Information Society Technologies IST Information Society Technologies IST IST Call 1 Contract negotiation Brussels 17 July, 2003

Outline of presentation FP6 instruments FP6 instruments –Integrated Projects –Networks of Excellence –Specific Targeted Research projects Coordination actions & support measures Negotiation Material Negotiation Material –Overview negotiation process –Contract Preparation Forms (CPF) –Negotiation Guidance Notes

Characteristics of the instruments

Integrated Projects - activities Activities integrated in a project may cover the full research spectrum Activities integrated in a project may cover the full research spectrum –research and technology development activities –demonstration activities –technology transfer or take-up activities –training activities –dissemination activities –knowledge management and exploitation –management activities An Integrated Project should comprise An Integrated Project should comprise –a coherent set of activities –with an appropriate management structure

Networks of Excellence (NoE) - objectives To reinforce or strengthen scientific and technological excellence on a given research topic To reinforce or strengthen scientific and technological excellence on a given research topic –by integrating the critical mass of expertise needed to provide European leadership and be a world force –around a Joint programme of activity (JPA) Structuring European research by integrating research capacities across Europe. Structuring European research by integrating research capacities across Europe. –Durable integration –To progress knowledge on a particular theme Overcome the fragmentation of European research Overcome the fragmentation of European research To act as a “Virtual Centre of Excellence” To act as a “Virtual Centre of Excellence” To spread excellence beyond the partners To spread excellence beyond the partners

NoE the joint programme of activities (1) A range of new or re-oriented activities: Integrating activities coordinated programming of the partners’ activities coordinated programming of the partners’ activities sharing of research platforms/tools/facilities sharing of research platforms/tools/facilities joint management of the knowledge portfolio joint management of the knowledge portfolio staff mobility and exchanges staff mobility and exchanges relocation of staff, teams, equipment relocation of staff, teams, equipment reinforced electronic communication systems reinforced electronic communication systems

NoE the joint programme of activities (2) Joint research activities: a programme of joint research to support the network’s goals development of new research tools and platforms for common use development of new research tools and platforms for common use generating new knowledge to fill gaps in or to extend the collective knowledge portfolio generating new knowledge to fill gaps in or to extend the collective knowledge portfolio

NoE the joint programme of activities (3) Activities to spread excellence training researchers and other key staff training researchers and other key staff dissemination and communication activities dissemination and communication activities networking activities to help transfer knowledge to trams external to the network networking activities to help transfer knowledge to trams external to the network where appropriate, promoting the exploitation of the results generated within the network where appropriate, promoting the exploitation of the results generated within the network where appropriate, innovation-related activities where appropriate, innovation-related activities Management Activities

Measuring integration In their proposal, participants will include possible qualitative and quantitative indicators for measuring progress towards integration In their proposal, participants will include possible qualitative and quantitative indicators for measuring progress towards integration Main factors to be examined Main factors to be examined –extent of mutual specialisation and mutual complementarity –sharing /development for common use of research infrastructure, equipment, tools and platforms –regular joint execution of research projects –interactive working through electronic communication systems –joint management of the knowledge portfolio –joint training programme (researchers and other key staff) –coherent management framework

Months Reporting Accepted costs Reporting Detailed work plan Accepted costsAdjusted advance Reporting Detailed work planAccepted costs Adjusted advance Reporting Accepted costs Detailed work plan Adjusted advance Detailed work plan Initial advance IPs & NoEs - payment & report schedule Example of 4 year contract

Resources: each project must assemble the resources needed to achieve its objectives Resources: each project must assemble the resources needed to achieve its objectives –activities included may range up to several millions of € but no minimum thresholdbut no minimum threshold Partnership: minimum of three participants from three different countries (for an SSA a single one eligible) Partnership: minimum of three participants from three different countries (for an SSA a single one eligible) –but in practice likely to be more SME participation is strongly encouragedSME participation is strongly encouraged ‘Third country’ participants may be included, with a possibility of Community financial support for certain groups of countries‘Third country’ participants may be included, with a possibility of Community financial support for certain groups of countries Duration: typically two to three years Duration: typically two to three years –but exceptionally more if duly justified as necessary to deliver the objectives Expected scale for STREPs, CAs and SSAs

Payments and reporting schedule STP, CA, SSA Final activity report Reported costs + audit certificate (mandatory) Final payment Periodic activity report (mid-term review : optional) Reported costs + (audit certificate if required) Intermediate payment/ settlement Detailed work plan Initial advance Months Example of a three year STREP, CA or SSA project

STREPs main characteristics STREPs compared to IPs: STREPs compared to IPs: –The STREP scale of ambition is much more limited than that of IPs, consequently : –Different: Value of activities, Duration, Size of the consortium, Types of activities, Types of Calls (EOI-Calls), Evaluation process/key issues (partly), Negotiation, Consortium agreement, Implementation (partly), Foolow-up (partly) STREPs compared to FP5 RTD projects : STREPs compared to FP5 RTD projects : –Similar: Objectives, Scale of ambition, Value, Duration, Size of consortium, Types of participants, Calls, Evaluation, Negotiation, Follow-up, Audits –Different: Financial regime, Simplified Proposals, Contractual aspects, Consortium agreement, Collective responsibility, Implementation, IPR

