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Grant Preparation Forms (GPF) -
overview
A1 Project summary
A2.1 Who we are: legal entity data
A2.2 Who we are: type of organisation
A2.3 Authorised representatives
A2.4 How to contact us
A2.5 Our commitment
A2.6 Data protection & coordination role
A3.1 What it costs - Budget per partner
A3.2 What it costs - Overall budget
A4 Bank account: details of coordinating institution
A5 Reporting periods: Budget per reporting period
All partners
Coordinator
Coordinator
All partners
Automatic
Coordinator
Coordinator
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NEF Negotiation facility
Interactive Online-Tool (similar to EPSS) for the
set-up and completion of the GPF
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Grant Preparation Forms (GPF) -
procedure
The Project Officer opens the negotiations by e-mailing
access key for the NEF to the coordinator
Information from the proposal is already entered into the
tool
Coordinator is responsible for the completion of the GPF
Partner can enter the data in their own forms themselves (but
have to use the central login for that)
Or partners send the information to the coordinator who
enters them into the tool (safer option to make sure no data
is lost)
A separate login function for partners will hopefully be
introduced soon
The Project Officer checks the entries and asks
Coordinator for corrections/updates
The final version of the forms is signed by all participants
(A2.5 form), the coordinator also signs the A4 and A2.6
forms
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Grant Preparation Forms (GPF) A1
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Vertragsverhandlungen
GPF A2.1
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Legal aspects of participating in FP7
Projects are carried out on the basis of individual contracts
(Grant Agreements) concluded between the European
Commission and the partner institutions
Partner institutions commit themselves
by signing the GA !
Grant Agreement Content:
Content of the project
Maximum funding provided by the EC
Project duration
EC rules for the implementation of the project (reporting on
the progress and costs, dissemination of project results,
liability, etc.)
Schedule for EC payments
Model Grant Agreement and Annexes available from
CORDIS
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Legal aspects preparation of contracts
Model Grant Agreement
Concluded between Commission and Coordinator
Beneficiaries accede to the Grant Agreement by signing
Form A
Only project-related parts of the Grant Agreement can be
negotiated (e.g. start date)
Consortium agreement
Between the beneficiaries of a consortium
Recommended for all projects, compulsory for many areas
Signed usually before signature of the Grant Agreement or
shortly afterwards (depending on Commission requirements)
in general: the sooner, the better
Consortium partners agree on individual provisions
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Model Grant Agreement - integral parts
Core text Key information (funding, duration, partners,..)
Annex I Work plan of the project
Annex II General Conditions (EC rules for all projects)
Annex III Special conditions, per funding scheme
Annex IV Form A Accession of beneficiaries to the
grant agreement
Annex V Form B Request for accession of a new
beneficiary to the grant agreement
Annex VI Form C Financial statement (declaration of
costs) per funding scheme
Annex VII Form D Terms of reference for the
certificate on the financial statements -
report of the auditor (external or internal) on
the certification of the costs (audit certificate)
Form E - Terms of reference for the
certificate on the methodology;
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Model Grant Agreement reference
documentation
Annex II General Conditions
Contains detailed provisions relating to the implementation
of projects (eligibility of costs, reporting, payment
schedule)
Answers many questions partners usually have during the
implementation of a project!
The Commission is also bound by the provisions
Annex I Technical Annex
Work programme of the project, which is developed on the
basis of proposal part B during the contract negotiations
The consortium commits itself to the contents and has to
fulfil the described tasks accordingly (Deliverables)
A well-structured and sound TA is the basis for a
successful project implementation
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Partners have to accede to the Grant Agreement
according to the following provisions:
Make sure that only the mentioned signatories sign the
Accession forms!
