European Commission Research Directorate General Human Resources and Mobility MARIE CURIE CHAIRS (EXC) Handbook

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1 European Commission Research Directorate General Human Resources and Mobility MARIE CURIE CHAIRS (EXC) Handbook 2 nd Edition October 2003

2 This handbook explains the principles of to be funded under the EU s Sixth Framework Programme. Similar documents are available for the other Marie Curie Actions namely: Marie Curie Research Training Networks (RTN) Marie Curie Host Fellowships for Early Stage Training (EST) Marie Curie Host Fellowships for the Transfer of Knowledge (ToK) Marie Curie Conferences and Training Courses (SCF/LCF) Marie Curie Intra-European Fellowships (EIF) Marie Curie Outgoing International Fellowships (OIF) Marie Curie Incoming International Fellowships (IIF) Marie Curie Excellence Grants (EXT) Marie Curie Excellence Awards (EXA) Marie Curie European Reintegration Grants (ERG) Marie Curie International Reintegration Grants (IRG) They are available on our web-site: Comments are welcome may be sent by to: rtd-mariecurie-actions@cec.eu.int Legal notice This guide aims to make the rules concerning Marie Curie actions transparent and easy to understand, thus it serves for information purposes only and has no legal value. It is based upon a number of legal texts, in particular the Work Programme and Rules for Participation listed in Annex V of this document. Only those texts having a legal status can be referred to for the purpose of any legal or administrative proceedings.

3 THE ESSENTIALS What are they? A Marie Curie Chair is a high-level appointment for a world-class researcher of any nationality who wishes to take up a teaching/research position at a host institution in a Member State or Associated State, thereby undertaking a transnational mobility. Who can apply? A proposal is submitted by the candidate for the Chair together with the host institution. The Host must be a single legal entity located in an EU or Associated State, which is active in research, such as higher education institutions, industrial/commercial firms, SMEs and research organisations. Which research topics are supported? Proposals from all areas of scientific and technological research of interest to the European Community are welcome and there are no pre-defined priority areas. What is the profile of a Chair holder? Prospective Chair holders will typically have achieved scientific excellence in previous research. They should have the quality to inspire their trainees. Furthermore they need to have experience with managing research and supervising thesis work What are the main activities of a Chair? The Chair holder will spend at least half of his/her assignment teaching and training early-stage researchers (PhD students). The rest of the time will be devoted to research. How can the funding be used? The EC funding includes components for the Chair holder and components for the Host. It pays for the monthly living allowance of the Chair holder, travel and mobility expenses as well as a portion of the research cost, management, overheads, and equipment in specific cases. When can I apply? A call for proposals was published on 17 December There are two deadlines by which proposals must arrive at the Commission; These are the 20 th May 2003 and 21 st January 2004, (both at 17:00 Brussels local time). An additional call is expected with deadlines in 2005 and How do I apply? Firstly, after reading this document download an InfoPack that provides the material you need to prepare a proposal. Secondly, you should consult the legal documents, in particular, the Work Programme upon which this handbook is based (references can be found in annex V of this document).

4 Contents FOREWORD INTRODUCTION PURPOSE OF THE MARIE CURIE CHAIR HOW DOES IT WORK? WHAT IS A CHAIR EXPECTED TO DO? INTRODUCTION THE RESEARCH TOPIC TYPICAL ACTIVITIES OF THE CHAIR DURATION OF THE PROJECT AND SYNERGIES WHICH RESEARCH ORGANISATIONS CAN TAKE PART? HOW ARE PARTICIPANTS DEFINED? WHAT TYPE OF RESEARCH ORGANISATIONS CAN TAKE PART? WHERE CAN A CHAIR BE LOCATED? HOW MUCH FUNDING IS AVAILABLE? WHO CAN BECOME A CHAIR? INTRODUCTION THE PROFILE OF THE CHAIR HOLDER CONDITIONS FOR APPOINTMENT GENDER ISSUES FINDING YOUR WAY THROUGH THE CONDITIONS FOR APPOINTMENT HOW IS THE CHAIR FINANCED? BASIC DO S AND DON TS COMMUNITY CONTRIBUTION & RATES WHAT TYPES OF EXPENSES ARE COVERED? HOW IS THE EC CONTRIBUTION DETERMINED? KEY ELEMENTS OF THE FUNDING REQUEST SUBMISSION & EVALUATION OF PROPOSALS SUBMISSION OF PROPOSALS EVALUATION OF PROPOSALS NEGOTIATIONS & CONTRACTS THE NEGOTIATION PHASE THE CONTRACT PHASE IMPLEMENTATION OF THE PROJECT PERIODIC REPORTING AND PAYMENTS FINAL REPORTING FOLLOW-UP AND MONITORING TASKS OF THE PROJECT OFFICER CONTINUOUS ASSESSMENT AUDITS WHERE TO OBTAIN FURTHER HELP ANNEX I: DEFINITIONS OF THE ALLOWANCES ANNEX II: CORRECTION COEFFICIENTS ANNEX III: CONSOLIDATED TABLES OF THE BASIC MONTHLY LIVING ALLOWANCE ANNEX IV: THE PAN-EUROPEAN RESEARCHER S MOBILITY PORTAL ANNEX V: BIBLIOGRAPHY ANNEX VI: FREQUENTLY ASKED QUESTIONS (FAQS)... 46

