Grant Preparation Forms (GPF) - overview

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1 Grant Preparation Forms (GPF) - overview A1 Project summary A2.1 Who we are: legal entity data A2.2 Who we are: type of organisation A2.3 Authorised representatives A2.4 How to contact us A2.5 Our commitment Coordinator All partners A2.6 Data protection & coordination role A3.1 What it costs - Budget per partner A3.2 What it costs - Overall budget A4 Bank account: details of coordinating institution A5 Reporting periods: Budget per reporting period Coordinator All partners Automatic Coordinator Coordinator LSSM-CT

2 NEF Negotiation facility Interactive Online-Tool (similar to EPSS) for the set-up and completion of the GPF LSSM-CT

3 Grant Preparation Forms (GPF) - procedure The Project Officer opens the negotiations by ing access key for the NEF to the coordinator Information from the proposal is already entered into the tool Coordinator is responsible for the completion of the GPF Partner can enter the data in their own forms themselves (but have to use the central login for that) Or partners send the information to the coordinator who enters them into the tool (safer option to make sure no data is lost) A separate login function for partners will hopefully be introduced soon The Project Officer checks the entries and asks Coordinator for corrections/updates The final version of the forms is signed by all participants (A2.5 form), the coordinator also signs the A4 and A2.6 forms LSSM-CT

4 Grant Preparation Forms (GPF) A1 LSSM-CT

5 GPF A2.1 Vertragsverhandlungen LSSM-CT

Legal aspects of participating in FP7 Projects are carried out on the basis of individual contracts ( Grant Agreements ) concluded between the European Commission and the partner institutions Partner

6 Legal aspects of participating in FP7 Projects are carried out on the basis of individual contracts ( Grant Agreements ) concluded between the European Commission and the partner institutions Partner institutions commit themselves by signing the GA! Grant Agreement Content: Content of the project Maximum funding provided by the EC Project duration EC rules for the implementation of the project (reporting on the progress and costs, dissemination of project results, liability, etc.) Schedule for EC payments Model Grant Agreement and Annexes available from CORDIS LSSM-CT

7 Legal aspects preparation of contracts Model Grant Agreement Concluded between Commission and Coordinator Beneficiaries accede to the Grant Agreement by signing Form A Only project-related parts of the Grant Agreement can be negotiated (e.g. start date) Consortium agreement Between the beneficiaries of a consortium Recommended for all projects, compulsory for many areas Signed usually before signature of the Grant Agreement or shortly afterwards (depending on Commission requirements) in general: the sooner, the better Consortium partners agree on individual provisions LSSM-CT

8 Model Grant Agreement - integral parts Core text Annex I Annex II Annex III Annex IV Annex V Annex VI Annex VII Key information (funding, duration, partners,..) Work plan of the project General Conditions (EC rules for all projects) Special conditions, per funding scheme Form A Accession of beneficiaries to the grant agreement Form B Request for accession of a new beneficiary to the grant agreement Form C Financial statement (declaration of costs) per funding scheme Form D Terms of reference for the certificate on the financial statements - report of the auditor (external or internal) on the certification of the costs (audit certificate) Form E - Terms of reference for the certificate on the methodology; LSSM-CT

9 Model Grant Agreement reference documentation Annex II General Conditions Contains detailed provisions relating to the implementation of projects (eligibility of costs, reporting, payment schedule) Answers many questions partners usually have during the implementation of a project! The Commission is also bound by the provisions Annex I Technical Annex Work programme of the project, which is developed on the basis of proposal part B during the contract negotiations The consortium commits itself to the contents and has to fulfil the described tasks accordingly (Deliverables) A well-structured and sound TA is the basis for a successful project implementation LSSM-CT

10 Model Grant Agreement accession form Partners have to accede to the Grant Agreement according to the following provisions: Make sure that only the mentioned signatories sign the Accession forms! Do not forget to stamp the three original forms LSSM-CT