Do not forget to stamp the three original forms
Model Grant Agreement accession
form
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Model Grant Agreement
accession form
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Consortium agreement in FP7
Additional agreement which should regulate in more detail
certain issues complementing the more general rules in
the EC Grant Agreement
The conclusion of a CA is compulsory for the majority of
collaborative projects
Legal basis:
Grant Agreement (+ Annexes)
Rules of participation
CA must not contradict to the provisions of the Grant
Agreement
There is no mandatory model provided by the
Commission, but only a checklist on
http://cordis.europa.eu/fp7/find-doc_en.html
The coordinator of a project is supposed to provide a draft
agreement and to coordinate the negotiation and signature
of the agreement
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Consortium agreement available
models
Different interest groups (industry, academia, research
organisations) have developed several models:
DESCA drawn up by Euroean academia, research
organisations and interest groups of industry model
used most often (http://www.desca-fp7.eu/)
IPCA by ICT and Telecom industries (EICTA)
EU-Car by the automotive industries
IMG by the aerospace industries
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Consortium agreement contents
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Consortium agreement tips for
partners
Scientific project leaders should forward the consortium
agreement drafts to their legal departments immediately
But: also scientists should read the agreement!
individual provisions may be acceptable from a legal
point of view, but may potentially lead to organisational
problems for the people actually working in the project
Partners can and should propose rules and amendments
for the draft text of the agreement according to their
requirements
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Liability - general rules & guarantee fund
In FP7 beneficiaries have only technical liability
Financial liability - Guarantee fund: Commission retains
certain amount for non-recoverable debts caused by
beneficiaries
Participant contribution of 5% is retained for ALL projects
Upon completion of the projects the money is returned to the
participants depending on the performance of all projects
No more bank guarantee requests by the Commission!
The interest generated from the guarantee fund is used to
cover debts
If the interest generated is not sufficient to cover the debts,
1% of the EC contribution from participants other than
public bodies will be retained
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Liability guarantee fund
EC retains 5% of the EC
contribution from all
consortia
Guarantee
fund
Interest
Cover defaulting
partners
Project complete
5% of funding retained is
returned to all entities
Sufficient
Interest
generated
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Liability guarantee fund
EC retains 5% of the EC
contribution from all
consortia
Guarantee
fund
Interest
Cover defaulting
partners
Project complete
5% of funding retained is
returned to all public bodies
4% to companies
Up to 1% is used to cover debts
Insufficient
interest
generated
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Reporting within FP7
Progress reports for each reporting period
Overview of work progress (including milestones/results)
Project summary suitable for publication
J ustification of resources
Deliverables due according to Annex I
To be submitted within 60 days after the end of the
respective period (annually, 15- or 18-monthly)
The Commission intends to evaluate reports within 3.5
months (but: no automatic acceptance of reports after the
end of this period!)
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Project reports scientific activity report
Report on progress of R&D activities at the end of each
reporting period in the form of workpackage reports
Report on management activities
Comparison: planned in Annex I actually achieved
Important results achieved
Explanation on deviations from the workplan
Report on past and future dissemination and exploitation
activities (especially in the final report)
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Project reports - finances
Information on costs according to cost categories (for
management report of the coordinator)
Official cost statement of each partner: Financial
Statement -Form C (presents costs per activity), signed by
scientist-in-charge and the finance department
Audit certificate (if necessary)
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Financial reports practical advice
Claimed costs in the financial statements should be
coherent with the description of activities in the
scientific report
Travel costs claimed should correspond to travel
activities described in the scientific report (i.e. project
meetings, conferences,..).
People working on the project should not only appear
in financial statements, but be also mentioned in the
activity report
Costs for the acquisition of equipment and major
consumable items should be clearly allocated to
specific work packages and tasks in the activity report
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Payments cash flow
Pre-financing:
45 days after the entry into force of the grant
agreement, as soon as a certain number of
partners have acceded to the agreement
Amount should correspond to 160% of the average EU-
funding per reporting period, can also be discussed during
contract negotiations
Is fixed in Art. 6 of the grant agreement
Interim payments, based on the amount of accepted costs
of the past reporting period
Before the end of the project pre-financing and interim
payment taken together must not exceed 90% of the total
max. funding for the project (ceiling)
Final payment: after acceptance of final report / at least
15% of total funding (10% retention due to ceiling + 5%
contribution to guarantee fund)
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Financial management practical advice
for project partners
Project account/ budget records for the project should
always be up to date
Time records have to correspond to personnel costs
booked on the project, and they should be
updated up monthly,
organised centrally for the department.
