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ERA-NET Plus

Workshop 20 september 2012

Ivan CONESA ALCOLEA DG Research & Innovation European Research Area Unit B4 - Joint Programming

ERA-NET Plus - Main principles

Dedicated normally to ripe and experienced networks

Focus on implementation of a cooperation between funding national programmes through joint funding: a joint call

Aim at providing more opportunities of transnational research collaboration for researchers

Topic of European relevance with critical mass to ensure impact

Transnational joint call organised under the responsibility of the participating national research funding programmes national rules for funding, reporting etc. can be used, but agreement on a joint evaluation procedure

A single eligible cost: Grant paid by national funding programme (grant based on defined eligible costs and verification procedures, audit plan)

Substantial Community contribution to the call budget (33%) based on the joint effort: sum of national grants paid to the transnational research projects

Evaluation and selection of transnational projects proposals according to FP7 standards International per review, excellence criteria! Obligation to follow the ranking list when selecting proposals

ERA-NET Plus - Main principles

Rules of 5:

5 participants (funding programmes) of 5 different Member States or Associated Countries

Joint call of minimum 5 M€ (Total budget)

Maximum duration of 5 years

funded research projects must be finalised

with the 5 years

ERA-NET Plus - Minimum conditions

Total national commitments

At least

67%

Short List of projects

selected for funding

"EU Top Up"

Up to

33%

= ranking

from the

peer review

within the

Joint Call

Budget

Final joint shortlist of funded transnational projects: No changes are allowed to the ranked list established

by the peer review (evaluation Step Two)

A simple eligible cost: grant from national programme paid to transantional projects

EC Contribution: up to 33% of the joint effort, the sum of the national grants paid by participating programmes

P1

P2

P3

P4

P5

P6

P7

P8

...

FP7 ERA-NET Plus Funds a joint call implemented by several national/regional programmes. Excellence based peer review

Joint Call Budget

ERA-NET Plus

Phase 1

Pre

-exis

ting

consort

ium

Phase 1: call & evaluation Phase 2: Transnational projects implementation

Period 3 Period 2

Pre

para

tion

Publication/

Advert

isin

g

Ste

p 1

Ste

p 2

Initial national commitments

Ranked list

Formal national financing commitments

One Interim report

ERA-NET Plus Grant Agreement

(planned call budget) 1st Prefinancing (10%

EU contribution)

2nd Prefinancing based on actual

budget following call evaluation results. Up to 80% of EU

contribution

Final EU payment

Evaluation

(Interim EU payment)

Final report last grants paid

to projects

Call preparation

Fine tuning the call topics & draft text

Formal agreement and logistic on the evaluation process, projects monitoring and IPR issues

Call platform kick-off & tools for proposals process (ex: templates for Step 1 and step 2, IT processing…)

List of experts for the independent peer-review

Call documentation, briefing for experts…

Call publication

Call text and documentation

Scientific objectives, call topics

Framework (general objectives, policy context)

Impact expected, relevance

Evaluation procedure (2 steps, process, schedule)

Eligibility criteria

Minimum partnership (at least 2 countries or more?)

Call budget, Minimum and/or maximum total cost of projects proposals

Call publication

Inform the EC of Call text & docs at least 30 days before publication

In addition to the publication in the countries involved (3 different newspapers)

In at least one international (European journal, international specialist press…)

In general, advertising the call widely (NCP, Internet, press, brochures, events)

Mention joint call is co-financed by the EU

Open for at least 8 weeks

Evaluation of the ERA-NET Plus call – Step 1

Up to the consortium, can be decentralised

National eligibility checks (eligibility of proposals/partners, financial liability checks, etc.)

National requirements

Balancing of call budgets and requested budgets

Outcome step 1: list of proposals that are invited to submit a full proposal to step 2

Important: Invite only proposals that would certainly be able to be funded by all national programmes concerned

Evaluation of the ERA-NET Plus call – Step 2

Mandatory principle: Centralised single international peer review to select the best proposals!

At least three independent experts per proposal

Commission and/or external observer participating

Evaluation criteria as in FP7: o Scientific and/or technological excellence - Quality of the trans-

national project (Threshold 3/5)

o Quality and efficiency of the implementation and the management (Threshold 3/5)

o Potential impact (Threshold 3/5)

o Overall Threshold 10

Outcome: ranking list as the basis for proposals selection and national funding decisions

ERA-NET Plus

Phase 2

Pre

-exis

ting

consort

ium

Phase 1: call & evaluation Phase 2: Transnational projects implementation

Period 3 Period 2

Pre

para

tion

Publication/

Advert

isin

g

Ste

p 1

Ste

p 2

Initial national commitments

Ranked list

Formal national financing commitments

One Interim report Final report last grants to projects paid

ERA-NET Plus Grant Agreement

(planned call budget) 1st Prefinancing (10%

EU contribution)

2nd Prefinancing based on actual

budget following call evaluation results. Up to 80% of EU

contribution

Final payment

Evaluation

(Interim payment)

Call budget: 10 Mio Euro

(grant agreement)

Financing of the ERA-NET Plus

Implementation & other activities: 0,5 Mio Euro (outside grant agreement)

EU contribution: 3,3 Mio Euro

MS contribution: 6,7+0,5 = 7,2 Mio Euro

Total resources needed: 10,5 Mio Euro

Option 1: 6,7 Mio public

funds and 0,5 Mio in kind or

operational budget

Option 2: 7,2 Mio

public funds

Project 1

C O N S O R T I U M

PA

PB

PC

PD

PE

Ran

ked

Lis

t of p

roje

cts

rA

rA

rA

rB rC

rC

rC

rE

rE

rB rD

rD

rD

rB

rE

Project 2

Project 3

Project 4

Virtual common pot: pot of total cumulative national funding + each national programme funds researchers from its own country

A proportion of real common pot (money with no flag): help fund the shortlist without rejecting high ranked projects due to exhausted national funding

Call Funding Modes (use of EU contribution)

HERA, NORFACE

Funding: real common pot, clear rules for requested contributions

NanoSciERA+

Funding: mixed mode (20% of national contr. into real common pot)

iMERA+

Funding: virtual common pot, + 50% reserve

Bonus+

Funding: mixed mode (entire EC contribution into real common pot)

MATERA+, PIANO+, ERA-NET Plus TRANSPORT, ….