CAs main characteristics CAs compared to NoE: CAs compared to NoE: –Instrument for ad hoc co-operation between organisations for a specific purpose - no requirement for durable integration of all activities –A networking instrument for research funded from other sources (EC/national/regional) CAs compared to SSAs: CAs compared to SSAs: –Instrument for more longer term co-operation and networking compared to the more stand alone activities to be funded by SSAs CAs compared to IPs and STREPs: CAs compared to IPs and STREPs: –CA is not an instrument to fund research

Outline of presentation FP6 instruments FP6 instruments –Integrated Projects –Networks of Excellence –Specific Targeted Research projects Coordination actions & support measures Negotiation Material Negotiation Material –Overview negotiation process –Contract Preparation Forms (CPF) –Negotiation Guidance Notes

Negotiation invitation letter Negotiation invitation letter Framework for negotiations Framework for negotiations Model contract Model contract FP6 Financial Guidelines FP6 Financial Guidelines CPFs - per instrument CPFs - per instrument FP6 Negotiation Guidance Notes - per instrument FP6 Negotiation Guidance Notes - per instrument instructions for writing Annex I - Description of Work “CPF Editor” - a software tool for Administrative forms “CPF Editor” - a software tool for Administrative forms FAQs FAQs Negotiation material

Commission sends invitation to negotiate (1 July, 2003) Commission sends invitation to negotiate (1 July, 2003) Proposal coordinator sends back Proposal coordinator sends back Draft CPF forms Annex I, Description of work Documented accounts for last 2 year (non-public bodies) (only co-ordinator and some other cases) Legal documents establishing the organisation (non-public bodies) Negotiation meeting(s) Negotiation meeting(s) (For NOEs - finalise list of researchers and budget) Proposal coordinator sends final CPF forms (signed) and final Annex I Proposal coordinator sends final CPF forms (signed) and final Annex I Project starts work promptly following contract signature by Commission Project starts work promptly following contract signature by Commission Negotiation procedure

Scope of negotiations Negotiation covers reaching an agreement on scientific, legal and financial aspects Negotiation covers reaching an agreement on scientific, legal and financial aspects –scientific=-work programme, including objectives & milestones -clustering -European Research Area -... –legal=-contract options -eligibility issues -special conditions –financial=-budget -pre-financing -timing the collection/verification of administrative/ financial information and clarifying contractual issues

Framework for negotiation Framework for negotiation includes Framework for negotiation includes –required changes arising from the evaluation process –indicative budget and funding –timeframe for negotiation –duration of the project and is based on –Evaluation Summary Report –Evaluation Report / Implementation Plan - strategic considerations

Role of PO and co-ordinator Role of the Project Officer Role of the Project Officer –single interface with proposers, may lead a negotiation team –plan and conduct negotiations within framework –ensure negotiations are completed in time Proposal co-ordinator Proposal co-ordinator –lead negotiation on the proposers’ side –ensure consortium is informed/in agreement with decisions taken –ensure proper consortium representation at negotiations meeting(s) at contracting stage –ensure accession of other contractors within contractual timeframe –will normally become project co-ordinator

A1 General information on the proposal A1 General information on the proposal Proposal name, number, acronym, duration, proposal abstract…. A2 Information on participant A2 Information on participant 2a - Name and address, legal status, dependencies, cost model… 2b - Authorised signatory (signatories), Department identity 2c - Signed declaration of contents and status CPF forms A1, A2

A3 Detailed financial information IP A3 Detailed financial information IP 3.1 Cost and funding per participant per activity 3.2 Breakdown of funding per reporting period 3.3 First 18 month cost and funding per participant per activity A3 Detailed financial information - NOE A3 Detailed financial information - NOE 3.1 Breakdown of funding per reporting period 3.2 Researchers and students per participant A3 Detailed financial information - Traditional instruments A3 Detailed financial information - Traditional instruments 3.1 Cost and funding per participant per activity 3.2 Breakdown of funding per reporting period CPF forms A3 - budget forms

A4 Coordinator bank information A4 Coordinator bank information A5 Confirmation of additional financial documents enclosed A5 Confirmation of additional financial documents enclosed A6 Simplified balance sheet for last Financial Year A6 Simplified balance sheet for last Financial Year (non-public bodies) CPF forms A4, A5, A6

Co-ordinators guidance Notes

1. Project summary 2. Project objective(s) 3. Participant list 4. Relevance to the objectives of the IST objectives 5. Potential Impact 6. Outline implementation plan for the full duration of the project (by activity) 7. Project management 8. Detailed implementation plan – first 18 months 9. Project resources and budget overview 10. Ethical Issues 11. Other issues (optional) Appendix A - Documents appended to Annex 1 Appendix A - Documents appended to Annex 1 Annex I format - IP

