Ivan FILUS, BIC Bratislava, spol. s r.o. PRO_NMS Workshop, Košice, 1.12.2006 Seventh Framework...

Ivan FILUS, BIC Bratislava, spol. s r.o.

PRO_NMS Workshop , Košice, 1.12.2006

Seventh Framework Seventh Framework Programme (FP7)Programme (FP7)

How to participate ?How to participate ?

© BIC Bratislava 2005© BIC Bratislava 2005

AgendaAgenda

BIC Bratislava - who we are ... ?

rules of participation

funding schemes

project submission and selection

evaluation criteria

some recommendations

other funding opportunities (incl. CIP)


BIC BratislavaBIC Bratislava

established 1991

business and innovation consulting

RTD support and technology transfer

regional development

financing

FP5 NCPs / programme delegates


BIC Bratislava - our projectsBIC Bratislava - our projects

EU Framework programmes

– 36 realised projects

– technology transfer (IRC)

– technical assistance (ETI, SSA)

– studies (RIS, ESTER)

– clusters and networking

Other programmes

– Interreg, Phare, STRAPAMO, IVF, World Bank


FP7 Rules of Participation


Important noticeImportant notice

DRAFT info based on

– EC presentations

– draft documents

– experience

ICT relevant


Minimum conditions Minimum conditions for participation for participation

3 independent legal entities from 3 different Member States (MS) or Associated countries (Ac)

Natural persons may participate

Sole participants composed of members that meet the criteria above can participate

Collaborative projects for specific cooperation actions (SICA) dedicated to international cooperation partner countries (ICPC) identified in WP: minimum 4 participants of which 2 in different MS or Ac and 2 in different ICPC countries unless otherwise specified in work programme

Participation of international organisations and participants from third countries if in addition to minima


Consortia Consortia

Consortium agreements obligatory unless exempted by call for proposals, Commission to publish guidelines

Coordinator acts as efficient interface between consortium and Commission (verifies accession, monitors compliance, receives and distributes EC contribution, keeps financial records and ensures timely delivery of reports)

Tacit approval for changes in consortium membership, except if associated with other changes

Written approval for change of coordinator


Grant agreementGrant agreement

Model grant agreement:

– rights and obligations of participants

– EC financial contribution type

– competitive call

– reflection of general legal principles

– specific provisions for certain types of actions

grant agreement comes into force upon signature by coordinator and Commission and applies to each participant that accedes


Eligibility for FundingEligibility for Funding

Legal entities from MS and AC or created under Community law (and the JRC)

International European interest organisations

Legal entities established in international cooperation partner countries (ICPC-INCO)

and

International organisations

Legal entities established in 3rd countries other than ICPC-INCO, if provided for in SP or WP or essential for carrying out action; if or provision for funding is provided for in a bilateral agreement between Community and that country


Forms of grantForms of grant

Reimbursement of eligible costs Flat rates: a percentage for indirect costs or

scales of unit costs Lump sum amounts Combination of the above Scholarships or prizes

Forms of grants to be used are specified in WP/calls for proposals


Reimbursement of eligible costsReimbursement of eligible costs

Co-financing, no profit Cost reporting models eliminated Eligible costs

– Actual;

– Incurred during the project;

– Determined according to usual accounting and management principles/practices;

– Used solely to achieve project objectives;

– Consistent with principles of economy, efficiency and effectiveness;

– Recorded in accounts (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


Indirect costsIndirect costs

All participants:

– Actual indirect costs (participants may use a simplified method of calculation) or

– Flat-rate of direct eligible costs excluding subcontracts and reimbursement of third parties’ costs (to be established by the Commission) – currently 20%

Non-profit public bodies, secondary and higher education establishments, research organisations and SMEs unable to identify real indirect costs:

– Flat-rate of 60% of total direct eligible costs (until end 2009)

– Flat rate of minimum 40%, to be established by the Commission (as of 2010)


Maximum funding ratesMaximum funding rates

RTD activities: – 50% of eligible costs except for:– Public bodies (non-profit): – 75%

– Secondary and higher education establishments: – 75%

– Research organisations (non-profit): – 75%

– Small and Medium sized Enterprises - SMEs: – 75%

Demonstration activities: – 50% of eligible costs Other activities: – 100% including e.g. consortium management Coordination and support actions – 100%

