FP7 Security Theme /1 CAST Kick-off meeting 15 July '09 Salzburg Eva-Maria Engdahl - European Commission DG Enterprise Industry Security Research

FP7 Security Theme /1

CAST Kick-off meeting 15 July '09 – Salzburg

Eva-Maria Engdahl - European Commission – DG Enterprise & Industry

Security Research

Seventh Framework Programme2007-2013

CAST kick off meeting 15-17 July 2009

Eva-Maria EngdahlProject officer




Overview of FP7 and security thematic area FP7 calls / budget Rules of participation and funding Grant agreement Reporting Costs 3rd parties Amendments Security issues AOB

Overview




A set of coherent initiatives

“European Security Research: The Next Steps” (Sept 2004)

GoP report “Research for a secure Europe” (March 2004)

time2004 2005 2006 2007

“Towards an EU Defence Equipment Policy” (March 2003)

PASR (2004-2006)

European Security Research within FP 7

(2007 -2013)ESRAB (2005-2006)

ESRAB report“Meeting the challenge: the European Security Research Agenda”(October 2006)

2008

Available on our website




SP Cooperation 32.413 M€1. Health2. Food, Agriculture &Biotechnology 3. Information & Communication Technologies 4. Nanosciences, Nanotechnologies,

Materials & new Production Technologies 5. Energy 6. Environment (including Climate Change) 7. Transport (including Aeronautics) 8. Socio-economic Sciences & Humanities 9. Space10. Security 1.400

M€

FP7 2007 – 2013




4 Security missions / activities: 1. Security of citizens2. Security of infrastructure and utilities3. Intelligent surveillance and border security4. Restoring security and safety in case of crisis

3 Cross cutting activities:5. Security systems integration, interconnectivity and interoperability6. Security and Society (CAST project)7. Security Research coordination and structuring

Security theme in FP7 2007 – 2013




Who can participate?

Any undertaking, university or research centre or other legal entity, whether established in a: Member State (MS), or FP Associated Country (AC)* , or Candidate Country, or

International organisations and participants from third countries can participate only if in addition to the minima* Iceland, Liechtenstein, Norway, Croatia, Serbia, Turkey, FYROM,

Switzerland, Israel, Albania




Funding rules

Collaborative Projects (CAST) Up to 75% for non‑profit public bodies, secondary and

higher education establishments, research organisations and SMEs

Up to 50% for large industry For the Security theme up to 75%

• in the case of the development of capabilities in domains with very limited market size and a risk of "market failure"

• and for accelerated equipment development in response to new threats

(Coordination and support actions) Up to 100%




Upper funding limits Maximum

reimbursement rates

Research and technological development activities (*)

Demonstration activities

Management of the consortium

activities

Other activities

Network of excellence

50%75% (**)

100% 100%

Collaborative project = CAST

(***)

50%75% (**)

50% 100% 100%

Coordination and support

action

100% 100%

(*) Research and technological development includes scientific coordination.

(**) For beneficiaries that are non profit public bodies, secondary and higher education establishments, research organisations and SMEs

(***)The reimbursement of indirect eligible costs, in the case of coordination and support actions, may reach a maximum 7% of the direct eligible costs, excluding the direct eligible costs for subcontracting and the costs of reimbursement of resources made available by third parties which are not used on the premises of the beneficiary.




The FP7 Grant Agreement

Structure: Core part: GA parameters, special clauses Annex I: DoW (SAL and SCG annexed) Annex II: General Conditions, Annex III: Specific provisions for funding schemes Annex IV, V & VI: Forms A,B & C Annex VII: Form D terms of reference for the certificate of

costs and Form E certificate on the methodology

Consortium Agreement mandatory




Reporting (1/2) Periodic reports to be submitted by coordinator 60 days after

end of period: overview of progress of the work, including a publishable summary

report, use of the resources and Financial Statement (Form C)

Final reports to be submitted by coordinator 60 days after end of project: publishable summary report, conclusions and socioeconomic

impact, covering wider societal implications and a plan on use and

dissemination of foreground.




Reporting (2/2) Commission has 105 days to evaluate and execute the

corresponding payment: No tacit approval of reports Automatic payment of interests (NEW)

After reception Commission may: Approve Suspend the time-limit requesting revision/completion Reject them giving justification, possible termination Suspend the payment




Eligible cost

Eligible actual* during duration of project in accordance with its usual accounting and management

principles recorded in the accounts of beneficiary used for the sole purpose of achieving the objectives of the

project

Non-eligible (identifiable indirect taxes including VAT…)




Payment modalities

One pre-financing (upon entry into force) for the whole duration

Interim payment based on financial statements (EC contribution= amounts justified & accepted x funding rate) – after year 1

Retention (10%) Final payment – after year 2




Guarantee fund

No financial collective responsibility, instead a participant’s Guarantee Fund to cover financial risks

However, there is “technical responsibility” to carry out the project jointly and severally vis-à-vis the Commission.

