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Programme Procedures and InformationProgramme Procedures and Information
Information Society Technologies (IST)Information Society Technologies (IST)
DG Information Society DG Information Society
European CommissionEuropean Commission
BasicsBasics A flexible and integrated IST programmeA flexible and integrated IST programme
– yearly updated WP, regular Callsyearly updated WP, regular Calls– cross-programme actions, clusters, co-ordinationcross-programme actions, clusters, co-ordination
Common procedures in FP5Common procedures in FP5 when appropriate when appropriate– Application Rules, Evaluation manualApplication Rules, Evaluation manual
FP5-wide electronic submissionFP5-wide electronic submission– Protool, digital signature via Certification ServiceProtool, digital signature via Certification Service
Cost simplificationCost simplification– e.g. flat rate overheade.g. flat rate overhead
Take-up fundingTake-up funding– specific categories of eligible costspecific categories of eligible cost
FP 5 Documentation PrinciplesFP 5 Documentation Principles
Simplification of information for proposersSimplification of information for proposers
Internal harmonisation across FP5 programmesInternal harmonisation across FP5 programmes(where possible)(where possible)
Modular approachModular approach(allows customised web publishing)(allows customised web publishing)
Content of Information PackageContent of Information Package
Workprogramme 2000
CALL Text OJ(exp: Feb, Jun, Sep 2000)
Evaluation ManualGeneral FP 5IST specific Annex
Guide for Proposers
Evaluators’ Guidelines
IST Guide to ProposersIST Guide to Proposers
Guide to Proposers has 2 partsGuide to Proposers has 2 parts::
Part 1Part 1: Common sections: Common sections
– 1. FP5 - general presentation1. FP5 - general presentation - FP5 common- FP5 common
– 2. IST programme presentation2. IST programme presentation - IST Programme specific- IST Programme specific
– 3. Rules of participation3. Rules of participation - FP5 common- FP5 common
* NOTE: Changed from year 99
IST Guide to Proposers: IST Guide to Proposers:
ACTION TYPE TITLE PART
RTD, Demonstration, andcombined RTD/Demonstrationprojects
Fixed deadline proposals - for RTD 2A
Take-up (assessment, bestpractice, trials)
Fixed deadline proposals - for Take-up Actions 2B
Accompanying Measures,Concerted Actions and ThematicNetworks
Fixed deadline proposals - for Support MeasuresOR
2C
Continuous Submission Scheme - for SupportMeasures
2E
FET Open Actions (short and fullproposals)
Continuous Submission Scheme - for FET Open 2D
Grants (conferences, seminars,exhibitions and workshops)
Applications for Grants 2F
PART PART 2: Six versions (yes 6!)2: Six versions (yes 6!)
Who can participateWho can participate Normally (RTD): Normally (RTD): - at least 2 EU partners- at least 2 EU partners
- or 1 EU + 1 Associated State - or 1 EU + 1 Associated State
Under normal funding conditions/obligationsUnder normal funding conditions/obligations– EU (+JRC) - From associated countryEU (+JRC) - From associated country
Self financing - conform with Community interestsSelf financing - conform with Community interests– Non-associated European and Mediterranean partner countriesNon-associated European and Mediterranean partner countries– Countries with S&T agreementCountries with S&T agreement– International organisationsInternational organisations
Self financing - conform with Community interestSelf financing - conform with Community interest& substantial added value for programme& substantial added value for programme– other countriesother countries
Accompanying Measures and most Take-UP: Accompanying Measures and most Take-UP: – 1 Contractor (EU or Associated State) possible1 Contractor (EU or Associated State) possible
Associated statesAssociated states
EEA:EEA:Iceland, Liechtenstein, NorwayIceland, Liechtenstein, Norway
EU candidate member states:EU candidate member states:
Bulgaria, Cyprus, Czech Rep, Estonia, Hungary, LatviaBulgaria, Cyprus, Czech Rep, Estonia, Hungary, Latvia
Lithuania, Poland, Romania, Slovakia, SloveniaLithuania, Poland, Romania, Slovakia, Slovenia
Other: Other: IsraelIsrael
Not yet (15.02.2000) ratifiedNot yet (15.02.2000) ratifiedSwitzerlandSwitzerland
Before Association agreement is ratifiedBefore Association agreement is ratifiedparticipation is possible on self-financing basis.participation is possible on self-financing basis.
RTD Proposal: Submission FormsRTD Proposal: Submission Forms
Three parts:Three parts: A. A. Administrative, budgetary informationAdministrative, budgetary information
– (Forms A0-A4)(Forms A0-A4)
B. B. Scientific/technical contentScientific/technical content– relates to 1st block evaluation criteriarelates to 1st block evaluation criteria
– Anonymous.Anonymous.