5 Foreword This document has been updated since the first version was published in March The main changes are: Due to the revision of the HRM Work Programme in July 2003, there are changes to the living and mobility allowances along with some of the country correction coefficients. Chapter 5 and Annex I-III have been revised accordingly. Since the first version of this document, a number of other documents have been published including the Evaluation Manual, and the Marie Curie model contracts. References to these have been added. Finally, based on the experience gained from the first deadline additional explanations have been included in this version to guide proposers when putting together their funding request. 5

6 1. Introduction To help develop the European Research Area (ERA), the Commission has launched the Sixth Framework Programme for Research and Technological Development (FP6). This programme will run from 2003 to 2006 and is the financial tool with which the Commission can put research policy into practice and also provide the necessary financial support for scientific and technological development projects. Within this programme, the Human Resources and Mobility (HRM) activity has a budget of 1.58 billion Euro and consists of a coherent set of actions that finance training and other career development opportunities for researchers. These are known as Marie Curie actions and aim at the development and transfer of research competencies, the consolidation and widening of researchers' career prospects, and the promotion of excellence in European research. It is the purpose of this document to explain one out of the 11 different actions within the HRM activity, the. The information is essentially based upon the relevant legal texts, in particular the Work Programme. Text that has been directly extracted from the Work Programme is shown in boxes to aid the reader. 1.1 Purpose of the Marie Curie Chair Marie Curie Chairs are one out of three new actions devoted to the promotion and recognition of scientific excellence. Like the Marie Curie Excellence Grants and Marie Curie Excellence Awards, the Marie Curie Chairs were created to increase the visibility and attractiveness of European research: These actions focus on the promotion and recognition of excellence in European Research, thereby increasing its visibility and attractiveness. They aim at promoting European research teams, especially in new and/or emerging areas of research, and at highlighting personal achievements of European researchers, with a view to supporting their further development and international recognition, while also promoting the diffusion of their work for the benefit of the scientific community. Work Programme, section 2.2 The specific objectives of Marie Curie Chairs are the following: These [Chairs] will be awarded for the purpose of making top-level appointments, in particular to attract world-class researchers and encourage them to resume their careers in Europe. Work Programme, section The Chairs are a mechanism to highlight personal achievements of world-class researchers by offering them top-level appointments in Europe, with a view to supporting their future career development and international recognition. Like the other excellence actions, the Marie Curie Chairs will promote the dissemination of research results for the benefit of the scientific community. In order to achieve this aim, the Chair holder will have the opportunity to teach post-graduate classes, supervise PhD theses as well as lecture to a larger public, in connection with his/her research at the host institution. 6

7 1.2 How does it work? This section explains the life cycle of a Chair in five stages. Please also refer to the flow chart on the following page. Stage 1: Proposal Preparation The prospective Chair holder and the Host institution at which the Chair will be located jointly prepare a proposal with focus on research and training activities. The proposal must be received by the Commission before the deadline given in the call for proposals. It is appropriate at this stage for the Chair holder and the Host to consider the agreement they will need to conclude in case of funding. Stage 2: Proposal Evaluation Once the proposals are received, a series of checks will be performed to ensure that technical eligibility criteria such as completeness and reception by the deadline are fulfilled. The Commission will then arrange for the proposal to be evaluated by individual experts who will assess it against a number of predefined evaluation criteria. Each proposer will receive a report describing the consensus opinion reached by the independent experts. Stage 3: Negotiation and Selection Taking into account the opinions of the experts and the available funding, the Commission will rank the proposals. For those proposals that are retained an invitation to enter into contract negotiations with the Commission will be issued. The purpose of this process is to collect all the necessary financial and technical information, in order to prepare a contract. In addition, the scientific and training programme will be defined in terms of contractual deliverables, and the maximum financial contribution from the Community will be finalised. Comments from the experts that arose during the evaluation will be taken into account at this stage. Stage 4: Project Preparation Assuming a successful outcome of the negotiations, a draft contract will be prepared by the Commission and sent to the Host organisation for signature. An initial pre-financing will be provided once both the Host organisation and the Commission have signed the contract. The contract requires the Host to conclude a written agreement with the Chair holder. This agreement will determine, in accordance with the contract, the conditions for implementing the teaching & research programme and the respective rights and obligations of the Chair holder and the Host. It should be sent to the Commission when signed. Stage 5: Start of Work The project begins with the appointment of the Chair holder. During the course of the project, the Commission will monitor the development of the activities of the Chair on the basis of annual reports and possibly a mid-term review meeting, depending on the length of the contractual period. Payments are made according to the progress made by the Chair, as compared to the project deliverables set out in the contract. The final payment is released upon acceptance of the final report. 7

