Programme Procedures and Information Information Society Technologies (IST) DG Information Society European Commission

IST Sixth & Seventh Calls, February 2001 slide #2 Procedures and Documentation Principles A flexible and integrated IST programme A flexible and integrated IST programme –yearly updated WP, regular Calls –cross-programme actions, clusters, co-ordination Common procedures in FP5 when appropriate Common procedures in FP5 when appropriate –Application Rules, Evaluation manual FP5-wide electronic submission FP5-wide electronic submission Simplification of information for proposers Simplification of information for proposers Internal harmonisation across FP5 programmes (where possible) Internal harmonisation across FP5 programmes (where possible)

IST Sixth & Seventh Calls, February 2001 slide #3 Life of a Project Contract Ex Ante Adv. payment Ex Post Int. paymentFinal payment ReviewAudit Signature of the Contract ProposalEvaluationSelectionNegotiation Review Final Review

IST Sixth & Seventh Calls, February 2001 slide #4Basics A flexible and integrated IST programme A flexible and integrated IST programme –yearly updated WP, regular Calls –cross-programme actions, clusters, co-ordination Common procedures in FP5 when appropriate Common procedures in FP5 when appropriate –Application Rules, Evaluation manual FP5-wide electronic submission FP5-wide electronic submission –Protool, digital signature via Certification Service Cost simplification Cost simplification –e.g. flat rate overhead Take-up funding Take-up funding –specific categories of eligible cost

IST Sixth & Seventh Calls, February 2001 slide #5 What to choose? Continuous and fixed deadlines of calls for proposals, calls for tenders, calls for experts Continuous and fixed deadlines of calls for proposals, calls for tenders, calls for experts – 14 different types of actions and contracts 14 different types of actions and contracts 16 different manuals or guidelines 16 different manuals or guidelines –

IST Sixth & Seventh Calls, February 2001 slide #6 Life of a Project Contract Ex Ante Adv. payment Ex Post Int. paymentFinal payment ReviewAudit Signature of the Contract ProposalEvaluationSelectionNegotiation Review Final Review

IST Sixth & Seventh Calls, February 2001 slide #7 Content of Information Package Workprogramme 2001 Call Text OJ Evaluation Manual - General FP 5 - IST specific Annex Guide for Proposers - Part 1 - General - Part 2.X - Action type specific IST Guidelines for Evaluators

IST Sixth & Seventh Calls, February 2001 slide #8 Sixth IST Call Open date: January 27, 2001 Open date: January 27, 2001 Deadlines: fixed call April 25, 2001 at 5 p.m. (Brussels time) Deadlines: fixed call April 25, 2001 at 5 p.m. (Brussels time) continuous call February 28, 2002 at 5 p.m. (idem) continuous call February 28, 2002 at 5 p.m. (idem) Evaluation starts: Mid May Evaluation starts: Mid May Results in June/July Results in June/July Budget: 450 million euro Budget: 450 million euro Fixed deadlineContinuous Call Fixed deadlineContinuous Call KA1: 3 RTD ALs and 2 AM1 FET Open domain KA1: 3 RTD ALs and 2 AM1 FET Open domain KA2: 8 RTD ALs +3 AM9 Support activities KA2: 8 RTD ALs +3 AM9 Support activities KA3: 6 RTD Als + 5 AM KA3: 6 RTD Als + 5 AM KA4: 6 RTD Als + 4 AM KA4: 6 RTD Als + 4 AM 6 CPA’s, 2 FET Proactive, 1 RN 6 CPA’s, 2 FET Proactive, 1 RN