11 Model Grant Agreement accession form LSSM-CT

12 Consortium agreement in FP7 Additional agreement which should regulate in more detail certain issues complementing the more general rules in the EC Grant Agreement The conclusion of a CA is compulsory for the majority of collaborative projects Legal basis: Grant Agreement (+ Annexes) Rules of participation CA must not contradict to the provisions of the Grant Agreement There is no mandatory model provided by the Commission, but only a checklist on The coordinator of a project is supposed to provide a draft agreement and to coordinate the negotiation and signature of the agreement LSSM-CT

13 Consortium agreement available models Different interest groups (industry, academia, research organisations) have developed several models: DESCA drawn up by Euroean academia, research organisations and interest groups of industry model used most often ( IPCA by ICT and Telecom industries (EICTA) EU-Car by the automotive industries IMG by the aerospace industries LSSM-CT

14 Consortium agreement contents LSSM-CT

15 Consortium agreement tips for partners Scientific project leaders should forward the consortium agreement drafts to their legal departments immediately But: also scientists should read the agreement! individual provisions may be acceptable from a legal point of view, but may potentially lead to organisational problems for the people actually working in the project Partners can and should propose rules and amendments for the draft text of the agreement according to their requirements LSSM-CT

16 Liability - general rules & guarantee fund In FP7 beneficiaries have only technical liability Financial liability - Guarantee fund: Commission retains certain amount for non-recoverable debts caused by beneficiaries Participant contribution of 5% is retained for ALL projects Upon completion of the projects the money is returned to the participants depending on the performance of all projects No more bank guarantee requests by the Commission! The interest generated from the guarantee fund is used to cover debts If the interest generated is not sufficient to cover the debts, 1% of the EC contribution from participants other than public bodies will be retained LSSM-CT

17 Liability guarantee fund 5% of funding retained is returned to all entities EC retains 5% of the EC contribution from all consortia Project complete Sufficient Interest generated Guarantee fund Cover defaulting partners Interest LSSM-CT

18 Liability guarantee fund EC retains 5% of the EC contribution from all consortia 5% of funding retained is returned to all public bodies 4% to companies Up to 1% is used to cover debts Project complete Insufficient interest generated Guarantee fund Interest Cover defaulting partners LSSM-CT

19 Reporting within FP7 Progress reports for each reporting period Overview of work progress (including milestones/results) Project summary suitable for publication Justification of resources Deliverables due according to Annex I To be submitted within 60 days after the end of the respective period (annually, 15- or 18-monthly) The Commission intends to evaluate reports within 3.5 months (but: no automatic acceptance of reports after the end of this period!) LSSM-CT

20 Project reports scientific activity report Report on progress of R&D activities at the end of each reporting period in the form of workpackage reports Report on management activities Comparison: planned in Annex I actually achieved Important results achieved Explanation on deviations from the workplan Report on past and future dissemination and exploitation activities (especially in the final report) LSSM-CT

21 Project reports - finances Information on costs according to cost categories (for management report of the coordinator) Official cost statement of each partner: Financial Statement -Form C (presents costs per activity), signed by scientist-in-charge and the finance department Audit certificate (if necessary) LSSM-CT

22 Financial reports practical advice Claimed costs in the financial statements should be coherent with the description of activities in the scientific report Travel costs claimed should correspond to travel activities described in the scientific report (i.e. project meetings, conferences,..). People working on the project should not only appear in financial statements, but be also mentioned in the activity report Costs for the acquisition of equipment and major consumable items should be clearly allocated to specific work packages and tasks in the activity report LSSM-CT

Payments cash flow Pre-financing: 45 days after the entry into force of the grant agreement, as soon as a certain number of partners have acceded to the agreement Amount should correspond to 160% of

23 Payments cash flow Pre-financing: 45 days after the entry into force of the grant agreement, as soon as a certain number of partners have acceded to the agreement Amount should correspond to 160% of the average EUfunding per reporting period, can also be discussed during contract negotiations Is fixed in Art. 6 of the grant agreement Interim payments, based on the amount of accepted costs of the past reporting period Before the end of the project pre-financing and interim payment taken together must not exceed 90% of the total max. funding for the project ( ceiling ) Final payment: after acceptance of final report / at least 15% of total funding (10% retention due to ceiling + 5% contribution to guarantee fund) LSSM-CT