– Flat rate indirect costs: 7%

Receipts are taken into account to determine the final Community financial contribution


Guarantee mechanismGuarantee mechanism

Replaces financial collective responsibility

– Commission establishes and operates a participant guarantee fund

– Contribution to guarantee fund of max. 5% of the EC contribution by each participant, to be returned at the end of the project

– If interests generated not sufficient to cover sums due to EC, retention of max. 1% of EC contribution

– Exemption of retention for public bodies, higher and secondary education establishments, legal entities guaranteed by a MS/AC

– Ex-ante financial viability checks limited to coordinators and participants requesting > EUR 500.000 (unless exceptional circumstances)

– Guarantee fund replaces financial guarantees


European Investment Bank (EIB)European Investment Bank (EIB)

Risk-sharing Finance Facility (RSFF)

The Community may award a grant to the EIB to cover risk of loans [or guarantees] in support of research objectives set out under the 7th FP

The EIB shall provide these loans [or guarantees] in a fair, transparent, impartial and equal way

The Commission may object to the use of the RSFF for certain loans on terms defined in the grant agreement in accordance with the work programme


FP7 Funding Schemes


3 funding schemes3 funding schemes

Collaborative Projects (CP)

– Small or medium scale focused research actions (“STREP”)

– Large Scale Integrating Projects (“IP”)

Networks of Excellence (NoE)

Coordination and Support Actions (CSA)

– Coordinating or networking actions (“CA”)

– Support Actions (“SSA”)


CP - Integrating Projects CP - Integrating Projects

Activities in an Integrating Project may cover

– research and technology development activities

– demonstration activities

– technology transfer or take-up activities

– training activities

– dissemination activities

– knowledge management and exploitation

– consortium management activities

– other activities


Experience of IPs in FP6Experience of IPs in FP6

Purpose: Ambitious objective driven research with a ‘programme approach’

Target audience: Industry (incl. SMEs), research institutions. Universities – and in some cases potential end-users

Typical duration: 36-60 months

Optimum consortium: 10-20 participants

Total EU contribution: €4-25m (average around €10m)

Flexibility in implementation:

– Update of workplan

– Possibility for competitive calls for enlargement of consortium


CP - Focused projectsCP - Focused projects

Targeting a specific objective in a clearly defined project approach

Fixed overall work plan with stable deliverables that do not change over the life-time of the project

Two types of activity or combination of the two:

– research and technological development activity

– demonstration activity

and

– project management activities


Experience of STREPs in FP6 Experience of STREPs in FP6

Purpose: Objective driven research more limited in scope than an IP

Target audience: Industry incl. SMEs, research institutes, universities



Total EU contribution: €0.8 - 3 m (average around €1.9m)

Fixed workplan and fixed partnership for duration


Networks of excellenceNetworks of excellence

NoEs are an instrument to overcome the fragmentation of the European research landscape in a given area and remove the barriers to integration

JPA contains:– Integrating activities

– Activities to support the network’s goals

– Activities to spread excellence

– Management activities


Experience of NoEs in FP6 Experience of NoEs in FP6

Purpose: Durable integration of participants’ research activities Target audience: research institutions, universities, mainly

indirectly: industry – trough governing boards etc

Typical duration: 48-60 months (but indefinite integration!)

Optimum consortium: 6-12 participants Total EU contribution: €4-15m (average around €7m)

Flexibility in implementation:

– Update of workplan

– Possibility to add participants through competitive calls


CSA - Co-ordination CSA - Co-ordination or networking actionsor networking actions

Designed to promote and support the ad hoc networking and co-ordination of research and innovation activities at national, regional and European level over a fixed period for a specific purpose

May combine the following two types of activities

– Co-ordination activities

– Consortium management activities


Experience of CAs in FP6Experience of CAs in FP6

Purpose: Co-ordination of research activities

Target Audience: Research institutions, universities, industry incl. SMEs



Total EU contribution: €0.5-1.8m (average around €1m)

Fixed overall workplan and partnership for the duration


CSA - Support actions CSA - Support actions

Designed to

– underpin the implementation of the programme

– complement the other FP7 funding schemes,

– help in preparations for future Community research and technological development policy activities and

