APRE Agency for the promotion of European Research. Introduction to FP7 & Rules for participation in the Seventh Framework Programme ( )

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1 APRE Agency for the promotion of European Research Introduction to FP7 & Rules for participation in the Seventh Framework Programme ( )

2 EU research: the story so far 1952: ECSC treaty; first projects started March : Euratom treaty; Joint Research Centre set up 1983: ESPRIT programme 1984: First Framework Programme ( ) 1987: Single European Act science becomes a Community responsibility; Second Framework Programme ( ) 1990: Third Framework Programme ( ) 1993: Treaty on European Union; role of RTD in the enlarged EU 1994: Fourth Framework Programme ( ) 1998: Fifth Framework Programme ( ) 2000: European Research Area 2002: Sixth Framework Programme ( ) 2005: Proposal for the Seventh Framework Programme ( ; for Euratom)

3 Lisbon strategy S&T contributes to the Lisbon objectives: economic growth, employment creation, environmental protection, social challenges: fight poverty, improve human health and quality of life (GSM, remote working, safe roads, etc.)

4 The Lisbon objective Become the most competitive and dynamic knowledge-based economy by 2010

5 Introduction 7th Framework Programme The Framework Programme (FP) is the European Union's main instrument for funding research and development. The FP is proposed by the European Commission and adopted by Council and the European Parliament following a co-decision procedure. FP1: FP2: FP3: FP4: FP5: FP6: FP7:

6 Why does the EU have FPs? The FP is based on the Treaty establishing the European Union (art. 166) According to art. 163 of the Treaty the FP should have 2 main objectives: Strengthening the scientific and technological bases of the EU and enhancing its competitiveness, internationally Promoting research in support of EU policies The FP and the various National research funding schemes complement each other

7 A bit more on the FP-policies pair The specific workprogrammes encourage researchers to take into consideration existing policies, e.g.: The Lisbon agenda (aiming at increasing the funding for RTD activities) ETAP (Environmental Technologies Action Plan) CAP/CFP (Common Agriculture/Fisheries Policies) Encouragement of the SME participation in RTD activities, International cooperation in research, etc. International cooperation with non-eu researchers There can be calls specifically aiming to produce results that can support policy development, e.g.: Organic farming/ low input agriculture Development of a health claims list for foodstuff labeling Migratory birds & Avian Influenza

8 FPs: significant impacts on S&T and the economy Economic benefits (research) at European level (long-run, econometric models) Reduced commercial risk increased turnover and profitability enhanced productivity and market share Innovative performance Enterprises participating in FP: tend to be more innovative more likely to patent engage in innovative co-operation with other firms and universities EUROPEAN COMMISSION - Research DG 21/12/2006

9 FPs: significant impacts on S&T and the economy Scientific performance: FP project up to nine peer-reviewed publications (international co-publications) Human resources development: Over proposals for Marie Curie in 2004, thousands of researchers have participated in top transnational teams, benefiting from training and knowledge sharing EUROPEAN COMMISSION - Research DG 21/12/2006

10 Budgets of the EU Framework Programmes mi l l i o n NB: Budgets in current prices. Source: Annual Report 2003, plus FP7 revised proposal EUROPEAN COMMISSION - Research DG 21/12/2006

11 EUROPEAN COMMISSION - Research DG 21/12/2006 Why increase the FP7 budget? Tackle under-investment by exerting leverage on national and private investment Increase EU spending on R&D: 1.97% of GDP vs 2.59% (US) Help leverage business R&D (EU-wide projects, solutions and market) Encourage Member States

12 Why increase the FP7 budget? Reinvigorate the Lisbon Strategy Objective: to become the most dynamic knowledge-based economy Supports the integration and attractiveness of the ERA Contributes to increased competitiveness Contributes to sustainable development EUROPEAN COMMISSION - Research DG 21/12/2006

13 FP7 budget ( million, current prices) million People; Capacities; JRC (EC); Ideas; Cooperation; Note: Euratom FP: 2.7 billion over 5 years - not included above EUROPEAN COMMISSION - Research DG 21/12/2006

14 The budget

15 The 7th Framework Programme

16 EUROPEAN COMMISSION - Research DG 21/12/2006 Cooperation Collaborative Research Ten themes 1. Health 2. Food, agriculture and fisheries, and biotechnology 3. Information and communication technologies 4. Nanosciences, nanotechnologies, materials and new production technologies 5. Energy 6. Environment (including climate change) 7. Transport (including aeronautics) 8. Socio-economic sciences and the humanities 9. Space 10. Security

17 FP Cooperation budget I. Cooperation Budget ( million, current prices) Health Food, agriculture and fisheries, and biotechnology Information and communication technologies Nanotechnologies, materials and production 5. Energy Environment Transport Socio Space -economic research Security Total EUROPEAN COMMISSION - Research DG 21/12/2006