8 LIFE CYCLE OF A MARIE CURIE CHAIR 8

9 2. What is a Chair expected to do? 2.1 Introduction The main tasks of the Chair holder are to teach and to carry out research: The chair holder will give lectures and teach research courses to students at graduate and/or postgraduate levels, as well as carry out research and supervise research and thesis work, in subjects of relevance to Europe. 2.2 The Research Topic Work Programme, section Subject to the following specifications, the Chair holder and the Host will freely chose the topic(s) of the teaching and research activities, in order for the Chair holder to impart, complement and/or diversify his/her expertise: The subject(s) to be taught should be of a leading edge and/or multidisciplinary nature, and correspond to directions in research, which are relevant for Europe. Work Programme, section Like all other Marie Curie actions, Marie Curie Chairs are guided by the so-called bottomup principle i.e. all fields of science and technology of interest to the European Community (i.e. within the scope of the EC Treaty) are eligible for funding: Freedom is given to the proposers as to the choice of field of research for their projects. The Marie Curie actions will therefore be open to all fields of research, which contribute to the objectives of the Community as defined in Article 163 of the EC Treaty, for projects chosen freely by the applicants themselves. Great initiative is left to the proposers within the objectives of the programme and within general guide-lines (including maximum expenditure) concerning the details permitting a better realisation of the objectives. Work Programme, section Note that fields of research within the EURATOM programme may not be eligible for funding. However, this does not exclude fundamental research in the field of nuclear physics. Fields of research with military applications may also be ineligible. Furthermore, projects with ethical implications (e.g. human cloning, some specific aspects of human embryo research, animal welfare etc.) will be subject to ethical review and may not be eligible for funding. For more information, please consult the following web pages: 9

10 2.3 Typical activities of the Chair The volume of the assignment and the main activities of the Chair are specified as follows: The post should be full-time or comprise a minimum of 70% of a full-time position over the course of one academic year, of which at least half should be spent on teaching, supervising research and thesis work. Work Programme, section The Chair holder should be given the necessary support and autonomy to carry out the project in question. It should be noted in this context, that the Chair holder could request a change of Host organisation if this is felt to be necessary for the further development of the project: The European Commission may authorise, in duly motivated and exceptional circumstances, a change of contractor on the request of the chair holder if necessary to ensure further development of the project Training activities Work Programme, section As part of their training activities, the Chair holders will give lectures and teach research courses to students at graduate and/or postgraduate levels. Chair holders may wish to carry out their training activities: on the basis of latest research results taking a multi-disciplinary approach; using innovative teaching methods and new technologies (e-learning) to benefit students from a wider range of European institutions and possibly a larger public. The Chair holder may also wish to: conduct special training events to disseminate research results; develop courses that are recognised across Europe; promote the development of quality assurance mechanisms for training measures. Furthermore, the Chair holder will supervise research and thesis work, in subjects relevant to Europe. The Chair holder may wish to develop activities along the following lines: 10 One-to-one mentor supervision, tutorials and courses; Training-through-research using special equipment; International summer schools (possible synergies with Marie Curie Conferences and Training Courses). Additional advice to PhD students for the development and implementation of personal career development plans.

11 2.3.2 Research activities Besides the training activities, the Work Programme specifies that the Chair holder will carry out research according to a specified work plan. This work plan may include collaborative research as well as dissemination activities such as publications, conferences, workshops, and web-based activities aiming at propagating the knowledge and technology produced Publicity and dissemination activities In addition, the Chair holder may be expected to participate in events designed to publicise top level research and to demonstrate the attractiveness of research careers as well as to show the impact of research on society. Activities of the Chair holder in this area may include: Work Programme, section Presence at high-level scientific events as well as public debates making full use of the media; Highlighting the activities of the Chair holder by offering access to an interactive web site. 2.4 Duration of the Project and Synergies The typical duration of a Marie Curie Chair is defined in the Work Programme as follows: The Chairs can be funded for a period of normally three years but shorter periods (not less than one year) may be accepted. Work Programme, section , In order to achieve a greater prospect of career continuity for the researchers involved, synergies will be sought with other actions both outside and within the HRM Activity: Synergies will be sought with host organisations and comparable initiatives of the Member States, Associated States and research organisations at European level. Work Programme, section The precise form of co-operation with other initiatives at the level of Member States, Associated States and European organisations has yet to be defined. However, the intention is clearly to obtain an effect of complementarity between the Marie Curie Excellence Grants and other comparable initiatives. Such complementarity could be reached e.g. with each organisation financing a separate but adjacent period in the career of the Chair holder, in a co-ordinated way. 11