IST Sixth & Seventh Calls, February 2001 slide #9 How to make a proposal - the steps 1: Check that your idea is covered by the WORKPROGRAMME Check that your idea is covered by the WORKPROGRAMME Identify the ACTION LINE which covers your idea Identify the ACTION LINE which covers your idea Check in the ROADMAP in the Workprogramme when the action line is open for call for proposals Check in the ROADMAP in the Workprogramme when the action line is open for call for proposals Check in the Action line description which TYPE OF ACTION is called for. Check in the Action line description which TYPE OF ACTION is called for. Check in the CALL TEXT that the action line and type of action are actually called for, and the DEADLINE Check in the CALL TEXT that the action line and type of action are actually called for, and the DEADLINE Contact Commission Contact Person for action line to check that your idea really is in the scope of the call Contact Commission Contact Person for action line to check that your idea really is in the scope of the callCommission Contact PersonCommission Contact Person Identify consortium Partners using CORDIS or IDEAL-IST Identify consortium Partners using CORDIS or IDEAL-IST Check that the consortium is eligible for the type of action (Guide for Proposers, PART 1, Section III) Check that the consortium is eligible for the type of action (Guide for Proposers, PART 1, Section III)

IST Sixth & Seventh Calls, February 2001 slide #10 Pre-proposal Check Service Offered in this Call uniquely for action lines in Key Action III – –IST , IST , IST , IST , IST , IST (RTD) – –IST (take-ups) – –IST , IST , IST , IST (support measures) for FET proactive initiative on Nanotechnology Information Devises – –IST Deadline for submission 1 March 2001 Feedback “asap” and no later than 12 March 2001

IST Sixth & Seventh Calls, February 2001 slide #11 How to make a proposal - the steps 2: Identify the relevant PART 2 of the Guide for Proposers for the type of action you submit for Identify the relevant PART 2 of the Guide for Proposers for the type of action you submit for Follow the instructions for PART B & C for the proposals in PART 2 Follow the instructions for PART B & C for the proposals in PART 2 Use IST GUIDELINES FOR EVALUATORS to check your proposal against the Evaluation Criteria Use IST GUIDELINES FOR EVALUATORS to check your proposal against the Evaluation Criteria Download PROTOOL from CORDIS Download PROTOOL from CORDIS Fill in the Proposal submission forms (PART A of Your Proposal) from Protool Fill in the Proposal submission forms (PART A of Your Proposal) from Protool Pack the three parts A, B and C together and SUBMIT the proposal either Electronically or on Paper (See Guide for Proposers, PART 2 or Protool for instructions) Pack the three parts A, B and C together and SUBMIT the proposal either Electronically or on Paper (See Guide for Proposers, PART 2 or Protool for instructions)

IST Sixth & Seventh Calls, February 2001 slide #12 IST Guide for Proposers Guide for Proposers has two parts: Part 1: Common sections –I. FP5 - general presentation- FP5 common –II. IST programme presentation- IST Programme specific –III. Rules of participation- FP5 common * NOTE: New version January 2001!

IST Sixth & Seventh Calls, February 2001 slide #13 IST Guide for Proposers: PART 2: Six call specific versions (yes 6!)

IST Sixth & Seventh Calls, February 2001 slide #14 RTD Proposal: Submission Forms Three parts: A. Administrative, budgetary information A. Administrative, budgetary information –(Forms A0-A4) B. Scientific/technical content B. Scientific/technical content –relates to 1st block evaluation criteria –Anonymous. C. EU added value, contribution to community policies, dissemination, exploitation and management C. EU added value, contribution to community policies, dissemination, exploitation and management –relates to the 2 to 5th evaluation block –Non anonymous Notes: (1) Accompanying Measures & Concerted Actions follow this model, but Part B is NOT anonymous NOT anonymous (2) FET 0pen is 2-step submission

IST Sixth & Seventh Calls, February 2001 slide #15 How to make a proposal - the steps 2: Identify the relevant PART 2 of the Guide for Proposers for the type of action you submit for Identify the relevant PART 2 of the Guide for Proposers for the type of action you submit for Follow the instructions for PART B & C for the proposals in PART 2 Follow the instructions for PART B & C for the proposals in PART 2 Use IST GUIDELINES FOR EVALUATORS to check your proposal against the Evaluation Criteria Use IST GUIDELINES FOR EVALUATORS to check your proposal against the Evaluation CriteriaIST GUIDELINES FOR EVALUATORSIST GUIDELINES FOR EVALUATORS Download PROTOOL from CORDIS Download PROTOOL from CORDIS Fill in the Proposal submission forms (PART A of Your Proposal) from Protool Fill in the Proposal submission forms (PART A of Your Proposal) from Protool Pack the three parts A, B and C together and SUBMIT the proposal either Electronically or on Paper (See Guide for Proposers, PART 2 or Protool for instructions) Pack the three parts A, B and C together and SUBMIT the proposal either Electronically or on Paper (See Guide for Proposers, PART 2 or Protool for instructions)

