European Commission Research DG Philippe Stalins FP7 IDEAS The European Research Council

7 th Framework Programme “Family” of FP7 Specific Programmes: –Cooperation –Ideas –People –Capacities

Ideas Specific Programme  Sets overall objectives for research and operating principles  Provides funding to basic research: ─Budget ( ) : € 7.51 bn (around 15% of FP7 budget) ─Average budget: € ~1 bn per year  Creates the European Research CouncilEuropean Research Council

Establishes overall scientific strategy Establishes work programme (incl. calls for proposals, evaluation criteria); Defines peer review methodology; ensures selection and accreditation of experts Controls quality of scientific operations and management Ensures communication with the scientific community Executes annual work programme (as established by the Scientific Council) Implements calls for proposals and provide information and support to applicants Organises peer review evaluation Establishes and manages grant agreements Administers scientific and financial aspects and follow-up of grant agreements Ernst-Ludwig Winnacker Secretary General Dr. Daniel Estève – Vice Chair Prof. Helga Nowotny – Vice Chair Prof. Fotis Kafatos Chair The European Union (represented by the European Commission) Provides financing through the EU 7 th framework programme Guarantees autonomy of the ERC Assures the integrity and accountability of the ERC Adopts annual work programmes as established by the Scientific Council The Secretary General Ensures close liaison between the Scientific Council and the Dedicated Implementation Structure Monitors the implementation of the Scientific Council’s strategy and position by the Dedicated Implementation Structure Participates in the ERC board European Research Council Dedicated Implementation Structure Commission Executive Agency

“Family” of FP7 Specific Programmes: –Cooperation –Ideas –People –Capacities 7 th Framework Programme Funding schemes Coordination and Support Actions Support for ‘frontier’ research

Two streams of activity: 1.ERC Starting Independent Researcher Grant scheme (ERC Starting Grant)ERC Starting Grant  1 st call for proposals published, closed on 25 April 2007, 9,167 proposals for ≈ 250 grants and €290 million 1 st call for proposals 2.ERC Advanced Investigator Researcher Grant scheme (ERC Advanced Grant)ERC Advanced Grant  1 st call for proposals to be published by the end of 2007 Requirements Evaluated on the sole criterion of excellence.criterion of excellence

1. ERC Starting Grant The objective : Is to support researchers at the start of their independent research career and help them establishing or consolidating their own independent research team (or research programme); To provide a structure to researchers for transition from working under a supervisor to becoming an independent research leader; Up to 5 years; €100,000 to €400,000 per year.

2. ERC Advanced Grant The objective : Is to support excellent investigator-initiated research projects carried out by established independent research leaders; To complement the ERC Starting Grant scheme by attracting researchers who have already established their independence as team leaders; Up to 5 years; €100,000 to €500,000 per year.

Evaluation criterion Excellence is the sole criterion: It will be applied to the evaluation of both the researcher and the research project. The evaluation will also assess the extent to which the research environment enables the excellence of the project to be achieved.

ERC Requirements 1.Principal Investigator: Nationality of researchers is not relevant. 2.Host organisation: To be located in MS or AS. 3.Frontier Research Projects: All fields of science and scholarship are eligible (investigator-driven, bottom-up).

ERC Grant Agreement ERC Grant Agreement Amendment Supplementary Agreement Supplementary Agreement Supplementary Agreement Supplementary Agreement Accession forms ERC Grant Agreement Amendment Single BeneficiaryMulti Beneficiary Portability

Core grant Article 2: Principal Investigator (PI) Naming the Principal Investigator Reference to supplementary agreement between the PI and the beneficiary hosting and engaging him / her; Article 4: Reporting Parallel streams for the scientific reporting and the financial management reporting. Annex I Description of Work: based on the proposal text taking up the results of the evaluation includes the estimated breakdown of the budget Annex II Article II.2 Specific performance obligations of the beneficiary Article II.3 Specific performance obligations of the principal investigator Article II.4 ReportsReports Article II.15 Identification of direct and indirect costsIdentification of direct and indirect costs Article II.16 Upper funding limitUpper funding limit Article II.26IPRIPR Article II.33Requests for amendments and terminationRequests for amendments and termination Article II.34Approval of amendments & termination ERC Grant Agreement Structure Annex III ERC Accession form for other beneficiaries. Annex IV Financial statement form Annex V Terms of reference for the certification of costs and on the methodologyTerms of reference for the certification of costs and on the methodology.