Funding: mixed mode ≈ 30-50% of the EC contribution go into a real common pot

BONUS+, example of allocation of projects funding between the national and EU contributions per country

Funding Mode: example mixed mode

ERA-NET Plus

Reporting and contractual aspects

Reporting aspects (Background document p.12)

Phase 1 = Period 1, report on activities (call publication, evaluation..), no costs

Phase 2: Period 2 + Period 3 (+ Period 4 ?)

Follow reporting general guidelines & templates, usually

online reporting (activities: management, funding, monitoring, reviews)

+ Specific requirements & customised templates (see background document p.12)

Contractual aspects (Grant agreement)

Core text of Model Grant Agreement

Annex II : General conditions

Annex III ERA-NET Plus

Annex IV - Form A - Accession of beneficiaries to the grant agreement

Annex VI - Form C for CSA-Eranet-Plus

Annex VII - Form D - Terms of reference for the certificate of financial statements*

ANNEX III to the GA, ERA-NET Plus actions

III.1 – Definitions Joint call, trans-national projects

III.2 – Duration of the project Max. 5 years

III.3 - Specific performance obligations of each beneficiary Joint selection list of trans-national projects

III.4 – Community financial contribution max. Community contribution 33% of call cost – No monitoring

III. 5 - Specific Payments modalities 2 pre-financings

III.6 - Change in the composition of the consortium limited until the call publishing

III.7 – Implementation and management of the joint call 2 steps, international peer review, minimum evaluation criteria

III.8 – Financial audits and controls

Important contractual issues

III.7.7. Each beneficiary shall carry out effective verifications according to their relevant funding rules of the eligible costs incurred by the legal entities involved in the trans-national projects before any reimbursement and shall carry out audits according to their national rules. They shall, for each reporting period, submit to the coordinator a signed declaration …... They shall also keep at the disposal of the coordinator, of the Commission (including OLAF) and of the Court of Auditors, the agreement signed with the legal entities involved in the trans-national projects and all necessary information and documents on the national funding rules and on the system of verification, including relevant audits carried out on the legal entities involved in the trans-national projects. III.7.8. Each beneficiary shall take appropriate measures to protect funds of the Union, ... The Commission may request the beneficiaries to carry out audits on the legal entities involved in the trans-national projects in case of suspicion of fraud or irregularity. III.8 – Financial audits and controls …Each beneficiary shall ensure that the conditions applicable to it under paragraphs 1 to 5, 7 and 8 of Article II.22 are also applicable, mutatis mutandis, to the legal entities involved in the transnational projects.

25 3rd Meeting Rome, 18 October 2012

Background Documents and information

Participant Portal: https://ec.europa.eu/research/participants/portal/page/cooperation?callIdentifier=FP7-ERANET-2013-RTD

Workprogrammes (thematic parts & General Annexes : Annex A4.2, E-N Plus p15) : Sent to JPICH EB/GB

Guide for applicants (GFA) : Sent to JPICH EB/GB

ERA-NET Plus Background Document 2011 Specific Annex III to the Grant Agreement

(EC meeting 20 September)

https://ec.europa.eu/research/participants/portal/page/cooperation?callIdentifier=FP7-ERANET-2013-RTD









In the Era Net Plus proposal, important to describe

accurately (Background doc p.17)

National/regional programmes in the consortium

Individual programme contributions

Funding mode / decision making foreseen

Organisation & capacities : Call management and evaluation procedures, Monitoring, Impact Assessment

Previous experiences

Rationale of the joint call

Impact on the field, on structuring the ERA

….


ERA NET PLUS PARTICIPATION

EoI sent by the following Countries:

- Cyprus: Research Promotion Foundation RPF

- Denmark: Danish Council for Independent Research FKK

- Ireland: The Heritage Council HC

- Italy: Ministry of Education, University and Research MIUR and Ministry of Cultural Heritage and Activities MIBAC

- Lithuania: Council of Lithuania

- Netherlands: Dutch Cultural Heritage Agency

- Norway

- Slovenia: Ministry of Education, Science, Culture and Sport

- Spain: Ministry of Economy and Competitiveness MINECO

- United Kingdom: Art and Humanities Research Council (AHRC)


• - Send to JPI coordination the Era Net Plus referent for your Country/Institution (Program Owner) by 15 November (Name, e mail phone number

• - Partcipant declaration ????

ERA NET PLUS PARTICIPATION

Each participating Country is asked to:


ROADMAP

• - Participant description(following the sent template) to Coordinator : by 30 November

• - Coordinator will send Proposal structure to participants: by 15 December

• - Proposal draft 1: 15 January

• - WP Leader Meeting (videoconference): 30 January

• - Proposal draft 2: 15 February

• - Proposal submission: 28 February