2. Project objectives - IP Allow for progress of the project to be measured against these objectives Allow for progress of the project to be measured against these objectives Objectives must be measurable, verifiable, specific, realistic and timed Objectives must be measurable, verifiable, specific, realistic and timed Six step methodology Six step methodology 1identify project goals in terms of six evaluation criteria 2translate goals into project objectives 3translate objectives into operational goals & identify means to achieve them 4describe baseline data of progress measurement 5describe what measure of “success” to use 6make it happen by allocating specific workpackage to review & assessmentallocating specific workpackage to review & assessment describing how output of on-going assessment will feed into project managementdescribing how output of on-going assessment will feed into project management

5. Potential impact - IP Strategic impact in terms of Strategic impact in terms of –reinforcing competitiveness and/or –solving societal problems and/or –addressing specific problems Innovation related activities Innovation related activities –exploitation/further research/take-up –dissemination - awareness also with the public at large Added value from doing work at European level, how build on other national or international research Added value from doing work at European level, how build on other national or international research To include, if relevant, To include, if relevant, 5.1 contribution to standards 5.2 contribution to policy developments 5.3 risk assessment and related communication strategy

6. Outline implementation plan for the full duration of the project – –6.A - Activities 6.1 Research, technological development and innovation activities 6.2 Demonstration activities: 6.3 Training activities 6.4 Management activities – –6.B - Plans 6.5 Plan for using and disseminating knowledge 6.6 Gender Action Plan 6.7 Raising public participation and awareness – –6.C - Milestones 6.8 Major Milestones over full project duration 6. Outline implementation plan - IP

8. Detailed implementation plan – first 18 months: – –8.1 Introduction - general description and milestones – –8.2 Planning and timetable - first 18 months – –8.3 Graphical presentation of work packages – –8.4 Work package list / overview – –8.5 Deliverables list: – –Optional deliverables Project Presentation – –Compulsory deliverables Dissemination and Use plan Gender Action Plan – –8.6 Work package descriptions 8, Detailed implementation plan - IP

9. Project resources and budget - IP 9. Project resources and budget overview –9.1 IP Project Effort Form - full duration –9.2 IP Project Effort Form - first 18 months –9.3 Overall budget for the full duration of the project (CPF forms A3.1 and A3.2) –9.4 Budget for the first 18 months (CPF form A3.3) –9.5 IP management level description of resources and budget Justification to substantiate costs, e.g. by requesting Justification to substantiate costs, e.g. by requesting –per activity/per contractor personnel effortpersonnel effort personnel costspersonnel costs indirect costs vs personnel costsindirect costs vs personnel costs subcontractingsubcontracting third party contributionthird party contribution other significant direct costsother significant direct costs –effort commensurate with tasks

Documents appended to Annex 1 – –Appendix A - Consortium description A.1 Participants and consortium A.2 Sub-contracting A.3 Third parties A.4 Competitive calls A.5 Funding of third country participants Appendix A - IP

6. Outline implementation plan for the full duration of the project – –6.A - Activities 6.1 Integrating activities 6.2 Programme for jointly executed research activities 6.3 Spreading of excellence activities 6.4 Management activities – –6.B - Plans 6.5 Plan for using and disseminating knowledge 6.6 Gender Action Plan 6.7 Raising public participation and awareness – –6.C - Milestones 6.8 Major Milestones over full project duration Annex I format - NoEs

7. Quality of integration and performance indicators 8. Project organisation, management and governance structure 9. Detailed joint programme of activities (JPA) - first 18 months - Same structure as for IPs 10. Project resources and estimation of incurred eligible costs – –9.1 NoE Project Effort Form - full duration – –9.2 NoE Project Effort Form - first 18 months – –9.3 EC contribution full duration (CPF forms A3.1 and A3.2) – –9.4 NoE management level description of resources and grant Documents appended to Annex 1 – –Appendix A - Consortium description A.1 Participants and consortium including list of researchers and PhD students Annex I format - NoEs

1. Project summary 2. Project objective(s) 3. Participant list 4. Relevance to the objectives of the specific programme and/or thematic priority 5. Potential Impact 6. Project management and exploitation/dissemination plans 7. Workplan– for whole duration of the project 8. Project resources and budget overview 9. Ethical issues (Only for STREPs) 10. Other issues (optional) Appendix A - Consortium description Annex I format - CA, SSA, STREPs

7. Workplan– for whole duration of the project – –7.1 Introduction - general description and milestones – –7.2 Work planning and timetable – –7.3 Graphical presentation of work packages – –7.4 Work package list /overview – –7.5 Deliverables list – –7.6 Work package descriptions 8. Project resources and budget overview – –8.1 Efforts for the project (Project Effort Form in Appendix 1) – –8.2 Overall budget for the project (Forms A3.1 & A3.2 from CPFs) – –8.3 Management level description of resources and budget.