12 This scheme may be developed in synergy with the host-driven actions. Examples of possible synergies: Work Programme, section A member institution of a Marie Curie Research Training Network may wish to create a new Marie Curie Chair. The new Chair holder could be a world-class European researcher currently working in the USA who wishes to continue his/her research at a European host institution and complement his research by taking up a teaching assignment including the supervision of PhD students. In this case, the Chair would not only benefit the host institution itself but also the other members of the Research Training Network. A Marie Curie Early Stage Training Site is establishing a new European doctoral studies programme together with three other European partners. In order to strengthen the training profile of the participating institutions, one of the Marie Curie Early Stage Training Sites decides to establish a Marie Curie Chair. The Chair holder will enrich the European PhD programme by contributing his/her excellence in research and teaching of PhD students. An organiser decides to establish a series of Marie Curie Conferences. In order to give the conferences a high profile and to increase the visibility of the events, the organiser decides to invite a Marie Curie Chair as the keynote speaker. An institution receives some basic funding from its government to invite a visiting professor. Because the institution is committed to strengthening the European Research Area, the institution decides to put in a proposal for complementary funding to create a Marie Curie Chair. In this context it should be stressed that in no case can expenses be funded twice. 12

13 3. Which research organisations can take part? 3.1. How are participants defined? Participants are defined in this context as the research organisations hosting the Chairs known as the Host organisations. If selected for funding, the Host organisation will be signing a contract with the Commission: As a general rule, the participants of the Marie Curie actions are organisations active in research or research training (universities, national or international research centres or commercial enterprises, etc) implementing Marie Curie actions and signing contracts with the Commission. Work Programme, section In the case of Marie Curie Chairs, the relevant rules stipulate one such Host organisation per project What type of research organisations can take part? According to the Work Programme, different types of organisations can take part in Marie Curie Chairs, such as universities, research centres and commercial enterprises. However, while participation is open to Host organisations from all sectors, the activities of the Chair are such that close cooperation with a recognised PhD degree awarding higher education institution will be essential. Please see section 2.3 on Typical Activities of the Chair for further reference Where can a Chair be located? The Chair needs to be located at an institution established in a Member State or an Associated State. The rules of this action specifically exclude the participation of legal entities established in Third countries and of International Organisations (e.g. WHO, UNESCO, etc). The participation and financing of third country legal entities and of international organisations is not possible Work Programme However, a special condition allows the participation of International European Interest Organisations (IEIOs) independently of their location. 13

14 These organisations are defined in the Rules for Participation as follows: "international European interest organisation" means an international organisation, the majority of whose members are European Community Member States or associated States, and whose principal objective is to promote European scientific and technological cooperation; Rules for Participation, Article 2 (12) An overview of the Member States and Associated States applicable at the time of writing (October 2003) is provided in the table below: Member States Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, The Netherlands, Portugal, Spain, Sweden, United Kingdom Associated States Candidate Countries Other Associated States Bulgaria, Cyprus, Czech Iceland, Israel, Republic, Estonia, Hungary, Liechtenstein, Norway, Latvia, Lithuania, Malta, Switzerland* Poland, Romania, Slovakia, Slovenia and Turkey. * Switzerland will be associated to FP6 from January 2004 onwards. The Associated States have signed an agreement with the Community, which entitles them to the same treatment in FP6 as the Member States. Thus research organisations in these countries are eligible for Community funding under FP6. The current status of the association agreements can be found under the following: How much funding is available? The size of the project will depend on the nature and scope of the activities to be undertaken by the Chair. As an indication, the level of funding for each project is expected to be between 450,000 and 750,