C. C. EU added value, contribution to community policies, EU added value, contribution to community policies, dissemination, exploitation and managementdissemination, exploitation and management
– relates to the 2 to 5th evaluation blockrelates to the 2 to 5th evaluation block
– Non anonymousNon anonymous
Notes:Notes:(1) Accompanying Measures & Concerted Actions follow this model, but Part B is(1) Accompanying Measures & Concerted Actions follow this model, but Part B is NOT anonymous NOT anonymous (2) FET 0pen is 2-step submission(2) FET 0pen is 2-step submission
SubmissionSubmission
Preparation of Part A of proposals by coordinator using Preparation of Part A of proposals by coordinator using PROTOOL software tool available on CORDISPROTOOL software tool available on CORDIS– Electronic communication of administrative and financial dataElectronic communication of administrative and financial data
between partners possiblebetween partners possible
THEN Full Proposal (parts A, B and C)THEN Full Proposal (parts A, B and C)– SubmittedSubmitted electronicallyelectronically (digital certificate) OR(digital certificate) OR– Submitted bySubmitted by print outprint out on paper.on paper.– Paper forms from guides allowed, but not recommendedPaper forms from guides allowed, but not recommended
(difficult to use OCR)(difficult to use OCR)
Ensure that the proposal is sent before the deadline!
FP 5 Evaluation manualFP 5 Evaluation manual
Defines General Eligibility and Evaluation Criteria,Defines General Eligibility and Evaluation Criteria,Operating procedures and ReportingOperating procedures and Reporting
Five Blocks of evaluation criteria followingFive Blocks of evaluation criteria following the Council decisionsthe Council decisions : :
- - Scientific/Technological Quality and InnovationScientific/Technological Quality and Innovation
- Community added value and contribution to EU policies- Community added value and contribution to EU policies
- Contribution to Community social objectives- Contribution to Community social objectives
- Economic development and S&T prospects- Economic development and S&T prospects
- Resources, Partnership and management- Resources, Partnership and management
Scores on a scale from 0 to 5
IST Annex to Evaluation ManualIST Annex to Evaluation Manual
Defines the application of the general evaluationDefines the application of the general evaluationrules for the IST programme.rules for the IST programme.
Explains how the general Evaluation criteria will beExplains how the general Evaluation criteria will beapplied in the IST context for the different types ofapplied in the IST context for the different types ofactions and adds criteria defined in the IST decision.actions and adds criteria defined in the IST decision.- Appropriate Industrial involvement in industry related projects- Appropriate Industrial involvement in industry related projects
Defines thresholds for specific criteria and relative weighting Defines thresholds for specific criteria and relative weighting of evaluation criteria blocksof evaluation criteria blocks
Evaluation in IST (1)Evaluation in IST (1)
Anonymity for “Scientific & Technological Quality”Anonymity for “Scientific & Technological Quality”(RTD and FET Open only!)(RTD and FET Open only!)
Relevant Questions related to eligibilityRelevant Questions related to eligibility- Within scope of WP and CallWithin scope of WP and Call- Respect of ethical principlesRespect of ethical principles- Appropriate industrial participationAppropriate industrial participation- At least two non-affiliated partnersAt least two non-affiliated partners
from different Member States (or MS + AS)from different Member States (or MS + AS)- Format requirementsFormat requirements
May lead to exclusion from further evaluation
Evaluation in IST (2) Example for R&D projectsEvaluation in IST (2) Example for R&D projects
Criteria Weight (1) Threshold (2)
Scientific/Technological Qualityand innovation 4 >= 3Community Added Valueand contribution to EU policy 1 >= 2Contribution to Comm. Social objectives 1 -Economic Dev; S&T prospects(range of applications, exploitation, strategic impact, dissemination) 2 >= 3Resources, Partnership, Management 2 >= 2
1) Weight on a scale of 10 (sum 10)2) Threshold with respect to score 0-5
Evaluation in IST (3)Evaluation in IST (3)
1. 1. Individual evaluation by at least 3 expertsIndividual evaluation by at least 3 experts– first criterion 1 (anonymous for RTD and FET Open), then criteria 2-5first criterion 1 (anonymous for RTD and FET Open), then criteria 2-5
2. 2. Consensus between 3 experts on draft summaryConsensus between 3 experts on draft summary– scores for 5 criteria + commentsscores for 5 criteria + comments
3. 3. Discussion in panel for ranking and final overall mark to Discussion in panel for ranking and final overall mark to proposalsproposals
4. 4. Final ranking and recommendationsFinal ranking and recommendations– Decisions documented in Evaluation reportDecisions documented in Evaluation report
ContractsContracts
Main types of ContractsMain types of Contracts (with “derived” versions each):(with “derived” versions each):
– Shared cost RTD (Research, Demonstration, Combined Shared cost RTD (Research, Demonstration, Combined R&D)R&D)
– Coordination (Concerted Actions, Thematic Networks)Coordination (Concerted Actions, Thematic Networks)
– Accompanying Measures (Take-up)Accompanying Measures (Take-up)
– Fellowships (Marie Curie)Fellowships (Marie Curie)
– SME Awards / Cooperative ResearchSME Awards / Cooperative Research
Cost Reimbursement Contract for RTD Cost Reimbursement Contract for RTD ProjectsProjects
MAIN NOVELTIESMAIN NOVELTIES (compared to FP4) (compared to FP4)
