Participating in FP7 (ICT)

Stephen O’Reilly - ICT National Contact Point

Participating in FP7 (ICT)

• Funding Schemes

• Evaluation Criteria

• Rules of Participation

• Submission and Selection of proposals

Funding schemes “Instruments”

Collaborative Projects (CP)* Large Scale Integrating Projects (“IP”) Small or medium scale focused research actions (“STREP”)

Networks of Excellence (NoE)

Coordination and Support Actions (CSA) Coordinating or networking actions (“CA”) Support Actions (“SSA”)

Large Scale Integrated Projects “IPs” IPs are designed to generate the knowledge required to

respond to the Challenges of ICT in FP7 by integrating the critical mass of activities and resources needed

to achieve ambitious, clearly defined scientific and technological objectives of a European dimension

Each IP should integrate the types of activities needed to obtain the goals integrate the critical mass of resources needed to obtain the goals integrate elements of the development chain to attain high-impact

goals support industry-academia collaboration including SMEs

Integrated Project Activities research and technology development activities demonstration activities technology transfer or take-up activities training activities dissemination activities knowledge management and exploitation consortium management activities cooperation with other programmes (e.g. Eureka) project management

Small and medium scale focussed projects “STREPS”

STREPs are designed to generate the knowledge required to improve European competitiveness and to meet the needs of society or Community policies:

by improving existing or developing new products, processes or services and/or

by proving the viability of new technologies offering potential economic advantage

STREP activities STREPs combine any of the following types of activities:

targeted, well defined and precisely focused research and technological development

demonstration component(s) as appropriate

project management

Dissemination and IPR protection activities are classified under project management, STREPs do not do training or coordination

Networks of Excellence NoEs are an instrument to overcome the fragmentation of the European

research landscape in a given area

Their purpose is to reach a durable restructuring/shaping and integration of efforts and institutions or parts of institutions

The success of an NoE is not measured in terms of scientific results but by the extent to which the social fabric for researchers and research institutions in a given field has changed due to the project, and the extent to which the existing capacities become more competitive as a result of this change

Networks of Excellence ActivitiesThe main activities of an NoE are integrating activities and activities to spread

excellence coordinated programming of the partners’ activities sharing of research platforms/tools/facilities joint management of the knowledge portfolio staff mobility and exchanges relocation of staff, teams, equipment reinforced electronic communication systems training researchers and other key staff dissemination and communication activities networking activities to help transfer knowledge where appropriate, promoting the exploitation of the results generated

within the network where appropriate, innovation-related activities (project management)

An NoE may also carry out joint research activities to support its goals

Networks of Excellence Activities The Joint Programme of Activities (JPA) contains a range of “additional to normal business”

activities: Integrating activities

coordinated programming of the partners’ activities sharing of research platforms/tools/facilities joint management of the knowledge portfolio staff mobility and exchanges relocation of staff, teams, equipment reinforced electronic communication systems

Activities to support the network’s goals Development of new research tools and platforms for common use Generating new knowledge to fill gaps in or extend the collective knowledge portfolio

Activities to spread excellence training researchers and other key staf dissemination and communication activities networking activities to help transfer knowledge to outside of the network where appropriate, promoting the exploitation of the results generated within the network where appropriate, innovation-related activities

Management Activities

Coordination Action Coordination actions are designed to promote and support the

networking and co-ordination of research and innovation activities at national, regional and European level over a fixed period

by establishing in a coherent way coordinated initiatives of a range of research and innovation operators, in order to achieve improved integration of the European research

Coordination Action Activities organisation of conferences, of meetings performance of studies, analysis exchanges of personnel exchange and dissemination of good practice setting up of common information systems setting up of expert groups definition, organisation, management of joint or common initiatives

project management

Coordination actions do not conduct S&T research!