15 4. Who can become a Chair? 4.1 Introduction The Chair holder will not be a contractor with the Commission, but he/she will be a beneficiary of the contract between the Commission and the Host: Eligible researchers under these schemes are third party beneficiaries of the Marie Curie actions. They do not sign a contract with the Commission, but benefit from the Marie Curie actions and are therefore in this way beneficiaries of Community funds. Work Programme, section The general definition of a researcher given in the Work Programme reads as follows: As a general rule, a researcher is defined as a person active in research, including at a training level, of at least post-graduate or equivalent level. Work Programme, section The Profile of the Chair holder The Marie Curie Chairs are conceived to benefit high-level independent researchers. Amongst other aims, the action intends to reverse the brain drain effect by creating an opportunity for world-class European researchers to return to Europe (including to their home country) to carry out research and to teach research to post-graduate students. The profile of the researcher applying for a Chair will need to reflect the qualifications necessary to carry out the activities described in Chapter 2 of this document. Chair holders will typically have achieved scientific excellence in previous research. As teachers they will have the quality to inspire their trainees as well as scientifically literate audiences outside academia. The Chair holder will furthermore need to be a person who has experience with managing research and supervising thesis work. 4.3 Conditions for appointment Certain conditions determine the appointment of a Marie Curie Chair holder and they relate to: The level of research experience; The nationality of the researcher; The mobility requirement. The reference deadline for eligibility is the relevant deadline for submission of proposals. The eligibility criteria will be checked based on the information given by the applicant in the proposal. If at a later stage, an eligibility criterion is found not to be fulfilled (for example due to incorrect or misleading information contained in the 15

16 proposal), this will instantly lead to the rejection of the proposal Level of research experience: The eligibility of a Marie Curie Chair holder is not defined in terms of a precise number of years of experience in research, but rather on the basis of the level of excellence reached by the researcher: The Chair holder shall be a world-class researcher of any nationality, with outstanding past achievements in international collaborative research wishing to carry out a transnational mobility or come back to a Member State, or Associated State. Work Programme, section Nationality The Chair holder should in principle be a national of a state other than that of the host organisation. Researchers must be nationals of a State other than that of the host organisation. Work Programme, section There are however exceptions to this principle (see the special conditions described below). Special Conditions for holders of Multiple Nationalities For researchers with multiple nationalities the following rule applies : In the case of a national holding more than one nationality, he/she will be able to carry out a period of mobility in the country of his /her nationality in which he/she has not resided during the previous 5 years. Short stays such as holidays are not taken into account. Work Programme section EXAMPLE: A Dutch /French national who has been residing in The Netherlands since January 1 st 1998 may apply for a Marie Curie Chair in France in

17 «Assimilated nationality» for Nationals of Third countries A special rule applies to researchers who are nationals of countries other than the Member States and Associated States. If such a researcher has had his/her legal residence and main activity inside the Member States and Associated States for more than four out of the last five years prior to the appointment, he/she will be treated as a national of the country in which he/she has resided and been active for the longest period : For the purpose of the Marie Curie actions, non-nationals from Member States or Associated States having legally resided and having had their main activity (work, studies etc) for at least four of the last five years at the start of their fellowship in Member States/Associated States are treated as nationals of the Member/ State in which they have resided the longest. Work Programme section EXAMPLE : An Australian researcher who has been residing and working for the past 8 months in Italy and immediately before that was residing and working for 3 ½ years in Germany would be treated as a national of Germany ( her «assimilated nationality»), and she would thus be ineligible for a Chair in Germany. However, since her stay in Italy does not exceed 12 months of the last three years she would be eligible for a Chair there Mobility requirement: World-class researchers from any country in the world may apply for a Marie Curie Chair, as long as they fulfil the following mobility requirement: At the start of their fellowship/ activity, researchers may not have resided or carried out their main activity (work, studies, etc) in the country of their host organisation for more than 12 months in the three years immediately prior to the start date. Short stays such as holidays are not taken into account. Work Programme, section EXAMPLE: A Greek physicist from Patras has long-standing excellent working relations with a worldclass research group in the UK and experience from managing a large international collaborative project in particle physics phenomenology. When the UK institution decides to create a new Marie Curie Chair in the field, which would involve both leading this particular research group and teaching degree courses, they immediately think of her as the ideal person for this special appointment. The Greek researcher is excited about the prospect of a career move. Since she is neither a UK national nor has she lived or worked in the UK, she is eligible for a Marie Curie Chair. 17

18 Special Conditions for stays in International European Interest Organisations: In the case of International European Interest Organisations (e.g. CERN, ILL, EMBL, ESO etc), the normal mobility rules described above do not apply since such organisations cannot be associated with any one country: These mobility rules do not apply to the hosting of eligible researchers by international European interest organisations or international organisations. Eligible researchers may carry out their project in any eligible international organisation.. Work Programme section EXAMPLE: A German researcher who has lived and studied in Germany is eligible to apply for a Marie Curie Chair at the European Molecular Biology Laboratory (EMBL) in Heidelberg, Germany. S/he will not, however, be eligible for a mobility allowance. Special conditions after long stays in a Third country An additional rule applies for researchers from Member States and Associated States, which allows them to return to their country of origin. This is possible if they have had their legal residence and principal activity in a Third country for at least four of the last five years prior to starting the Marie Curie Chair. Researchers from Member States or Associated States can, according to the nature of the action, carry out their transnational mobility in all other Member States and all other Associated States. These researchers will be considered as being eligible to benefit from training or mobility action, including in their country of origin, if they can provide evidence that they have legally resided and have had their principal activity (work, studies, etc.) in a third country for at least four of the last five years immediately prior to the start date. Work Programme, section EXAMPLE: A Hungarian researcher has been working for a biotech company in Cambridge, Massachusetts, USA for the past five years when she is invited to take a teaching position back home in Hungary. She has been a success in research and would like to go back into teaching and working with young researchers because she feels she can make a difference. The Hungarian host, a higher education institution, offers her ideal framework conditions. When it becomes clear that the EC will grant funding for the project, she decides to move with her husband and child to begin a new career as a Marie Curie Chair in Europe. Since she has had her legal residence and been working in a Third country for the past five years she is eligible for a Marie Curie Chair in her country of origin. 18

