
• By external evaluators
• Financial viability based on set criteria
• Same criteria across Commission
• Criteria will be published
• No open ended assessment of risk
• Alternatives to bank guarantees

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Operational autonomy for consortia

• 5. Operational autonomy for consortia
• Flexible implementation management autonomy
• Usual management/accounting practices
• Independent auditors certify costs
• No Commission micro-management
• Tools to train project coordinators
• Help-desks for project management issues

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Streamliningthe selection process

• 6. Streamlining the Commission selection process
• Programme Committees
• To concentrate on work programmes and major
  policy issues
• To get information on each individual grant
  funded
• This streamlined procedure reduced time to
  project start

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Better useof research budget

• 7. Effective use of the research budget
• Reuse funds from unpromising projects
• Requires changes to Financial Regulation, e.g.
• Annual commitment of funds for projects
• Use de-committed funds for other projects

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Lump-sum and flat-ratefinancing schemes

• 8. Better use of lump-sum and flat-rate
  financing schemes
• Greater use of lump-sum financing for certain
  actions
• For Networks of Excellence, periodic release of
  fixed lump sums
• Greater reliance on flat rates for certain costs

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Simplifying cost reporting modelsand clarifying
eligible costs

• 9. Simplify cost-reporting models
• Greater use of lump sums and flat rates
• Eliminate cost-reporting models used for FP6
• 10. Simplified support rates
• Support rates determined only by type of activity
  
• Eligible costs and receipts of the project
  overall
• Community financial contribution covers all
  eligible costs
• State aid rules determine total funding

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Funding Schemes

• 1. Collaborative projects
• Consortia with participants from different
  countries
• New knowledge, technology, products or common
  resourcesfor research
• Size, scope and internal organisation of projects
  can vary
• 2. Networks of Excellence
• Joint programmes by organisations integrating
  activitiesin a given field
• Longer term co-operation
• Formal commitment to integrate resources

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Funding Schemes (continued)

• 3. Coordination and support actions
• Networking, exchanges, trans-national access to
  research infrastructures, studies, conferences,
  etc.
• 4. Individual projects
• 5. Training and career development of researchers
  
• 6. Research for the benefit of specific
  groups(in particular SMEs)
• Generally based on calls for proposals

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Funding Schemes (continued)

• Article 171 and Article 169
• Large-scale initiatives from multiple sources
• Joint implementation of national research
  programmesArticle 169
• Joint Technology Initiatives Article 171
• New infrastructures of European interest Article
  171

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Funding Schemes (continued)

• Improved access to European Investment Bank (EIB)
  loans
• Risk-Sharing Finance Facility
• Complementary funding from the Structural Funds
• For project participants from convergence and
  outermost regions
• Wherever possible and appropriate
• Joint Research Centre direct actions

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Minimum conditions for participation

• General
• Three independent participants from three
  different Member States (MS) or Associated
  countries Natural persons may participate
• JRC may participate and is deemed to be from a
  different MS or associated country (same
  principles for international European interest
  organisations and entities established under
  Community law)
• Additional conditions can be established by the
  work programme or specific programme (i.e. number
  of participants, place of establishment,
  participant type)
• Sole participants composed of members that meet
  the criteria above can participate

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Minimum conditions for participation

• Specific
• Frontier research actions (ERC) at least one
  legal entity established in a MS or Associated
  country
• Coordination and support actions and actions in
  favour of training and career development of
  researchers minimum of one legal entity (no
  limit on place of establishment)
• Collaborative projects addressing the
  participation of international cooperation
  partner countries in parity with MS or Ac
  minimum is four participants of which 2 in MS or
  Ac and 2 in INCO countries
• Participation of international organisations and
  participants from third countries if in addition
  to minima