– Principal and assistant contractorsPrincipal and assistant contractors
– Tasks of the coordinator reinforcedTasks of the coordinator reinforced
– Split of scientific coordination and financial/administrative coordination Split of scientific coordination and financial/administrative coordination possible in exceptional casespossible in exceptional cases
– Introduction of penaltiesIntroduction of penalties
– Percentage of Community funding specified in a tablePercentage of Community funding specified in a table
– Periodic reports and cost statements cover the same periodPeriodic reports and cost statements cover the same period
– Applicable law - law of competent authorising officerApplicable law - law of competent authorising officer(i.e. Belgian or Luxembourg law)(i.e. Belgian or Luxembourg law)
– Deadline for amendment requestsDeadline for amendment requests
PartnershipPartnership
Coordinator-contractorCoordinator-contractor– signs contract; liaison to Programmesigns contract; liaison to Programme
Principal ContractorPrincipal Contractor– signs contract - jointly and severally liablesigns contract - jointly and severally liable
Assistant Contractor (in R&D + demo)Assistant Contractor (in R&D + demo)– signs contract - restricted liability and rightssigns contract - restricted liability and rights
Member (in Thematic Network, Acc. Meas. only)Member (in Thematic Network, Acc. Meas. only)– signs membership agreement with Coordinator - in networks and Take-up signs membership agreement with Coordinator - in networks and Take-up
measuresmeasures
SubcontractorSubcontractor– Rights to contractor - competitive pricesRights to contractor - competitive prices
1111 Full cost, actual overheadFull cost, actual overhead (funded at 50 %)(funded at 50 %)Full cost, actual overheadFull cost, actual overhead (funded at 50 %)(funded at 50 %)
2222Full cost, flat overhead rateFull cost, flat overhead rate (funded at 50 %). (funded at 50 %). Under this model overheads are fixed at 80 % Under this model overheads are fixed at 80 % of the labour cost claimed.of the labour cost claimed.
Full cost, flat overhead rateFull cost, flat overhead rate (funded at 50 %). (funded at 50 %). Under this model overheads are fixed at 80 % Under this model overheads are fixed at 80 % of the labour cost claimed.of the labour cost claimed.
3333
Additional costsAdditional costs (funded at 100 %). This model (funded at 100 %). This model is limited to those organisations whose accounting is limited to those organisations whose accounting system is based on disbursals and not on costs system is based on disbursals and not on costs (universities, governmental organisations, etc.)(universities, governmental organisations, etc.)
Additional costsAdditional costs (funded at 100 %). This model (funded at 100 %). This model is limited to those organisations whose accounting is limited to those organisations whose accounting system is based on disbursals and not on costs system is based on disbursals and not on costs (universities, governmental organisations, etc.)(universities, governmental organisations, etc.)
• 3 funding models are available3 funding models are available : :
Models of Funding - RTDModels of Funding - RTD
Models of Funding - Other ActionsModels of Funding - Other Actions
Concerted Actions/Thematic Networks:
– All participants use Additional Cost Model, but are allowed to All participants use Additional Cost Model, but are allowed to use permanent staff if time records are keptuse permanent staff if time records are kept
Accompanying Measures:
– All participants calculate overhead as percentage of personnel All participants calculate overhead as percentage of personnel costs, max. 80%costs, max. 80%
Take-Up Actions
– Overhead not allowed. Only certain eligible cost categories Overhead not allowed. Only certain eligible cost categories allowed for each action. See: Guide for Proposers, Part 2 Ballowed for each action. See: Guide for Proposers, Part 2 B
Direct financial-administra-Direct financial-administra-tive Co-ordination coststive Co-ordination costs
Costs for protectionCosts for protectionof research resultsof research results
• can only be claimedcan only be claimed by the financial-admini- by the financial-admini- strative co-ordinatorstrative co-ordinator
• no research costsno research costs
• cannot be cannot be subcontracted subcontracted
eligible if :eligible if :
• foreseen in the TAforeseen in the TA or agreed with the or agreed with the Commission ; Commission ;
• incurred during the incurred during the duration of the contract duration of the contract
New Categories of CostsNew Categories of Costs
Intellectual Property Rights (IPR)Intellectual Property Rights (IPR)
EU Funding 50% or less: EU Funding 50% or less: – IPR belongs to the contractorsIPR belongs to the contractors
EU Funding between 50% and 100%:EU Funding between 50% and 100%:– IPR negotiated between CommissionIPR negotiated between Commission
and contractorsand contractors
EU Funding 100% of total eligible costEU Funding 100% of total eligible cost– IPR belongs to the Commission as general ruleIPR belongs to the Commission as general rule
Financial ViabilityFinancial Viability
Check on legal existence and financialCheck on legal existence and financial viability of partners will be done by EC viability of partners will be done by EC
before contract signaturebefore contract signature
Takes all other participations in FPTakes all other participations in FP into accountinto account
Results may lead to reduction of Results may lead to reduction of participation or exclusionparticipation or exclusion
If reasonable, proper solutions withIf reasonable, proper solutions with partners to be found case by casepartners to be found case by case