IST Sixth & Seventh Calls, February 2001 slide #16 IST Guidelines for Evaluators Gives evaluation and post-evaluation procedure for evaluators’ information Appendix 1 – Bursaries Appendix 1 – Bursaries Appendix 2 - Evaluation forms Appendix 2 - Evaluation formsEvaluation formsEvaluation forms Appendix 3 - Procedures for handling Appendix 3 - Procedures for handling Grant Applications Grant Applications Appendix 4 - Panel Report Appendix 4 - Panel Report Appendix 5 - Policy Issues Appendix 5 - Policy IssuesPolicy IssuesPolicy Issues Appendix 6 - Glossary Appendix 6 - Glossary

IST Sixth & Seventh Calls, February 2001 slide #17 IST Guidelines for Evaluators Appendix 2 - Evaluation forms Appendix 2 - Evaluation forms –2.AEvaluation forms –2.B Information on Eligibility Forms - C.1, C.2 –2.C Specific issues for shared-cost R&D Specific issues for shared-cost R&DSpecific issues for shared-cost R&D and Demonstration and Demonstration –2.D Specific issues for Accompanying Measures –2.E Specific issues for Concerted Actions and Thematic Networks Thematic Networks –2.F Specific issues for Access and Assessment Actions –2.G Specific issues for Best Practice Actions –2.H Specific issues for Trials –2.I Specific issues for FET actions

IST Sixth & Seventh Calls, February 2001 slide #18 2.CSpecific issues - shared-cost R&D & Demonstration

IST Sixth & Seventh Calls, February 2001 slide #19 Who can participate Normally (RTD): - at least 2 EU partners - or 1 EU + 1 Associated State Normally (RTD): - at least 2 EU partners - or 1 EU + 1 Associated State Under normal funding conditions/obligations Under normal funding conditions/obligations –EU (+JRC) - From associated country Self financing - conform with Community interests Self financing - conform with Community interests –Non-associated European and Mediterranean partner countries –Countries with S&T agreement –International organisations Self financing - conform with Community interest & substantial added value for programme Self financing - conform with Community interest & substantial added value for programme –other countries Accompanying Measures and most Take-UP: Accompanying Measures and most Take-UP: –1 Contractor (EU or Associated State) possible

IST Sixth & Seventh Calls, February 2001 slide #20 Associated States EFTA-EEA: EFTA-EEA: Iceland, Liechtenstein, Norway EU candidate member states: EU candidate member states: Bulgaria, Cyprus, Czech Rep, Estonia, Hungary, Latvia Lithuania, Poland, Romania, Slovakia, Slovenia = Newly Associated States (NAS) Malta (treated like fully associated) Turkey (other European or Mediterranean) Others: Others: Israel - fully associated Switzerland - under ratification process

IST Sixth & Seventh Calls, February 2001 slide #21 Extension of existing IST contracts with NAS partners Action line IST-2001-VIII.1.6 “Enabling RTD co- operation with Newly Associated States” Action line IST-2001-VIII.1.6 “Enabling RTD co- operation with Newly Associated States” For any kind of running IST project For any kind of running IST project Implementation by amending the existing project contract Implementation by amending the existing project contract Continuous submission up to 28 February, 2002 Continuous submission up to 28 February, 2002 See more details in Appendix 5 of the Guideline for proposers - Part 2A See more details in Appendix 5 of the Guideline for proposers - Part 2A

IST Sixth & Seventh Calls, February 2001 slide #22Submission Preparation of Part A of proposals by coordinator using PROTOOL software tool available on CORDIS Preparation of Part A of proposals by coordinator using PROTOOL software tool available on CORDIS –Electronic communication of administrative and financial data between partners possible THEN Full Proposal (parts A, B and C) THEN Full Proposal (parts A, B and C) –Submitted electronically (digital certificate) OR –Submitted by print out on paper. –Paper forms from guides allowed, but not recommended (difficult to use OCR) –Original signatures not required at the proposal stage - signed copies will be accepted Ensure that Your proposal is RECEIVED BEFORE the deadline!