– stimulate, encourage and facilitate the participation of SMEs, civil society organisations, small research teams, newly developed and remote research centres, as well as setting up research clusters across Europe

– cover one off events or single purpose activities

May combine the following two types of activities

– Support activities

– Consortium management activities


Experience of SSAs in FP6 Experience of SSAs in FP6

Purpose: Support to programme implementation, preparation of future actions, dissemination of results

Target audience: Research organisations, universities, industry incl. SMEs



Total EU contribution: €0.03-1m (average around €0.5m)

Fixed overall workplan and partnership for the duration


FP7 Submission and Selection


OverviewOverview

Information for proposers

Submission of proposal

Eligibility check

Evaluation

Selection

Specific rules for FET Open

Writing your proposal

Getting help

Experts

Submission

Selection

Evaluation

Eligible?

Submission

Selection

Evaluation

Eligible?


Information for proposersInformation for proposers

Workprogramme 2007-2008

Guide for Applicants now including the Guidance notes for evaluators and the Background

note on the funding scheme

Evaluation forms with notes

EPSS manual

Model grant agreement

Rules on submission of proposals, and the related evaluation, selection and award procedures


SubmissionSubmission

Fixed deadline calls*– 17h00 Tuesdays

One stage submission*

Electronic submission only– EPSS - Electronic Proposal Submission System

– Online preparation only!

– Improved validation checks before submission is accepted

– FP6 Failure rate ~ 1%

– Main reason for failure - waiting till the last minute

– Submit early, submit often!

(*Special rules for FET Open scheme)


Proposal Part A (online)Proposal Part A (online)

A1– Title, acronym, objective etc.

– free keywords

– 2000 character proposal abstract

– previous/current submission (in FP7)

A2– Legal address/administrator address/R&D address

– Clear identification as SME/Public body/Research centre/ Educ. establishment

– Proposer identification code PIC (later calls)

A3– More cost details (direct/indirect costs distinguished)


Proposal Part B (pdf format only)Proposal Part B (pdf format only)

Part B format directly linked to evaluation criteria

– Summary

– S&T quality (bullet points = sections)

– Implementation (idem)

– Impact (idem)

– Ethics

Section lengths recommended


Eligibility checksEligibility checks

Date and time of receipt of proposal on or before deadline

– Firm deadlines - except for Continuously Open Calls

Minimum number of eligible, independent partners

– As set out in work programme/call

Completeness of proposal

– Presence of all requested administrative forms (Part A) and the content description (Part B)


Evaluation ProcessEvaluation Process

On-site evaluation

One step evaluation

Independent experts

Panel(with optionalHearings?)

ConsensusI ndividual

reading

Eligibility Check?


Evaluation criteria scoringEvaluation criteria scoring

Scale of 1-5 (and 0)

No weighting

– except FET Open

Criterion threshold 3/5

Overall threshold 10/15


Ethical and other issuesEthical and other issues

Ethical issues

– New annex “ICT-Ethics” in the Guide for Applicants

– Post-evaluation review for any selected proposals which have ethical issues

Other issues

– Subcontracting

– Justification and integration of any third country participation


Proposal Selection ProcedureProposal Selection Procedure

FUNDING FUNDING SCENARIO(s)SCENARIO(s)

CommissionCommission

FUNDING FUNDING SCENARIO(s)SCENARIO(s)

CommissionCommission

••Official JournalOfficial Journal••CORDISCORDIS••NCPsNCPs

CALL FOR CALL FOR PROPOSALSPROPOSALS

••Official JournalOfficial Journal••CORDISCORDIS••NCPsNCPs

CALL FOR CALL FOR PROPOSALSPROPOSALS

Eligibility Check: CommissionEligibility Check: CommissionEVALUATION:EVALUATION: Peer review principles/Peer review principles/

independent expertsindependent experts

Eligibility Check: CommissionEligibility Check: CommissionEVALUATION:EVALUATION: Peer review principles/Peer review principles/

independent expertsindependent experts

MARKING AND MARKING AND PRIORITY ORDER PRIORITY ORDER OF PROPOSALSOF PROPOSALS

Panel (optional)Panel (optional)