19 Requirement for institutional mobility It should be noted in this context that the General Conditions of the contract stipulate a requirement for institutional mobility of the researchers involved in order for their personnel expenses to be eligible for financing: Direct costs for personnel linked to the activities, where applicable, of a chairholder, a team leader or a team member will be considered as eligible if they are additional to those associated with their normal activities. Their activities will be considered as additional if they are carried out within the framework of the project at the premises of a legal entity other than the one in which they carry out their normal activities, or if they have been recruited by this legal entity for less than one year from the date of the relevant deadline of the proposal. ANNEX II HRM Monocontractor General Conditions, II.18 Direct costs 5. For Marie Curie Chairs this means that a Chair holder cannot carry out the project at the legal entity where (s)he has been working for more than the last 12 months prior to the the deadline for submission of proposals. It should be stressed that this condition also applies to projects carried out in International European Interest Organisations. 4.4 Gender issues As pointed out in the introduction to the Work Programme, the participation of women in the Marie Curie actions is particularly encouraged: This work programme attempts, where possible, to reinforce and increase the place and role of women in science and research, both from the perspective of equal opportunities and gender relevance of the topics covered. Work Programme, Introduction There is no quota applicable for women researchers who apply for Marie Curie Chairs but a higher participation of women in research is a stated Community policy, and a relevant consideration under the evaluation criterion Added Value to the Community. 4.5 Finding your way through the conditions for appointment To make it easier for you to determine if you qualify for a Marie Curie Chair, you may wish to refer to the flow chart on the following page. Please note that this chart is indicative only and one is always advised to check the text of the Work Programme. 19

20 INDICATIVE CONDITIONS FOR MARIE CURIE CHAIRS In the following flow chart, the conditions are described under which a Chair holder can be appointed. 20

21 5. How is the Chair financed? 5.1 Basic do s and don ts At the beginning of the contract, an initial payment will be made by the Commission services to the Host to enable the Chair holder to begin work. The Host will be required to regularly report on the expenses that have been incurred. Some basic conditions apply regarding the charging of those expenses to the contract: they must be actual, economic and necessary for the implementation of the indirect action; [i.e. the project] they must be determined in accordance with the usual accounting principles of each participant; they must be recorded in the accounts of the participants or, in the case of resources of third parties in the corresponding financial documents of those third parties; they shall be exclusive of indirect taxes, duties and interest and may not give rise to profit. Rules for Participation, Article Community contribution & rates The conditions for funding the activities undertaken by the Chair holder and the Host in order to attain the project deliverables are defined in the Work Programme, section (see the table shown on the following page): 21

22 Marie Curie Actions Marie Curie Chairs Eligible expenses for the activities carried out by the researchers 2 - A - Transnational mobility - D - - E Monthly living allowance 3 Application of the Marie Curie reference rates (cf. point 2-8) - B - 4 -C - 5 Travel Mobility Allowances x Career exploratory allowance 6 Eligible expenses 1 Contribution to the participation expenses of eligible researchers Eligible expenses for the activities carried out by the host organisations - F - - G - - H - - I - Other types of eligible Contribution expenses / specific to overheads conditions Contribution to the research/ training /transfer of knowledge programme expenses Management activities (including audit certification) x - - Real expenses Maximum 3 % of the Community contribution 10 % of additional direct costs (except subcontracting) Possibly equipment expenses if : - necessary for the project - duly justified on basis of real costs - and with prior agreement of the Commission (partial depreciation, or total if indispensable, if justified by the use of the goods and if final destination of goods is determined) 1 The following activities are considered necessary by their nature to achieve to objectives of each of the Marie Curie actions and can be the subject of Community funding within the conditions foreseen. These conditions are indicated in general terms in footnotes at the bottom of the pages. Special cases or exceptions applicable for each action are indicated directly in this table. 2 The expenses A, B, C and D are for the benefit of the eligible researchers. The expenses E are expenses for the training activities carried out by the researchers. 3 Allowance for fellows/month based on reference rates as mentioned in table 1 point Travel allowance / fellow / based on the direct distance (as the crow flies) between the place of origin and the host institution of the researcher, calculated on the basis of one payment up to a maximum of 12 month period 5 Mobility allowance / month: fixed amount (relocation, family charges, language courses): 800 to cover supplementary expenses linked to the family situation of the researcher at the time of the recruitment (marriage or equivalent status recognised by national legislation, and/or charge of children) ; 500 for a researcher without family charges at the time of recruitment. To these amounts a correction factor for the cost of living of the country of execution of the project is applied. This allocation will only be due for researchers doing a transnational mobility /fellow: only for fellows selected for stays of at least one year. 21