IST Sixth & Seventh Calls, February 2001 slide #23 Life of a Project Contract Ex Ante Adv. payment Ex Post Int. paymentFinal payment ReviewAudit Signature of the Contract ProposalEvaluationSelectionNegotiation Review Final Review

IST Sixth & Seventh Calls, February 2001 slide #24 FP 5 Evaluation Manual Defines General Eligibility and Evaluation Criteria, Operating procedures and Reporting Defines General Eligibility and Evaluation Criteria, Operating procedures and Reporting Five Blocks of evaluation criteria following the Council decisions : Five Blocks of evaluation criteria following the Council decisions : - Scientific/Technological Quality and Innovation - Scientific/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 Sixth & Seventh Calls, February 2001 slide #25 IST Annex to Evaluation Manual Defines the application of the general evaluation rules for the IST programme. Defines the application of the general evaluation rules for the IST programme. Explains how the general Evaluation criteria will be applied in the IST context for the different types of actions and adds criteria defined in the IST decision. Explains how the general Evaluation criteria will be applied in the IST context for the different types of actions and adds criteria defined in the IST decision. - Appropriate Industrial involvement in industry related projects Defines thresholds for specific criteria and relative weighting of evaluation criteria blocks Defines thresholds for specific criteria and relative weighting of evaluation criteria blocks

IST Sixth & Seventh Calls, February 2001 slide #26 Evaluation Steps Proposal receipt and registration Eligibility and compliance: C1 Individual assessment: E1, E2 Panel Consensus meeting:C2, E3, E4 Panel meeting: Ranked list, Panel Report, (ESR) ESRs, Panel Reports Evaluation Report Implementation Plan With Evaluators

IST Sixth & Seventh Calls, February 2001 slide #27 Evaluation in IST (1) Anonymity for “Scientific & Technological Quality” (RTD and FET Open only!)Anonymity for “Scientific & Technological Quality” (RTD and FET Open only!) Relevant Questions related to eligibilityRelevant Questions related to eligibility -Within scope of WP and Call -Respect of ethical principles -Appropriate industrial participation -At least two non-affiliated partners from different Member States (or MS + AS) -Format requirements May lead to exclusion from further evaluation

IST Sixth & Seventh Calls, February 2001 slide #28 Evaluation in IST (2) Example for R&D projects Criteria Weight (1) Threshold (2) Scientific/Technological Quality and innovation4 >= 3 Community Added Value and contribution to EU policy1 >= 2 Contribution to Comm. Social objectives1 - Economic Dev; S&T prospects (range of applications, exploitation, strategic impact, dissemination) 2 >= 3 Resources, Partnership, Management2 >= 2 1) Weight on a scale of 10 (sum 10) 2) Threshold with respect to score 0-5

IST Sixth & Seventh Calls, February 2001 slide #29 Evaluation in IST (3) 1. Individual evaluation by at least 3 experts 1. Individual evaluation by at least 3 experts –first criterion 1 (anonymous for RTD and FET Open), then criteria Consensus between 3 experts on draft summary 2. Consensus between 3 experts on draft summary –scores for 5 criteria + comments 3. Discussion in panel for ranking and final overall 3. Discussion in panel for ranking and final overall mark to proposals mark to proposals 4. Final ranking and recommendations 4. Final ranking and recommendations –decisions documented in Evaluation report

IST Sixth & Seventh Calls, February 2001 slide #30Contracts Main types of Contracts (with “derived” versions each): Main types of Contracts (with “derived” versions each): –Shared cost RTD (Research, Demonstration, Combined R&D) –Coordination (Concerted Actions, Thematic Networks) –Accompanying Measures (Take-up) –Fellowships (Marie Curie) –SME Awards / Cooperative Research