NEGOTIATIONNEGOTIATIONNEGOTIATIONNEGOTIATION

SIGNATURE OF CONTRACTSIGNATURE OF CONTRACTSIGNATURE OF CONTRACTSIGNATURE OF CONTRACT

INFORMATIONINFORMATIONProgramme CommitteeProgramme Committee

INFORMATIONINFORMATIONProgramme CommitteeProgramme Committee


Special rules for FET OpenSpecial rules for FET Open

For Collaborative research actions in the FET Open scheme

– Initially prepare a short (five page) outline proposal

– Submission at any time

– Short proposals are evaluated in batches (three or four times per year)

– Successful short proposals develop their idea and submit a full proposal at a later date

– Specific weighting of the evaluation criteria


FP7 Evaluation Criteria


1. Scientific and technical quality1. Scientific and technical quality

Soundness of concept, and quality of objectives (ALL)

Progress beyond the state-of-the-art (CP) Contribution to long term integration of high quality S/T

research (NoE) Contribution to the coordination of high quality research (CSA)

Quality and effectiveness of the S & T methodology and associated workplan (CP)

Quality and effectiveness of the joint programme of activities and associated workplan (NoE)

Quality and effectiveness of the coordination/support action mechanisms and associated workplan (CSA)


2. Implementation2. Implementation

Appropriateness of the management structures and procedures (ALL)

Quality and relevant experience of the individual participants (ALL)

Quality of the consortium as a whole*– (including complementarity, balance) (CP)– (including ability to tackle fragmentation of the research field and commitment

towards a deep and durable institutional integration) (NoE)

Appropriate allocation and justification of the resources to be committed (budget, staff, equipment) (CP and CSA)

Adequacy of resources for successfully carrying out the joint programme of activities (NoE)

*for Support actions, only if relevant


3. Impact3. Impact

Contribution at the European or international level to the expected impacts listed in the workprogramme under the relevant activity (ALL)

Appropriateness of measures for the dissemination and/or exploitation of project results, and management of intellectual property (CP)

Appropriateness of measures for spreading excellence, exploiting results and disseminating knowledge through engagement with stakeholders and the public at large (NoE and CSA)


FP7 - some recommendation for proposal preparation


FP7 - some recommendationsFP7 - some recommendations

Funding schemes are defined in an Annex to the Workprogramme and in the Guides for Applicants

The Commission never changes “instruments”

A proposal submitted to us as an Integrating project is evaluated using the IP evaluation criteria, and is ranked against the other Integrating project proposals submitted in the call

So be sure you are using the right instrument for your project idea !



Divide your effort over the evaluation criteria– Many proposers concentrate on the scientific element,

but loose marks on project implementation or impact description

Think of the finishing touches which signal quality work:– clear language

– well-organised contents, following the Part B structure

– useful and understandable diagrams

– no typos, no inconsistencies, no obvious paste-ins, no numbers which don’t add up, no missing pages …



Make it easy for the evaluators to give you high marks. Don’t make it hard for them!

– Don’t write too little; cover what is requested

– Don’t write too much

– Don’t leave them to figure out why it’s good, tell them why it’s good

– Leave nothing to the imagination



when writing the proposal

– make use of assistance

European Commission

NCP / programme delegate

consultants

– make an internal evaluation


Support for FP6/FP7Support for FP6/FP7

Finance Helpdesk

– www.finance-helpdesk.org

IPR Helpdesk

– www.ipr-helpdesk.org

SSAs

– running or finished support actions

– technical assistance, tools, DBs, studies and analyses


Getting help with your proposal Getting help with your proposal

The ICT theme supports @ EC

– Proposers’ days and briefings in Brussels and elsewhere

– Partner search facilities

– A supporting website of advice, information and documentation

– A Helpdesk for proposers’ questions, reachable by email or phone (and a Helpdesk for electronic proposal submission)

– http://cordis.europa.eu/fp7/

And a network of National Contact Points in Europe and beyond

– http://cordis.europa.eu/fp7/ncp.htm


ExpertsExperts

New calls for experts for FP7

– to individuals

– to organisation

Current FP6 experts will be invited to transfer to FP7

– with a request to update their information


Other funding opportunities in the area of ICT


CIP (2007 - 2013)CIP (2007 - 2013)

Competitiveness and Innovation Programme (2007-2013)

CIP is NOT a research programme !!!