23 5.3 What types of expenses are covered? According to the Work Programme, the eligible expenses that can be charged to the contract may be broadly divided into: Expenses related to the Chair holder; Expenses related to the activities of the Host organisation. These types of expenses are explained in more detail below Expenses related to the Chair holder A: Monthly Living Allowance this refers to the basic amount to be paid each month to the Chair holder according to his/her level of experience (see table in annex I (a)). This is then adjusted, applying a correction factor which reflects the cost of living in the country of the Host (see annex II & III). The living allowance for researchers recruited under an employment contract is a gross Community contribution to the salary costs. Consequently, the net salary results from deducting all compulsory social security contributions as well as direct taxes (e.g. income tax) from the gross amount. It should be stressed that the appointment of a Chair holder should take place under an employment contract, unless the use of a stipend can be duly justified. Host organisations may pay the Chair holder a top up in order to complement the Community contribution. B: Travel Allowance this refers to an allowance to cover the costs for the Chair holder of travelling between his/her place of origin and the location of the host institution. The allowance is based upon the direct distance between the two locations (see annex I (b)) and the researcher is entitled to one such allowance per each 12 months period begun. C: Mobility Allowance this refers to a monthly payment that helps to compensate the Chair holder for the additional expenses that are normally incurred when working abroad (e.g. relocation, family charges, language courses, renting accommodation etc.) There are two reference amounts depending on the family situation of the Chair holder at the time of submission of the proposal: 800 /month: Chair holder with family charges (marriage or equivalent status recognised by national legislation of the host country, and/or charge of children.). 500 /month: Chair holder without family charges. The mobility allowance is adjusted by the same correction coefficient as the living allowance (see annex II), i.e. according to the country in which the researcher is appointed. The travel and mobility allowances (B & C) are only paid in those cases where the Chair holder has undertaken a physical transnational mobility 7 within less than 12 months before the relevant deadline for submission of the proposal. 7 Transnational mobility means moving from the country where one legally resides and works to another country. 22

24 5.3.2 Expenses related to the activities of the Host organisation F: Contribution to the research/training expenses this refers to the real expenses associated with the research and training activities of the Chair (e.g. consumables, maintenance of the Chair s website, exchange of materials, providing research facilities etc.). This is based upon actual expenses incurred by the Host institution. G: Management activities (including audit certification) this refers to a maximum of 3% of the total Community contribution that will be paid towards the management of the project and the expenses related to the auditing of the financial reports of the Chair. It will be based upon actual expenses (e.g. towards the salary of a person assisting with the management of the project, or a contract with an external independent auditor for audit certification). In the case of public or international organisations, this certification may be provided by a competent public official (i.e. Items A, B, C, F & I). H: Contribution to overheads this refers to a flat rate payment of 10% of the additional direct costs (excluding costs for subcontracts); I: Other types of eligible expenses: Equipment Expenses expenses related to the provision and use of equipment in the execution of the project can be charged to the contract provided that they are: - necessary for the project; - duly justified on the basis of real costs (depreciation is to be taken into account); and -provided that a prior approval of the Commission services has been obtained. Depreciation is normally partial (i.e. pro rata of the years of use on the life-time of the equipment). Exceptionally depreciation can be total, if the equipment is indispensable to the project, and total depreciation can be justified by the use of the equipment, and if the final destination of the equipment after the project is determined (e.g. to be scrapped or donated free of charge). 5.4 How is the EC contribution determined? Applicants are not required to calculate the estimated EC contribution. The Commission will calculate the EC contribution on the basis of the information provided in Part A of the Proposal Submission Forms. The allowances of the Chair holder will be fixed according to his/her personal circumstances (e.g. place of origin, family status, etc.), the agreed employment conditions, and the duration of the project. The contribution to the expenses related to activities of the Host organisation will be estimated on the basis of the information provided in particular in the A4 form of the proposal and will be subject to negotiation. If the proposal is selected by the Commission for funding, the EC contribution will be estimated more accurately during the negotiations taking into account any recommendations made by the independent evaluators. 23