Payment Modalities Example: of a frontier research project of 5 years divided in “x” financial mana- gement reporting periods with a maximum Community financial contribution of € “z” PaymentsTime limitsAmounts paid A pre-financing Within 45 days following the date of entry into force of the ERC GA ( z / x * 160% ) - ( z * 5% ) Up to 90% (85%) of the maximum Community financial contribution Pre-financing Contribution to the guarantee fund Interim payment “1” Within 105 days of the receipt and approval of the financial management report Total amount claimed and accepted - Interest yielded by the pre-financing … …… Interim payment “x-1” Within 105 days of the receipt and approval of the financial management report Total amount claimed and accepted - Interest yielded by the pre-financing Final payment Within 105 days of the receipt and approval of the financial management report Total amount claimed and accepted up to the maximum Community financial contribution -+-+ Interest yielded by the pre-financing Contribution from the guarantee fund

Eligible –ActualActual –Incurred during the duration of the project –In accordance with usual accounting, management principles and practices of the beneficiary –Incurred by, and recorded in the accounts of the beneficiary –Used for the sole purpose of achieving the objectives of the project –Indicated in the estimated overall budget in Annex I Non-eligible –Identifiable indirect taxes, including VAT… –… excessive or reckless expenditure Eligible vs. Non-eligible Costs

Eligible Average Costs Average personnel costs accepted if : They are consistent with the management principles and accounting practices of the beneficiary They do not significantly differ from actual personnel costs They are based on a certified methodology approved by the Commission (II.4 and Annex V-b)

Certification 1.Expenditure verification Certificate on Financial Statements Certificate on Financial Statements [Annex V-A] 2.System verification Certificate on the Methodology Certificate on the Methodology [Annex V-B] To be established by an independent auditorindependent auditor

Certificate on Financial Statements Report of factual findings on costs claimed To be established in the language indicated for the financial management reporting in Article 4.2, based on the compulsory report format provided for in Annex V-A Two situations: –A Certificate on Financial Statements (CFS) is mandatory when the cumulated requested Community financial contribution reaches €375,000 –Not mandatory for interim financial management reports if a Certification on the Methodology is provided; CFS mandatory only at the end

Certificate on the methodology Report of factual findings on the methodology of calculating personnel costs. To be established in the language indicated for the financial management reporting in Article 4.2 based on the compulsory report format provided for in Annex V-B Valid throughout FP7, once accepted by EC Particularly aimed at legal entities with multiple participation

Independent Auditor General case: –Qualified auditors under the 8 th Council Directive [2006/43/EC] on statutory audits of annual accounts and consolidated accounts Specific case of public bodies, secondary and higher education establishments and research organisations: –Competent Public Officer for which national authorities have established the legal capacity to audit the beneficiary –Not involved in the preparation of the financial statement

Third parties 1.Third parties carrying part of the work Subcontracts: – May only cover limited part of the project – Tasks to be subcontracted and an estimation of the costs 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) Specific cases: European Economic Interest Group, Joint Research Unit, affiliates carrying out part of the work (to be covered by special clause(s) under Article 7) 2.Third parties making available resources “ free of charge ” “ Third parties ” : to be indicated in Annex I, Costs may be claimed if use at the discretion of the beneficiary To be considered as receipts if contributed specifically for the project

Approval of Financial Management Reports Commission has 105 days to evaluate and execute the corresponding payment –No tacit approval of reports –Automatic payment of interests on expiry of time-limit After reception Commission may: –Approve in whole or in part –Suspend the time-limit requesting revision/completion –Reject them giving justification, possible termination –Suspend the payment in whole or in part