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Submissionand Evaluation

• Commission to adopt and publish rules on the
  procedures for proposal submission, evaluation,
  selection and award
• Including two-stage submission and two-step
  evaluation
• Commission to adopt and publish rules to ensure
  consistent verification of the legal status and
  financial capacity of participants
• Evaluation criteria established in Specific
  Programmes and work programmes
• Irregularity and violation of fundamental ethical
  principles are grounds for exclusion from
  evaluation and selection
• Transparent, fair and impartial evaluation
  procedures with help of independent experts

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Implementationand grant agreements

• Participants implement the work jointly and
  severally and carry out work of a defaulting
  partner unless the Commission relieves them of
  that obligation (not FP6 financial collective
  responsibility)
• Commission to assess risk of default and may
  establish a mechanism to cover financial loss
  (i.e. to replace financial collective
  responsibility)
• If implementation of the project is impossible or
  participants fail to implement it, the Commission
  shall ensure its termination
• Consortium agreements obligatory unless exempted
  by call for proposals
• Changes in consortium membership possible

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Implementationand grant agreements

• Model grant agreement to be drawn up
• to establish rights and obligations of
  participants (including submission of reports,
  termination etc.)
• identify whether and what part of the EC
  financial contribution is based on reimbursement
  of eligible costs, lump sums or flat rates
• Identify which changes in composition of the
  consortium require prior publication of a
  competitive call, and
• shall reflect the principles laid down in the
  European Charter for Researchers and the Code of
  Conduct for the Recruitment of Researchers
• grant agreement comes into force upon signature
  by the coordinator and the Commission and applies
  to each participant that has acceded to it

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Community financial contribution

• Eligibility for Funding
• Legal entities from Member States and Associated
  countries or created under Community law (and
  JRC)
• International European interest organisations
• Legal entities established in international
  cooperation partner (INCO) countries
• and
• International organisations, third countries
  other than INCO, if provided for in specific
  programme or work programme or essential for
  carrying out action or provision for funding is
  provided for in a bilateral agreement
• Basis for Funding
• Reimbursement of eligible costs
• Flat rates, including scale of unit costs
• Lump sum amounts

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Reimbursement of eligible costs

• Co-financing, no profit
• May be combined with the pre-set lump sums and/or
  flat rates for certain items of a project
• Cost reporting models eliminated
• Participants charge direct and indirect costs
  (option of flat rate for those who do not or can
  not charge real indirect costs)
• Costs must be actual incurred during the
  project determined according to the usual
  accounting and management principles/practices
  and used only to achieve project objectives, and
  consistent with principles of economy, efficiency
  and effectiveness recorded in accounts and paid
  (or the accounts of third parties) exclusive of
  non-eligible costs
• Average personnel costs may be used if consistent
  with above and do not differ significantly from
  actual
• Audit certificates continued but rationalised

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Lump sum and flat rate financing

• Lump sum and/or flat rate financing (scale of
  unit costs) could be used for the whole action,
  or
• Flat-rates/lump sums for certain costs can be
  combined with reimbursement of eligible costs
• A specific lump sum is identified for Networks of
  Excellence (NoEs) (unless otherwise provided for
  in work programme),
• calculated according to the number of researchers
  to be integrated
• ( 23,500 / year / researcher)
• payment of which is based on attainment of
  progress
• Lump sums and flat rates do not require
  justification of eligible costs

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Maximum funding rates

• Research and technological activities 50 of
  eligible costs except for
• Public bodies 75
• Secondary and higher education establishments
  75
• Research organisations (non-profit) 75
• SMEs 75
• Demonstration activities 50 of eligible costs
• Other activities 100 of eligible costs
• Frontier research actions 100
• Coordination and support actions 100
• Training and career development of researchers
  actions 100

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Information

• EU research http//europa.eu.int/comm/research
• Seventh Framework Programme http//europa.eu.int/
  comm/research/future/index_en.cfm
• Information on research programmes and projects
• http//www.cordis.lu
• RTD info magazine
• http//europa.eu.int/comm/research/rtdinfo/
• Information requests
• research_at_cec.eu.int