Support Action

Support actions are designed to underpin the implementation of the programme complement the other instruments, help in preparations for future Community research and technological

development policy activities and stimulate, encourage and facilitate the participation of SMEs, small

research teams, newly developed and remote research centres, as well as organisations from International Cooperation Partner Countries in the activities of the ICT themeSupport action proposal may be presented by a consortium or a single

organisation, from any country or countries

Support Action Activities Conferences, seminars, working groups and expert groups; Studies, analysis; Fact findings and monitoring; Trans-national technology transfer and take-up related services; Development of research or innovation strategies; High level scientific awards and competitions; Operational support and dissemination, information and communication

activities (project management)

Support Actions do not conduct S&T research !

Evaluation Criteria

Three evaluation criteria are used: Scientific and technical quality Implementation Impact

All proposal coordinators receive an Evaluation Summary Report

Funding follows successful evaluation, selection and detailed contract negotiations

Evaluation Criteria – Integrated Projects \ STREPs

1. Scientific and technical quality:

Soundness of concept, and quality of objectives

Progress beyond the state-of-the-art

Quality and effectiveness of the S/T methodology and associated work plan

Evaluation Criteria – Integrated Projects \ STREPs

2. Implementation:

Appropriateness of the management structure and procedures

Quality and relevant experience of the individual participants

Quality of the consortium as a whole (including complementarity, balance)

Appropriateness of the allocation and justification of the resources to be committed (budget, staff, equipment)

Evaluation Criteria – Integrated Projects \ STREPs

3. Impact:

Contribution, at the European and/or international level, to the expected impacts listed in the work programme under relevant topic/activity

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

Evaluation Criteria – NoE

1. Scientific and technical quality:

Soundness of concept, and quality of objectives

Contribution to long-term integration of high quality S/T research

Quality and effectiveness of the joint programme of activities and associated work plan

Evaluation Criteria – NoE

2. Implementation:

Appropriateness of the management structure and procedures

Quality and relevant experience of the individual participants

Quality of the consortium as a whole (including ability to tackle fragmentation of the research field and commitment towards a deep and durable institutional integration

Adequacy of resources for successfully carrying out the joint programme of activities

Evaluation Criteria – NoE

3. Impact:

Contribution, at the European and/or international level, to the expected impacts listed in the work programme under relevant topic/activity

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

Evaluation Criteria – CSA

1. Scientific and technical quality:

Soundness of concept, and quality of objectives

Contribution to the coordination of high quality research

Quality and effectiveness of the coordination mechanisms and associated work plan

Evaluation Criteria – CSA

2. Implementation:

Appropriateness of the management structure and procedures

Quality and relevant experience of the individual participants

Quality of the consortium as a whole (including complementarity, balance)

Appropriateness of the allocation and justification of the resources to be committed (budget, staff, equipment)

Evaluation Criteria – CSA

3. Impact:

Contribution, at the European and/or international level, to the expected impacts listed in the work programme under relevant topic/activity

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

ICT Work Programme approach and structure A limited set of Challenges that

respond to well-identified industry and technology needsand/or

target specific socio-economic goals

A Challenge is addressed through a limited set of Objectives that form the basis of Calls for Proposals

An Objective is described in terms of target outcome - in terms of characteristics expected impact - in terms of industrial competitiveness, societal goal, technology progress

A total of 25 Objectives expressed within 7 Challenges

ICT Work Programme Challenges

Fu

ture

an

d E

mer

gin

g

Tec

hn

olo

gie

s (F

ET

)

2. Cognitive systems, interaction, robotics

1. Network and service infrastructures

3. Components, systems, engineering

4. Digital libraries and content

5. ICT for health

6. ICT for mobility & sustainable growth

7. ICT for independent living and inclusion

Socio-economic goals

Indu

stry

/Tec

h ne

eds

Budget split per objective

For each Work Programme objective:

A reserved amount for CSAs support activities won’t need to compete against research projects for funding

A reserved amount for NoE Will not fund multiple NoEs to compete with each other

Remaining (main) part of budget committed to Collaborative Projects minimum percent Integrating Projects, minimum percent Focused Research Actions, the remainder distributed by quality of the proposals