Community Financial Contribution for “Frontier” Research EligibleEligible Direct Costs Costs of the actual hours worked by the persons directly carrying out work under the project Equipment Travels Consumables … Third partiesThird parties: Costs of subcontracts Costs of resources made available by third parties not used on the premises of the beneficiary Indirect Costs Total of these direct costs x a flat rate of 20% as a contribution to cover indirect costs These direct costs are excluded from the calculation of the contribution to cover indirect costs Community financial contribution may reach a maximum of 100% of the total eligible costs

Portability Beneficiary “A” signs the ERC Grant Agreement. PI is entitled to move from Beneficiary “A” to a new Beneficiary “B” during the course of the project. Commission should agree to the transfer: –Beneficiary “A” does not object to the transfer;Beneficiary “A” does not object to the transfer –Beneficiary “A” objects to the transfer.Beneficiary “A” objects to the transfer

Portability Beneficiary “A” agrees to the transfer Pre-requisite: PI is determined to transfer the project (or part of it) to a new beneficiary, [ “A”  “B” ]: –Beneficiary “A” sends written request for amendment to the Commission. Commission approves after review procedure, where appropriate; –Amendment to the Grant Agreement, new Beneficiary “B” accedes to the grant agreement.

Portability Beneficiary “A” does not agree to the transfer Pre-requisite: PI is determined to transfer the project (or part of it) to a new beneficiary, [ “A”  “B” ]: –Beneficiary “A” informs the Commission of the intention of the PI and of its objection to such a transfer (financial, legal, technical); –Commission launches a review procedure to evaluate the new proposed beneficiary “B”. Following the review: Commission approves the transfer: notification to beneficiary with copy to PI. Amendment of Grant Agreement and accession of beneficiary “B”; Commission does not approve the transfer: termination of the grant agreement at the initiative of the Commission.

1 st Call in Brief 1 st Call in Brief ERC Starting Grants only Two stage submission process (to avoid oversubscription)  1 st stage – Outline Proposal: max 8 Pages ( deadline stage 1 submission: April 25, 2007)  2 nd stage – Full Proposal: max 16 Pages ( on invitation only if stage 1 proposal evaluated positively)  Proposal Components: a)CV + self-evaluation + funding ID (3/4 pages) b)Description of research project (4/10 pages) c)Description of scientific environment + resources (1/2 pages) Electronic Submission only, via EPSS (no paper submission) Pre-registration (via EPSS)  Providing ERC with indication on number & area of proposals What? Any field of science, engineering and scholarshipWhat? Who? Principal Investigator (Individual Team) + Hosting OrganisationWho? How? Consult « ERC Guide for Applicants » on Evaluated on the sole criterion of scientific excellenceEvaluated

 For operational reasons the ScC agreed on 3 main research domains: ─ Physical Sciences & Engineering ─ Biological & Life Sciences ─ Social Sciences and Humanities  The first call budget for ERC Starting Grants (€290 Mio) has been pre-allocated to these areas as follows:  45% - 40% - 15% ERC covers all fields of science, engineering and scholarship

ERC Starting Grant Requirements  PI  2-9 years since completion of PhD: Special circumstances will be taken into account, such as maternity/paternity leave, military/civil service (+3 years max.)  PI and team members  Any nationality  One ERC Grant per investigator only may be active at any one time  Hosting institution  Located in a EU member state or associated country

Evaluation Criteria Scientific Excellence is the sole Criterion  Referees and panels evaluate and score criteria under Heading 1 and Heading 2 numerically which will result in the ranking of the proposals:  0-5 points, in increments of 0.5  Threshold 8 / 10  Criteria under Heading 3 will be considered as "pass/fail" and commented but not scored 1.Potential of Principal InvestigatorPotential of Principal Investigator 2.Quality of research projectQuality of research project 3.Research Environment and ResourcesResearch Environment and Resources

ERC Starting Grant ERC Starting Grant Potential of Principal Investigator a.Quality of research output  Has the Principal Investigator published in high quality peer reviewed journals or the equivalent?  To what extent are these publications ground-breaking and demonstrative of independent creative thinking and capacity to go significantly beyond the state of the art? b.Intellectual capacity and creativity  To what extent does the Principal Investigator's record of research, collaborations, project conception, supervision of students and publications demonstrate that he/she is able to confront major research challenges in the field, and to initiate new productive lines of thinking?