IST Sixth & Seventh Calls, February 2001 slide #31 Cost Reimbursement Contract for RTD Projects MAIN NOVELTIES (compared to FP4) MAIN NOVELTIES (compared to FP4) –Principal and assistant contractors –Tasks of the co-ordinator reinforced –Split of scientific co-ordination and financial/administrative co-ordination possible in exceptional cases –Introduction of penalties –Percentage of Community funding specified in a table –Periodic reports and cost statements cover the same period –Applicable law - law of competent authorising officer (i.e. Belgian or Luxembourg law) –Deadline for amendment requests

IST Sixth & Seventh Calls, February 2001 slide #32Partnership Coordinator-contractor Coordinator-contractor –signs contract; liaison to Programme Principal Contractor Principal Contractor –signs contract - jointly and severally liable Assistant Contractor (in R&D + demo) Assistant Contractor (in R&D + demo) –signs contract - restricted liability and rights Member (in Thematic Network, Take-Up only) Member (in Thematic Network, Take-Up only) –signs membership agreement with Coordinator - in networks and Take-up measures Subcontractor Subcontractor –Rights to contractor - competitive prices

IST Sixth & Seventh Calls, February 2001 slide #33 11 Full cost, actual overhead (funded at 50 %) 22 Full cost, flat overhead rate (funded at 50 %). Under this model overheads are fixed at 80 % of the labour cost claimed. of the labour cost claimed. Full cost, flat overhead rate (funded at 50 %). Under this model overheads are fixed at 80 % of the labour cost claimed. of the labour cost claimed. 33 Additional costs (funded at 100 %). This model is limited to those organisations whose accounting system is based on disbursals and not on costs (universities, governmental organisations, etc.) Additional costs (funded at 100 %). This model is limited to those organisations whose accounting system is based on disbursals and not on costs (universities, governmental organisations, etc.) 3 funding models are available : 3 funding models are available : Models of Funding - RTD

IST Sixth & Seventh Calls, February 2001 slide #34 Eligible Cost categories - RTD/AM – –Personnel, – –Durable equipment, – –Consumables, – –Travel and Subsistence, – –Computing, – –Subcontracting, – –IPR protection, – –Other specific costs, – –Overheads, – –Coordination costs

IST Sixth & Seventh Calls, February 2001 slide #35 Models of Funding - Other Actions Accompanying Measures (NOT Take-Up) : –All participants calculate overhead as percentage of personnel costs, max. 80% Take-Up Actions –Only certain eligible cost categories allowed for each action. Overhead not allowed. See: Guide for Proposers, Part 2 B

IST Sixth & Seventh Calls, February 2001 slide #36 Models of Funding - Other Actions Concerted Actions/Thematic Networks : –All participants use Additional Cost Model, i. e. 20% Overhead on all costs except subcontracting. Permanent staff can be used if time records are kept. – –Personnel, – –Travel and Subsistence, – –Computing, – –Subcontracting, – –Other specific costs, – –Overheads.

IST Sixth & Seventh Calls, February 2001 slide #37 Direct financial-administra- tive Co-ordination costs Costs for protection of research results can only be claimed by the financial-admini- can only be claimed by the financial-admini- strative co-ordinator strative co-ordinator no research costs no research costs cannot be subcontracted cannot be subcontracted eligible if : foreseen in the DoW or agreed with the Commission ; foreseen in the DoW or agreed with the Commission ; incurred during the duration of the contract incurred during the duration of the contract Costs for Co-ordination and IPR protection

IST Sixth & Seventh Calls, February 2001 slide #38 Intellectual Property Rights (IPR) EU Funding 50% or less: EU Funding 50% or less: –IPR belongs to the contractors EU Funding between 50% and 100%: EU Funding between 50% and 100%: –IPR negotiated between Commission and contractors EU Funding 100% of total eligible cost EU Funding 100% of total eligible cost –IPR belongs to the Commission as general rule