18 EUROPEAN COMMISSION - Research DG 21/12/2006 Ideas Frontier Research (1) Frontier Research is a key driver to innovation and economic performance Establish European Research Council (ERC) the first pan-european funding agency for Frontier Research Support investigator-driven frontier research over all areas of research European added-value through competition at EU level

19 EUROPEAN COMMISSION - Research DG 21/12/2006 Ideas Frontier Research (2) Budget ~ 1bn p.a. ( ~ 7.46) Autonomous scientific governance (Scientific Council) Support projects of individual teams Excellence as sole criterion Simple, user-friendly

20 EUROPEAN COMMISSION - Research DG 21/12/2006 Ideas Frontier Research (3) ERC Launch Strategy provides for two streams of funding activities starting in 2007: ERC Starting Independent Researcher Grant scheme (ERC Starting Grant) ERC Advanced Investigator Researcher Grant scheme (ERC Advanced Grant)

21 EUROPEAN COMMISSION - Research DG 21/12/2006 People Marie Curie Actions Initial training of researchers Marie Curie Networks* Life-long training and career development Individual Fellowships Co-financing of regional/national/international programmes Industry-academia pathways and partnerships Industry-Academia Knowledge sharing Scheme* International dimension Outgoing & Incoming International Fellowships International Cooperation Scheme Reintegration grants; Support to researcher diasporas Specific actions Mobility and career enhancement actions Excellence awards * Open to third-country nationals

22 EUROPEAN COMMISSION - Research DG 21/12/2006 Capacities Research Capacity 1. Research infrastructures 2. Research for the benefit of SMEs 3. Regions of Knowledge 4. Research Potential 5. Science in Society 6. Coherent development of policies 7. Activities of International Cooperation

23 Timeframe for FP7 projects Results from FP7 projects in use Projects resulting from FP7 calls operating Official duration of FP First calls First projects start Last projects start Last projects end

24 EUROPEAN COMMISSION - Research DG 21/12/2006 Annual process Preparation of Work Programmes Following consultation and expert advice: Advisory Groups European Technology Platforms Open consultations Workshops, expert meetings, etc Consultation with other Commission directorate generals Subject to opinion by Programme Committees (Member State representatives)

25 CORDIS CORDIS, the Community Research and Development Information Service e_en.html

26 Web resources CORDIS Find a document is a comprehensive resource containing all FP7 documents and publications:

27 FP7 documents: where to find it

28 Find a call

29 Info pack

30 PARTICIPATION

31 Who can apply? Any undertaking, university or research centre or other legal entity, whether established in a Member State (MS) or Associated Country (AC) Legal entity: any natural/legal person created under the national law of its place of establishment, or under Community law or international law, which has legal personality and which may exercise rights and be subject to obligations

32 Eligible participants Public body: any legal entity established as such by national law, and international organisations. Research organisation a legal entity established as a non-profit organisation which carries out research or technological development as one of its main objectives. Non-profit entity When considered as such by national or international law Higher and secondary education establishments Includes universities, schools for applied sciences and similar. SMEs Micro, small and medium-sized enterprises within the meaning of Recommendation 2003/361/EC in the version of 6 May 2003 (OJ L 124, , p. 36). International cooperation partner countries (ICPC): Three categories according to income per capita have been identified in Annex 1 to the Cooperation Specific Programme: low-income, lower-middle-income, or upper-middle-income (

33 Eligible countries Member States (MS) of the EU-27. Associated countries (AC):Turkey (01/06/2007), Iceland (2003), Liechtenstein (2003), Norway (2003), Israel, Switzerland (25/06/2007), Croatia (13/06/2007), Former Republic of Macedonia (13/06/2007), Serbia (13/06/2007), as well as Albania and Montenegro (01/01/2008). Third countries = International Cooperation Partner Countries (ICPC) including Bosnia and Herzegovina. NET4SOCIETY 28 th -29 th of January 2009

34 ICPC list The International Cooperation Partner Countries are defined as the countries that are classified as low or middle-income third countries. The ICPC countries are listed in Annex 1 to the Workprogramme. In short, they are: all the countries in the rest of Europe the developing countries overseas NET4SOCIETY 28 th -29 th of January 2009

35 Financing for non-icpcs Organisations from third countries which are not on the ICPC list (i.e. the high-income countries overseas) can in exceptional circumstances be funded : if essential for carrying out the action if provided for in the Specific Programme decision or in the Workprogramme if provision for funding is provided for in a bilateral agreement between the European Union and that country

36 Minimum conditions 3 independent legal entities from three different Member States or Associated countries Organisations* - Entities established under Community law shall be deemed to be established in a MS or AC other than any MS or AC in which another participant in the same action is established *International Organisation, the majority of whose members are Member States or Associated countries, and whose principal objective is to promote S&T cooperation in Europe