ERC Starting Grant ERC Starting Grant Quality of research project a.Ground-breaking nature of the research  Does the proposed research address important challenges in the field(s) addressed?  Does it have suitably ambitious objectives, which go substantially beyond the current state of the art (e.g. including trans-disciplinary developments and novel or unconventional approaches)? b.Potential impact  Does the research open new and important, scientific, technological or scholarly horizons? c.Methodology  Stage 1: Is the outlined scientific approach (including the activities to be undertaken by the individual team members) feasible?  Stage 2: Is the proposed research methodology (including when pertinent the use of instrumentation, other type of infrastructures etc.) comprehensive and appropriate for to the project? Will it enable the goals of the project convincingly to be achieved within the timescales and resources proposed and the level of risk associated with a challenging research project?

ERC Starting Grant ERC Starting Grant Research Environment and Resources a.Transition to independence  Will the proposed project enable the Principal Investigator to make or consolidate the transition to independence? b.Host institution [normally applicant legal entity]  Does the institution hosting the project have most of the infrastructure necessary for the research to be carried out?  Is it in a position to provide an appropriate intellectual environment and infrastructural support and to assist in achieving the ambitions for the project and the Principal Investigator? c.Participation of other legal entities  If it is proposed that other legal entities participate in the project, in addition to the applicant legal entity, is their participation fully justified by the scientific added value they bring to the project?

Intellectual Property Rights Definitions Foreground: results, including information, whether or not they can be protected, which are generated under the project (ex: patent rights, design rights, rights relating to copyrights) Background: information held by a beneficiary prior to its accession to the Grant Agreement and which is necessary for carrying out the project or for using foreground Dissemination : means the disclosure of foreground by any appropriate means and including publication in any medium Access rights means licences and user rights to foreground and background Use means the direct or indirect utilisation of foreground in further research activities other than those covered by the project

Intellectual Property Rights Rights and obligations II.26 – Ownership: Foreground owned by the beneficiary that generates it II.27 – Transfer: Transfer of all rights and obligations ERC Specificity: Commission may object if it considers that it is not in accordance with the development of European economy, or is inconsistent with ethical principles and security considerations II.28 – Protection: Obligation of protection of foreground capable of industrial or commercial application Foreground must be used (II.29) in further research or commercially and disseminated (II.30)

II.31 & II.32 - Access rights: conditions should be met for granting access to foreground or background needed for implementation of the project or for use. ERC specificities led to slightly different regime for single beneficiary of ERC Grants: –For carrying out further the project, access rights shall be royalty- free –For use excluding purposes of pursuing further research activities access rights shall be royalty-free or granted under fair and reasonable conditions –Where a beneficiary intends to grant an exclusive licence, Commission may object if it considers that it is not in accordance with development of European economy, inconsistent with ethical principles and security considerations. Intellectual Property Rights Rights and obligations

Period “x” Payment of the pre-financing Project & Grant Life Cycle time Duration of the project : ≈ 5 years Date of entry into force of the Grant Agreement Start dateEnd date 45 days Scientific reporting (submitted by the PI on behalf of the beneficiary) Financial management reporting (submitted by the beneficiary) Call deadline Period “1”Period “2” Periodic scientific reportFinal scientific report Period “a” Periodic financial management report, with or without a certificate on the financial statementcertificate on the financial statement 60 days 105 days Approval of the periodic financial management report and payment Periodic financial management report, with or without a certificate on the financial statement 105 days Approval of the periodic financial management report and payment 60 days Periodic financial management report, with or without a certificate on the financial statement & 105 days Approval of reports and final payment