The contribution equals 5% of the EC financial contribution foreseen for each participant

The Fund belongs to all beneficiaries of the grant agreement

All beneficiaries contribute to the Fund to insure against financial losses of the project

In principle the amount contributed to the Fund will be reimbursed at the end of the project




Third partiesThird parties carrying part of the work Subcontracts: tasks have to be indicated in Annex I

awarded according to best value for money External support services may be used for assistance in minor

tasks (not to be indicated in Annex I)

Third parties making available resources “Third parties”: to be indicated in Annex I, Costs may be claimed by the beneficiary Resources “free of charge” may be considered as receipts




Amendments (1)

Coordinator requests amendments on behalf of the consortium

Coordinator can accept an amendment proposed by the Commission(NEW)

For addition/withdrawal tacit approval after 45 days




Potential modifications: Participation in the consortium

accession of a new beneficiary withdrawal of a beneficiary Replacement of the coordinator

Re-allocation of budget and tasks (Major) modification of the Description of Work Modification of the duration of the activity Modification of reporting periods

Amendments (2)




Security issues: legal base

• Core Grant Agreement : special clauses 21 and 22

• Annex 1 (DoW)• SAL (Security Aspect Letter)• SCG (Security Classification Guide)

• Guidelines for handling classified informationin FP7 project (DRAFT)

• COM(2001)844 (revision on-going)




Security issues: Core Grant Agreement

• Special clause 21When classified information is used as background, or is planned to be generated as foreground, or is actually generated as foreground, or if export or transfer licences are required for the transfer of dangerous materials or substances4 or where a topic is subject to specific national or European security related legal restrictions, a Security Aspect Letter (SAL) is annexed to this grant agreement as an integral part of Annex I.

• Special clause 221. Each beneficiary shall comply with any security requirements prescribed by the Security Aspect

Letter (SAL) attached to Annex I of this grant agreement. The Commission may terminate the grant agreement or the participation of the beneficiary(ies), in accordance with Article II.38, in case of non compliance with this obligation. Such action shall be without prejudice to any further legal action.

2. This SAL is valid throughout the duration of the project.3. The beneficiaries of this grant agreement shall via the Coordinator inform the Commission of any

change of security requirements emerging during the performance of the project. Any such change shall be introduced in the SAL by means of an amendment following the rules on amendments of Annex I.

4. In cases where a beneficiary cannot comply with increased security requirements, the grant agreement shall be terminated.

5. The beneficiaries shall ensure that any subcontractor or other third party complies with the security requirements set out in the SAL.




Security issues: Annex 1 DoW : SAL (Security Aspect Letter)

• The performance of the grant agreement will involve information classified CONFIDENTIAL UE.

• A Facility Security Clearance is required. • Persons who need to access EU classified information must have an EU personal security

clearance and be briefed as to their responsibility for security[1].• The beneficiaries concerned shall take all measures prescribed by the National Security

Authority/Designated Security Authority (NSA/DSA) for safeguarding EUCI.• The beneficiaries concerned shall appoint a Facility Security Officer (FSO).• The beneficiaries concerned, through the FSO, shall maintain a continuing relationship with his

NSA/DSA.• The beneficiaries concerned shall maintain a record of his employees taking part in the project

and who have been cleared for access to EUCI. • EU classified information for the purpose of these instructions is to be understood as

information classified and marked CONFIDENTIAL UE or its equivalent national classification. • Information generated by the beneficiaries concerned will require EU classification and

marking.

Continued on next slide




Security issues: Annex 1 DoW : SAL (Security Aspect Letter – cont.)

• The beneficiaries concerned must obtain the approval of the Contracting Authority before beginning negotiations with a view to subcontract.

• The Commission Security Directorate may - in co-ordination with the responsible NSA/DSA - conduct inspections at beneficiaries’ facilities concerned to verify the implementation of the security requirements for the handling of EUCI.

• The beneficiaries concerned shall report all cases of unauthorised disclosure or loss of EUCI to the responsible NSA/DSA, the Commission Security Directorate and the Contracting Authority.

• All EUCI provided or generated under this grant agreement shall continue to be protected in the event of termination of the grant agreement.

• The beneficiaries concerned shall undertake not to utilise the EUCI provided or generated, other than for the specific purpose of the grant agreement

• Handling and storage instructions for information classified CONFIDENTIAL UE

[1] See Commission Decision 2001/844/EC, Rules on Security Section 19.1




Security issues: Annex 1 DoW : SCG (Security Classification Guide)




Guidance documents Guide to financial issues IPR guide Consortium agreement checklist Guidance notes on certificates on methodology Reporting guidelines Guideline for handling classified information

More informationFind a document -> http://cordis.europa.eu/fp7/find-doc_en.html

EU Security research websites: http://ec.europa.eu/enterprise/security http://cordis.europa.eu/fp7/calls/

Helpdesks: [email protected] Centralised FP7 Helpdesk Enquiries Service: http://ec.europa.eu/research/enquiries

http://cordis.europa.eu/fp7/find-doc_en.html

Documents

FP7 Security Theme /1 CAST Kick-off meeting 15 July '09 Salzburg Eva-Maria Engdahl - European Commission DG Enterprise Industry Security Research