Synchronisation with FP7


A new programme ...A new programme ...

a coherent and integrated response to the objectives of the renewed Lisbon strategy and bring together EU programmes relevant to productivity, innovation, competitiveness

running from 2007 to 2013, it has a budget of approximately EUR 3.6 billion €

it represents a 60 % increase in annual spending on actions related to competitiveness and innovation by 2013 compared to 2006


Content ... 3 specific programmesContent ... 3 specific programmes

The three specific programmes in the CIP framework are:

1. Entrepreneurship and Innovation Programme (EIP)

2. ICT Policy Support Programme

3. Intelligent Energy-Europe Programme


Integration in CIPIntegration in CIP

MAP

Modinisprogramme

1. Entrepreneurship & Innovation Programme (EIP)

2. ICT Policy Support Programme

3. Intelligent Energy Europe Programme (IEE)


FP Innovation Activities (1994-2006)Previously implemented through framework programmes for research, technological development and demonstration

• Thematic Priorities / Specific SME activities / Research and Innovation Activity / Development of research and innovation policies.

Integration ... EIP Integration ... EIP

MAP Programme (2001-2006)Multiannual Programme for Enterprise & Entrepreneurship

• Euro Info Centres Network / Financial Instruments (Start-up Scheme of the European Technology Facility, SME Guarantee Facility, Seed Capital Action) / Policy Development

LIFE-Environment (1992-2006)Development of innovative techniques and methods by co-financing demonstration projects

• land-use development and planning; water management; reduction of the environmental impact of economic activities; waste management; reduction of the environmental impact of products through an integrated product policy.


New EIP ...New EIP ...

providing access to finance - SME Guarantees (SMEG), risk capital (GIF), capacity building (CBS)

SME co-operation and services - Business and innovation support, cross-border co-operation (networks EIC, IRC)

(Eco) Innovation in enterprises - Clusters, partnerships, networks, technology transfer, intellectual property

Exchanges of best practices between Member States and evidence (innovation trendchart, innobarometer, innovation scoreboard)

Economic & Administrative Reform - Enterprise policy, entrepreneurship, competitiveness strategies


New SME definitionNew SME definition


EIP ProgrammeEIP ProgrammeIn

no

vati

on

En

tre

pre

neu

rsh

ip

Equity and risk capital for innovative / high-growth SMEs (GIF) Art. 17; € 500 M

Innovation support services: TTT (IRC) Art. 13d & 20 & annex III b&c; € 240M

Networking among innovation actors: clusters, sectors, PPP Art. 13 a; € 133M

Joint actions of nat. / reg. innovation programmes (BISS) Art. 13b & 21; €320M

Mutual learning & policy development (IRE, INNO-Nets, RIS) Art. 14 c; 186M

Analysis & monitoring (TC, EIS) Art. 15a; €83M

SME Guarantees (SMEG Facility) Art. 18; € 470 M

Capacity building with other financial actors (CBS)Art. 19; € 60 M

SME cross-border co-operation Art. 12 b&c; €90M

Entrepreneurship culture Art. 14 a; € 49M

Economic & administrative reform & analysis Art. 15 b & 22; € 10M

Business support services (EIC) Art. 12 a & annex IIIa; € 240M

Access to finance € 1.030MProjects & Analysis € 1.600M


Integration ... ICTIntegration ... ICT

eTEN Programme (2001-2006)deployment of telecommunication networks based services (e-services) with a trans-European dimension

• eGovernment; eHealth and eHealthcare; eInclusion; eLearning; Services for SMEs (eBusiness); Trust and Security services components

eContentplus Programme (1992-2006)a multiannual Community programme to make digital content in Europe more accessible, usable and exploitable

• geographic content (as a key constituent of public sector content), educational content, cultural, scientific and scholarly content

MODINIS Programme (2003-2005)financial support for the implementation of the eEurope 2005 Action Plan

• Monitoring and comparison of performance; Dissemination of good practices; Analysis and strategic discussion; Improvement of network and information security


New ICT ...New ICT ...

support the aims of the new integrated strategy i2010 - European Information Society 2010

Focus of the programme:

– Single information space

Seamless access (secure, high-capacity infrastructures)

Wide availability (content, services)

– Innovation and investment in ICT

Uptake by businesses, in particular SMEs

Innovation in products and services

– Inclusive information society

All Europe’s citizens to benefit (trust, confidence, digital literacy)

Services in area of public interest showing the way (quality, efficiency)


New ICT ...New ICT ...