25 The example below aims to help understand the way in which these calculations are made. In addition, to make it easier for potential applicants, annex III contains a table of basic monthly living allowances for Chair holders which takes into account the country specific correction factors (of annex II) for the EU Member and Associated States. (a) Expenses related to the Chair holder In order to estimate the budget, it is important to start with an estimate of the expenses related to the Chair holder. Referring to the table shown in annex I(a), the monthly living allowance is calculated according to the level of experience of the researcher and whether the recruitment will take place on the basis of an employment contract or a stipend. (see also section 7.2.2). Let us imagine the case of a Finnish researcher with more than 10 years of experience who takes a three-year appointment as Marie Curie Chair in Warsaw, Poland under an employment contract. The starting point for our simulation would therefore be the following: 3 years * 91,650 = 274,950 To this basic allowance, we need to add the monthly mobility allowance that takes into account the family status of the researcher as shown in annex I(c). Our Finnish researcher is returning to Europe from Tokyo, Japan with her husband and two daughters. 3 years * 91, months * 800 = 303,750 Now we need to take into account the correction coefficient according to the country in which our Chair holder will be appointed. These coefficients are listed in the table shown in Annex I and applied to both the monthly living allowance and mobility allowance. In our case of the Finnish researcher we are using the coefficient applying for Poland (88,7%): (3 years * 91, months * 800 ) * 88.7%= 269,426 Finally, to conclude the calculation of the allowances, the yearly travel allowance according to the table in annex I needs to be taken into account. In our case the Chair holder was recruited from Tokyo: (3 years * 91, months * 800 ) * 88.7% + 3 years * 2500 = 276,926 24

26 (b) Expenses related to the activities of the Host organisation The following is to demonstrate how the expenses associated with the activities of the Host are taken into account. We continue with the above example and assume that the cost for research and training activities would be budgeted as follows: Contribution to the research/training expenses = 3 years * 16,000 = 48,000 For the management of the project, a secretary with a full-time yearly salary cost of 6,000 works 20% of the time: Management Expenses = 6,000*0,20*3 = 3,600 Furthermore the expenses related to audit certificates would amount to a total of 6,000 For her project, the Chair holder needs new equipment costing 1,000,000 with an estimated useful life of 15 years. The contribution to equipment expenses would be calculated as follows: Equipment expenses = 1,000,000 * 3 years / 15 = 200,000 The total additional direct costs would be 276, , , ,000 = 534,526 The contribution to the overheads would be limited to 10% of the additional direct cost: (276, , , ,000 ) * 10/100 = 53,453 Please note that, with the exception of the overheads, all the expenses related to the activities of the host institutions are paid on the basis of the actual expenses incurred. The following is a summary of the expenses related to our Chair: Activity Estimated EC Contribution (Euros) Expenses for Chair holder 276,926 Research/training 48,000 Management and audit certificate related expenses (<=3%) 9,600 Equipment 200,000 Overhead expenses (10%) 53,453 TOTAL 587,979 25

27 5.5 Key elements of the funding request As stated above the Commission will estimate the EC contribution on the basis of the information provided in Part A of the Proposal Submission Forms. In order to guide you in the completion of the funding request (form A4) some of the key parameters in the calculation are detailed here below. Please refer also to the copy of the form A4 at the end of this section. Full-time person months In the form A4 of the proposal applicants are asked to indicate the number of person months requested per year. The full-time person months are used by the Commission to estimate the living and mobility allowance of the Chair holder. The requested person months for the Chair holder should be indicated in the first columns of the form. (Note that the subsequent columns are not used in this action). The applicable level of salary will be derived from the full-time post graduate research experience of the Chair holder as indicated in the form A3. Therefore, to ensure the accuracy of the Commission s estimation, the applicant should make certain that the number of months indicated in the A3 form really corresponds to his/her full-time post graduate research experience by the time of the deadline for submission of the proposal. In practice this means that if an applicant has been engaged in other professional activities than research in certain periods since his/her graduation, this time will not count as fulltime post graduate research experience. In a similar vein, any periods of part-time activity in research should be translated into full-time experience (e.g. 2 months half-time = 1 month full-time). ). The level of experience should should furthermore be supported in the part B of the proposal by a current CV which gives accurate dates (month and year) for each stage of the Chair holder s career. Stipend % The stipend factor is important for the estimation of the living allowance. Proposers are asked to indicate for each period of 12 months the share of the requested person months that will be paid on the basis of a stipend. As stipends should only be used exceptionally in this action most EXC proposals will have a yearly stipend % of 0 (which means that all researcher months in the period concerned are paid according to employment rates). However, by way of example it could be added that : if ¾ of the researcher months in a given period will be paid on the basis of stipends and the remaining ¼ on employment rates, the stipend % should be set to 75 ; if all of the researcher months in a given period are paid according to stipend rates, the stipend % should be set to 100 ; 26

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