Rules of Participation Minimum conditions for participation

Consortia

Grant agreement

Community financial contribution

Forms of grants

Reimbursement of eligible costs

Indirect costs

Maximum funding rates

Guarantee mechanism

Certificates on financial statements

Minimum conditions for participation General:

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

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

Consortia

Grant agreementModel grant agreement to be drawn up:

to establish rights and obligations of participants (including submission of reports, termination, access rights);

to identify whether and what part of EC financial contribution is based on reimbursement of eligible costs, lump sums or flat rates;

to identify which changes in the consortium require prior publication of competitive call;

shall reflect general principles of the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers

specific provisions for certain types of actions (IPR particularly)

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

Community financial contribution

Eligibility 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 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

ICPC participants may opt for lump sum financing.

Reimbursement of eligible costsCo-financing, no profit.

Cost reporting models eliminated

• Participants charge direct and indirect eligible costs

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 may be used if consistent with above and do not differ

significantly from actual

Indirect costsAll 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 rates

• Research and technological development 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 mgmt• Coordination and support actions – 100%

• Flat rate indirect costs: 7%

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

Guarantee mechanismReplaces 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

Certificates on financial statements

Mandatory whenever cumulative amount of interim and balance payments equal to or more than EUR 375 000

For projects of a duration of max. 2 years: only one certificate at the end of the project

No certificates for actions entirely financed by lump sums or flat rates

Submission and Selection

Information for proposers Submission of proposals Eligibility checks Evaluation process Specific rules for FET Open Writing your proposal Experts Getting help

Submission

Selection

Evaluation

Eligible?

Information for proposers

Workprogramme 2007-2008 Guide for Applicants

now including the Guidance notes for evaluators and the Background note on the funding schemes

Evaluation forms with notes EPSS manual Model grant agreement Rules on submission of proposals, and the related evaluation,

selection and award procedures

Submission of proposals

Fixed deadline calls*17h00 Tuesdays

One stage submission* Electronic submission only

(*Special rules for FET Open scheme)

Electronic Submission

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!

Proposal Part A (online) A1

Title, acronym, objective etc. free keywords 2000 character proposal abstract previous/current submission (in FP7)

A2 (per participant) 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)

Part B format directly linked to evaluation criteria Summary S&T quality (bullet points = sections) Implementation (idem) Impact (idem) Ethics

Section lengths recommended

Eligibility 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)

Panel(with optional

Hearings?)Consensus

Individual reading

Eligibility Check?

Evaluation Process On-site evaluation One step evaluation Independent experts

Evaluation criteria scoring

Scale of 1-5 (and 0) No weighting

except FET Open

Criterion threshold 3/5 Overall threshold 10/15

Special rules for FET Open Scheme

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

When writing your proposal….1

Divide your effort over the evaluation criteria• Many proposers concentrate on the scientific element, but lose 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 …

When writing your proposal….2Make 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

Experts

Register as an expert \ evaluator

https://cordis.europa.eu/emmfp7/

Getting help with your proposal Proposers’ days and briefings

Partner search facilities

http://cordis.europa.eu/ist/partners/partner.htm

www.ideal-ist.net

A supporting website of advice, information and documentation: http://cordis.europa.eu/fp7/ict

Pre-proposal check

Network of National Contact Point:

http://cordis.europa.eu/fp7/ncp.htm

Enterprise Ireland support funding For Academics

Travel Grant Proposal Preparation Support (Co-ordinators)

For Companies Feasibility Grant Scheme

http://www.enterprise-ireland.com/FP7/Financial+Support.htm

Useful websites etc Cordis FP7http://cordis.europa.eu/fp7/home_en.html ICT on Cordishttp://cordis.europa.eu/fp7/ict/ Hyperionhttp://www.hyperion.ie/ EPFhttp://www.efpconsulting.com/front/ShowCategory.aspx?CatID=30

ICT National Contact PointsStephen O’Reilly

EI Cork021 4800217087 9281449stephen.oreilly@enterprise-ireland.com

Gerard Kennedy

EI Limerick061 408869087 6967478gerard.kennedy@enterprise-ireland.com