Transferring budget between cost categories, project
partners and reporting periods is possible!
In case major budget shifts are required, inform the
coordinator and provide him/her with updated budget plan
and justifications
In case of doubts with regard to eligibility of costs, ask the
coordinator or the EC project officer (via the coordinator)
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The three Inter-Levels of an EU project
consortium
Intercultural
EU Member States:
Founding Members,
New Member States
Candidate countries
Third Countries
Inter-institutional
Research:
Universities,
Research Institutes
Industry:
Big Industry,
SMEs
Interdisciplinary
Representatives from different scientific backgrounds work
together toward a common goal (or goals)
Problems due to
different cultural backgrounds
are often LESS critical than
inter-institutional or
interdisciplinary
communication problems !
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Intellectual Propterty Rights (IPR)
What is it all about?
Intellectual property = Knowledge and know-how of the
scientists involved
In a knowledge-based society, IP is valuable goods!
But: only if knowledge is protected and used it will lead to
innovation and benefit for society
A major aim of European research funding is to help
create new knowledge which will result in innovation
IPR is an important element of ALL projects in FP7 !
It is also important for the individual researchers who
create the knowledge:
Recognition for scientific achievements (authors rights
should be recognised)
Advancement of career
Financial benefits (resulting from consulting, commercial
applications, etc.)
See www.ipr-helpdesk.orgfor information
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IPR issues in an FP7 project when to
deal with them?
Defining project-related
pre-existing know-how of
the partners
Ensuring confidentiality
(conclude agreement with
partners)
Proposal preparation
incl. plan for the
dissemination and use of
project knowledge
Strategy for
protection &
management of
newly generated
knowledge
Granting of access
rights to project
partners
Dissemination &
Exploitation of
results
Protection of
IP generated in the
project
During
project
Implementation
Before
project start
After
project end
At all stages!
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Information, copyright and
related IPR that is held by
participants prior to the
project
Information & IPR which is
needed for carrying out
the project or for using the
results of the project
Remains the property of
the owner
IPR issues in FP7 definitions
Background
All results, information,
material, knowledge
generated in the EC-funded
project
Includes unprotected know-how
(e.g. confidential material)
Foreground is owned by the
participant who generated it
Sole Ownership
Important:
Keep laboratory books to
prove ownership
Clarification of employees
rights
Foreground
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IPR issues Access rights in FP7
Project participants have to grant access to the other
partners to their project-related background and to the
foreground they generate in the project
Background may be excluded from that obligation in a
written agreement with all partners
Access rights are granted on the following conditions:
Background Foreground
For project work of
the other partner
Royalty-free,
unless otherwise
agreed in a written
agreement
Royalty-free
For use of own
results of the other
partner
Royalty-free, OR on
fair and reasonable
conditions to be
agreed
Royalty-free, OR on
fair and reasonable
conditions to be
agreed
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Exploitation activities
All project results MUST be used!
Grant Agreement Annex II.29: The beneficiaries shall use
the foreground which they own or ensure that it is used.
The beneficiaries shall report on the expected use to be
made of foreground in the plan for the use and
dissemination of foreground.
Use of results can be:
Application in further research and/ or teaching activities
Commercial application (patenting, licensing, spin-off
companies)
Exploitation activities should also be a part of the project
strategy from the start and can be funded by the project
budget (technology watch, market analyses, patent
search, business plans..)
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Thank you
Further Information
Claudia Giehl
Jrg Scherer
European Research and Project Office GmbH
Science Park 1 / Stuhlsatzenhausweg 69
66123 Saarbrcken
Tel.: +49 681/95 92 33 60
Fax: +49 681/95 92 33 70
c.giehl@eurice.eu
j.scherer@eurice.eu
http://www.eurice.eu