Implementation

Pilot and market replication projects, best practice actions and thematic networks

Policy analyses, development and coordination with participating countries

Promotion, communication, information sharing and dissemination


IEE programmeIEE programme

‘Intelligent Energy – Europe’ (IEE) is a main means of converting EU policy for smart energy use and more renewables into action on the ground, addressing today’s energy challenges and promoting business opportunities and new technologies.

Fields of activity:

– new and renewable energy sources

– energy efficiency, notably in buildings and industry

– energy aspects of transport

– co-operation with developing countries


New IEE Programme ...New IEE Programme ...

Energy efficiency & rational use of resources “SAVE”

– Specific measures in industry & construction and for energy using products; legislative measures

New & renewable energy sources “ALTENER”

– Support for integration of new and renewable energy sources; legislative measures

Energy in transport “STEER”

– Energy efficiency and diversification in transport, renewable fuels; legislative measures


New IEE Programme ...New IEE Programme ...

Implementation

Promotion and dissemination projects (monitoring of market developments, reorganisation of structures, stimulate investment, development of education and training structures)

Market replication projects (market take-up of innovative techniques, processes, products or practices)


Funding ...Funding ...

Indicative Budget Overview 2007-13 M€

1. Entrepreneurship and Innovation Programme (EIP)

of which eco-innovation

of which financial instruments

2.166

(430)

(1.130)

2. ICT Policy Support Programme 728

3. Intelligent Energy Europe Programme (IEE)

727

TOTAL 3.621


What is new ...What is new ...

GIF2: risk capital to bridge ”the valley of death”

Securitisation: free up lending capacity

New approach to networks: EIC+IRC

Innovation actions from research programme to CIP

Project to support market uptake of demonstrated technologies


FP7 and CIPFP7 and CIP

FP7FP7 CIPCIP

Projects research, technology development and demonstration

take-up of proven technologies: environmental, ICT and energy efficiency

SME participation

simplification, thematic content, specific schemes

actions & services encouraging FP7 participation

Access to finance

Risk Sharing Finance Facility (with EIB)

risk capital, guarantee facility, loan securisation

Dissemination of knowledge

within projectsin thematic areas

networks providing innovation support services

Regions research driven clusters innovation clusters


CIP LinksCIP Links

CIP - http://europa.eu.int/comm/enterprise/enterprise_policy/cip/index_en.htm

MAP - http://europa.eu.int/comm/enterprise/enterprise_policy/ mult_entr_programme/programme_2001_2005.htm

European Innovation Portal - http://www.cordis.lu/innovation

Enterprise policy and networks - http://europa.eu.int/comm/enterprise/index_en.htm

Innovation Policy and Networks - http://europa.eu.int/comm/enterprise/innovation/index.htm

Financial Instruments - http://eif.eu.int

Life-Environment - http://europa.eu.int/comm/environment/life/life/environment.htm

e-Ten - http://europa.eu.int/information_society/activities/eten/index_en.htm

Modinis - http://europa.eu.int/information_society/eeurope/2005/all_about/modinis/index_en.htm

e-Content - http://www.cordis.lu/econtent/

i2010 - http://europa.eu.int/information_society/eeurope/i2010/index_en.htm

Intelligent Energy – Europe - http://europa.eu.int/comm/energy/intelligent/index_en.html


Structural fundsStructural funds

period 2007 - 2013

Slovakia:

– 993 MEUR

– priority areas: broadband access to internet

electronic services in public administration

digitalisation in culture

eHealth


National or Bilateral programmes National or Bilateral programmes

National funding schemes

– Slovakia: Slovak Research and Development Agency

Other programmes:

– EEA Funds (NO)

– Pro-Inno (DE)

– CIR-CE (AT)


ContactContact

Ivan FILUSIvan FILUS

BIC BratislavaZochova 581103 Bratislava

t: +421-2-5441 7515f: +421-2-5441 7522e: [email protected]: www.bic.sk

Ivan FILUS, BIC Bratislava, spol. s r.o. PRO_NMS Workshop, Košice, 1.12.2006 Seventh Framework...

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