24 Financial management practical advice for project partners Project account/ budget records for the project should always be up to date Time records have to correspond to personnel costs booked on the project, and they should be updated up monthly, organised centrally for the department. Transferring budget between cost categories, project partners and reporting periods is possible! In case major budget shifts are required, inform the coordinator and provide him/her with updated budget plan and justifications In case of doubts with regard to eligibility of costs, ask the coordinator or the EC project officer (via the coordinator) LSSM-CT

25 The three Inter-Levels of an EU project consortium Intercultural EU Member States: Founding Members, New Member States Candidate countries Third Countries Inter-institutional Research: Universities, Research Institutes Industry: Big Industry, SMEs Interdisciplinary Problems due to different cultural backgrounds are often LESS critical than inter-institutional or interdisciplinary communication problems! Representatives from different scientific backgrounds work together toward a common goal (or goals) LSSM-CT

Intellectual Propterty Rights (IPR) What is it all about? Intellectual property = Knowledge and know-how of the scientists involved In a knowledge-based society, IP is valuable goods!

innovation IPR is an important element of ALL projects in FP7!

26 Intellectual Propterty Rights (IPR) What is it all about? Intellectual property = Knowledge and know-how of the scientists involved In a knowledge-based society, IP is valuable goods! But: only if knowledge is protected and used it will lead to innovation and benefit for society A major aim of European research funding is to help create new knowledge which will result in innovation IPR is an important element of ALL projects in FP7! It is also important for the individual researchers who create the knowledge: Recognition for scientific achievements ( authors rights should be recognised) Advancement of career Financial benefits (resulting from consulting, commercial applications, etc.) See for information LSSM-CT

27 IPR issues in an FP7 project when to deal with them? Before project start During project Implementation At all stages! After project end Defining project-related pre-existing know-how of the partners Ensuring confidentiality (conclude agreement with partners) Proposal preparation incl. plan for the dissemination and use of project knowledge Strategy for protection & management of newly generated knowledge Granting of access rights to project partners Dissemination & Exploitation of results Protection of IP generated in the project LSSM-CT

28 IPR issues in FP7 definitions Background Information, copyright and related IPR that is held by participants prior to the project Information & IPR which is needed for carrying out the project or for using the results of the project Remains the property of the owner Foreground All results, information, material, knowledge generated in the EC-funded project Includes unprotected know-how (e.g. confidential material) Foreground is owned by the participant who generated it Sole Ownership Important: Keep laboratory books to prove ownership Clarification of employees rights LSSM-CT

29 IPR issues Access rights in FP7 Project participants have to grant access to the other partners to their project-related background and to the foreground they generate in the project Background may be excluded from that obligation in a written agreement with all partners Access rights are granted on the following conditions: For project work of the other partner For use of own results of the other partner Background Royalty-free, unless otherwise agreed in a written agreement Royalty-free, OR on fair and reasonable conditions to be agreed Foreground Royalty-free Royalty-free, OR on fair and reasonable conditions to be agreed LSSM-CT

30 Exploitation activities All project results MUST be used! Grant Agreement Annex II.29: The beneficiaries shall use the foreground which they own or ensure that it is used. The beneficiaries shall report on the expected use to be made of foreground in the plan for the use and dissemination of foreground. Use of results can be: Application in further research and/ or teaching activities Commercial application (patenting, licensing, spin-off companies ) Exploitation activities should also be a part of the project strategy from the start and can be funded by the project budget (technology watch, market analyses, patent search, business plans..) LSSM-CT

Thank you Further Information Claudia Giehl Jörg Scherer European Research and Project Office GmbH Science Park 1 / Stuhlsatzenhausweg 69 66123

31 Thank you Further Information Claudia Giehl Jörg Scherer European Research and Project Office GmbH Science Park 1 / Stuhlsatzenhausweg Saarbrücken Tel.: / Fax: / c.giehl@eurice.eu j.scherer@eurice.eu LSSM-CT

Participating in the 7th Community RTD Framework Programme. Athens 28/2/07 SSH Information Day

Participating in the 7th Community RTD Framework Programme Athens 28/2/07 SSH Information Day 1 2 Overview How proposals are submitted: the EPSS system What happens next Who can participate Funding schemes