37 Indipendence? Two legal entities shall be regarded as independent of each other where neither is under the direct or indirect control of the other or under the same direct or indirect control as the other Control is defined as: (a) the direct or indirect holding of more than 50 % of the nominal value of the issued share capital in the legal entity concerned, or of a majority of the voting rights of the shareholders or associates of that entity; (b) the direct or indirect holding, in fact or in law, of decision making powers in the legal entity concerned. However, the following relationships between legal entities shall not in themselves be deemed to constitute controlling relationships: (a) the same public investment corporation, institutional investor or venture-capital company has a direct or indirect holding of more than 50 % of the nominal value of the issued share capital or a majority of voting rights of the shareholders or associates; (b) the legal entities concerned are owned or supervised by the same public body.

38 Minimum conditions: exceptions Frontier research projects (IDEAS Programme) CSA - Supporting type Actions in favour of training and career development of researchers (PEOPLE Programme) at least 1 legal entity established in a Member State or in an Associated Country

39 Minimum conditions: exceptions (2) INTERNATIONAL COOPERATION SICA PROJECTS [Specific International Cooperation Actions] at least 4 participants of which 2 from 2 different MS/AC and 2 from 2 different ICPC countries Legal Entities established in THIRD COUNTRY and INTERNATIONAL ORGANIZATIONS may participate after minimum conditions have been met

40 Minimum conditions: exceptions (3) Where minimum conditions are satisfied by a number of legal entities, which together form one legal entity (e.g. EEIG-European Economic Interest Group), the latter may be the sole participant, provided that it is established in a Member State or Associated country.

41 PROCEDURES

42 What s a funding scheme? The funding schemes structure the way projects are submitted in response to a call for proposals and funded within a grant agreement. The funding schemes may stipulate inter alia the: types of activities supported nature and number of eligible participants mode of partnerships provisions for the use and ownership of the research results NET4SOCIETY 28 th -29 th of January 2009

43 Funding schemes Collaborative projects Support for research projects carried out by consortia with participants from different countries, aiming at developing new knowledge, new technology, products, demonstration activities or common resources for research. The size, scope and internal organisation of projects can vary from field to field and from topic to topic. Range: from small or medium-scale focused research actions to large-scale integrating projects for achieving a defined objective. Projects should also target special groups such as SMEs and other smaller actors (CSOs Civil Society Organizations) Network of Excellence Support for a Joint Programme of Activities implemented by a number of research organisations integrating their activities in a given field, carried out by research teams in the framework of longer term cooperation Coordination and support actions Support for activities aimed at coordinating or supporting research activities and policies (networking, exchanges, trans-national access to research infrastructures, studies, conferences, etc.) Research for the benefit of specific groups (SMEs or CSOs) Support for research projects where the bulk of the research and technological development is carried out by universities, research centres or other legal entities, for the benefit of specific groups, in particular SMEs, associations of SMEs or Civil Society Organizations.

44 Funding schemes Specific programes Collaborative Projects CP Cooperation Capacities Network of Excellence NoE Cooperation Capacities Coordination and Support Action CSA Cooperation People Ideas Capacities

45 Submission CALLS FOR PROPOSALS except for: Coordination and Support actions to be carried out by legal entities identified in the Specific Programme/Work Programme Coordination and Support actions consisting of a purchase of goods or services (Call for Tenders) Coordination and support actions relating to the Appointment of indipendent experts (

46 Evaluation and selection EVALUATION CRITERIA established by EC FP7 Rules for Participation according to the Specific Programme COOPERATION and CAPACITIES PEOPLE IDEAS Evaluation criteria ~ Cooperation & Capacities Excellence is the sole criterion of evaluation

47 Grant agreement The Commission has established, in close cooperation with Member States, 3 Model Grant Agreements: General model grant agreement (including specific provisions for SMEs, Infrastructures and ERA-NET+) establishing participants rights and obligations towards the EU (including submission of reports, termination, etc ) identifying whether and which part of EC financial contribution is based on reimbursement of eligible costs, lump sums or flat rates Specific model grant agreement for ERC actions Specific model grant agreement for Marie-Curie actions

48 Consortium Agreement Mandatory, save where otherwise provided in the call for proposals To govern inter alia the following: - the internal organisation of the consortium - the distribution of Community financial contribution - rules on dissemination, use and access rights (intellectual property management) - the settlement of internal disputes (including cases of abuse of power) - liability, indeminification and confidentiality arrangements between the participants CONSORTIUM AGREEMENT MODELS: 1. IPCA: 2. DESCA: Not official, not drafted by the Commission Contractors may use them as examples and adjust them to their specific wishes and needs

49 Thank you for your attention! Martina Desole

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