IST Sixth & Seventh Calls, February 2001 slide #39 Life of a Project Contract Ex Ante Adv. payment Ex Post Int. paymentFinal payment ReviewAudit Signature of the Contract ProposalEvaluationSelectionNegotiation Review Final Review

IST Sixth & Seventh Calls, February 2001 slide #40 Contract Negotiation Guidelines for Contract Preparation for Co- ordinators of IST projects Guidelines for Contract Preparation for Co- ordinators of IST projects   Project Management Workpackage.   Assessment and Evaluation Workpackage   Dissemination and Implementation Workpackage (for RTD) Contract preparation forms (CPFs) Contract preparation forms (CPFs) “Electra” -software tool for filling in the CPFs “Electra” -software tool for filling in the CPFs Legal and Financial Viability Checks Legal and Financial Viability Checks –Excerpt of Chamber of Commerce –Annex II of the CPFs –Balance sheet and profit and loss account Contract signature by mandates Contract signature by mandates

IST Sixth & Seventh Calls, February 2001 slide #41 Legal and Financial Viability Check on legal existence and financial viability of contractors will be done by EC before contract signature Check on legal existence and financial viability of contractors will be done by EC before contract signature Takes all other participations in FP into account Takes all other participations in FP into account Results may lead to reduction of participation or exclusion Results may lead to reduction of participation or exclusion If reasonable, proper solutions with partners to be found case by case If reasonable, proper solutions with partners to be found case by case

IST Sixth & Seventh Calls, February 2001 slide #42 Life of a Project Contract Ex Ante Adv. payment Ex Post Int. paymentFinal payment ReviewAudit Signature of the Contract ProposalEvaluationSelectionNegotiation Review Final Review

IST Sixth & Seventh Calls, February 2001 slide #43 Pilot of Audit Certificate All research, demonstration and combined research and demonstration contracts in the 6th, 7th and 8th calls All research, demonstration and combined research and demonstration contracts in the 6th, 7th and 8th calls Will be required when the contractor has: Will be required when the contractor has: –Costs of more than € 250,000 for the first 12 month period of the project; –Total project costs exceeding € 250,000 for the final consolidated cost statement To be issued by an independent professional auditor qualified to carry out statutory audits of accounting documents To be issued by an independent professional auditor qualified to carry out statutory audits of accounting documents

IST Sixth & Seventh Calls, February 2001 slide #44 Pilot of Audit Certificate Cost of an audit certificate eligible cost Cost of an audit certificate eligible cost –the CEC contribution limited to € per audit certificate Maximum two audit certificates per contractor Maximum two audit certificates per contractor Retention ceiling (= an amount retained for the final payment) will be increased from 15 % to 20 % of the maximum funding Retention ceiling (= an amount retained for the final payment) will be increased from 15 % to 20 % of the maximum funding Faster payments! Faster payments!

IST Sixth & Seventh Calls, February 2001 slide #45 Life of a Project Contract Ex Ante Adv. payment Ex Post Int. paymentFinal payment ReviewAudit Signature of the Contract ProposalEvaluationSelectionNegotiation Review Final Review

IST Sixth & Seventh Calls, February 2001 slide #46 Some administrative points Review meetings Review meetings –Articles 27 and 28 of Annex II and Annex III point 2 of the Contract –Technological audit possible up to one year after expiry of the CEC contract; –Financial audits -- Up to five years after the expiry –Final review costs after the expiry of the contract not eligible costs!! Contractual Reports Contractual Reports –Periodic Progress Reports (PPR) and Cost Statements (CS) –Technology Implementation Plan (TIP) –Final Report + Public Final Report Annex III: Obligation to attend “Concertation days” Annex III: Obligation to attend “Concertation days” Contract Amendments Contract Amendments –time limit for requests

IST Sixth & Seventh Calls, February 2001 slide #47 Important details - keep up to date ! IST helpdesk IST helpdesk Fax : Official Journal (call text) - Official Journal (call text) - Workprogramme - Workprogramme - Guide for Proposers - Guide for Proposers - Evaluation manual - Evaluation manual