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eu 1 - DELEGATION OF 1 THE EUROPEAN UNION TO THE USA...

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Unformatted text preview: DELEGATION OF 1 .; THE EUROPEAN UNION TO THE USA DISCLAIMER . The information in this booklet is for INTRODUCTORY PURPOSES and GENERAL INFORMATION ONLY. FULL COMPLETE and UP—TO—DATE INFORMATION MUST BE SOUGHT ON THE RELEVAN FRAMEWORK PROGRAMME websites, notably: . http://ec.europa.eu/research/fp7/ http://cordis.europa.eu/fp7/home_en.html Delegation of the European Union to the USA Science, Technology and Education Section Washington DC http://eurunion.org/oolicyareas/science.htm December 2009 introduction 3 EU & U.S. cooperation in science and technology 3 EU—USjAgreement for Scientific ' and Technological Cooperation 8 The Seventh Framework Programme for Research (FP7) and its opportunities for researchers— and enterprises in the United States 3 U.S. participation in FP7 collaborative projects Preparing and Presenting an FP7 Project Proposal COOOOO\I\IOUCDCDCDOU Actions and timetrame v Call for proposals Consortium composition Finding European partners Submitting a project proposal Evaluation Negotiations and the Grant Agreement Eligibility for funding Implementation of the Grant Agreement Dispute settlement IV. Examples of FP7 Transatlantic Cooperation Projects with U.S. Participation 10 Health 10 Food, Agriculture and Biotechnology 11 11 11 11 11 11 Information and Communication Technologies Nanosciences, Nanotechnologies, Materials and New Production Technologies Energy Environment Transport (including aeronautics) Socio—economic Sciences and Humanities 12 Space 13 Security Legal issues and Answers 14 Applicable law and jurisdiction 15 Financial provisions 17 IPR provisions 19 Administrative issues Other Useful Links and Resources 20 Support Services 21 Weblinks 2 T his leaflet is a brief guide to American applicants to the Seventh Framework Programme for Research of the European Community (FP7). It outlines the stages and issues associated with the submission of an FP7 project proposal. introduction to EU—U.S. research cooperation is given in 'n l Section ll provides an explanation of the ove n process, while examples of current collaboratiOns I. in Section lll. With the intent to help ensure the;smoothlljnegotiation of American participation in FP7 projects, Section N clarifies a number of particular issues-ff a previously encountered by US. partners during the conclusion 1 of contractual arrangements. A list of useful resources and informative web sites is given in Section V. ThisIbroChureifocus_Ses onthe FP7 COoperation Q“: . i programme,therefareimany other opportunities: . , within FP7 for transatlantic cooperation. L ' Transatlantic Cooperation in the European Seventh Framework Programme for Research& Development _ address. global challengess'uch as energy security, climate ‘ .' change, poverty di ease. IntensiVe collabOration oifers great pOtentialifOI suCCess 'in'the re ear _ " areas of biologi- Introduction . EU & U.S. cooperation in science and technology Science and technology are among the main pillars of a competitive and dynamic economy. They contribute exten— sively to economic growth and quality of life. The U.S. and the European Unioin have long acknowledged their impor— tance and the valug of strong cooperation in this field. EU and U.S. research cooperation can help to develop the critical mass of expertise and capacities needed to d nanotechnologies, o eratiOn can also ’ and anplay an",outstanding ol inbuildingthe interface betheen science and industry . _ .5 Cooperation in science a di'ytec' clogy between both sides of the Atlantic has a long tradition and lies on strong foundations. The discovery of the structure of DNA by James 'Watson (American) and Francis Crick (British) is only one of the most famous examples of the benefits of such cooperative activities. Today EU-U.S. cooperation is well advanced and occurs at many levels. International ini— tiatives such as International Thermonuclear Experimental Reactor (ITER) are important to this process, alongside European-level activities with U.S. partners within the EC Research Framework Programmes. National government agencies, commercial firms, academic institutions, profes- sional societies, as well as individual scientists and students have seized opportunities to work together, jointly devel- oping projects of mutual interest. EC — U.S. Agreement for Scientific and Technological Cooperation The significance of science & technology within the Trans- atlantic Agenda has been growing steadily over the years. To enhance collaboration in EC—U.S. research, the United States and the European Community signed in 1998 an “Agreement for Scientific and Technological Coopera- tion”. This agreement was renewed in 2004 and again in 2009, and has been expanded to include security and space research. The EC-U.S. S&T cooperation agreement brings a pan— European dimension to transatlantic S&T cooperation. It complements the many bilateral arrangements between the government of the U.S. and individual EU Member States, and between their respective research organizations and scientists. Importantly, the agreement also provides a forum for dialogue between the U.S. and the European Community on common priorities and research topics, aiming to extend and strengthen cooperative activities between EU scientific institutions and a range of U.S. government departments and agencies. These include the Departments of Commerce, Agriculture, Energy and Transportation, the National Science Foundation (NSF), the Environmental Protection Agency (EPA), NASA, the National Institutes of Health (NIH) and many others. NOIlOnGOHlNI 1 INTRODUCTION 4 People 120 Euratom 3 The Seventh Framework Programme to Research (FP7) and its opportunities for researchers and enterprises in the United States The Seventh Framework Programme for Research, Technological Development and Demonstration Activities (FP7) is the European Com— munity’s main instrument for funding R&D activities in Europe, reflecting all aspects of EU research policy. Running from 2007 to 2013, the pro— gram has a budget of 53.2 billion euros. The broad objectives of FP7 have been grouped into four Specific Programmes: Cooperation, People, Capacities and Ideas. These activities ____ SEVENTH FRAMEWORK PROGRAMME range from supporting collaborative research projects to the mobility of researchers and sustaining basic science. FP7 is a highly competitive program based on scientific excellence and cross-border cooperation, offering wide US Participation in FP7 Projects 840 total selected applications Capacities 24 Cooperation 190 Ideas 3 Transatlantic Cooperation in the European Seventh Framework Programme for Research & Development partnership and funding opportunities for researchers and entities established both within and outside the EU. International cooperation plays a pivotal role under FP7 and is integrated throughout the whole program. This new emphasis on international cooperation is the result of new policy guidelines towards S&T international cooperation, recognising the high importance of supporting European scientific and economic development through strategic partnerships with key EU partners in selected fields. For this reason, all these programs are open to international participants. The Cooperation Programme enables research coop- eration to develop between global research partners in collaboration with European researchers in ten key the- matic areas: Health; Food, Agriculture and Fisheries, and Biotechnology; Information and Communication Tech- nologies; Nanosciences, Nanotechnologies, Materials and new Production Technologies; Energy; Environment (including Climate Change); Transport (including Aero- nautics); Socio—economic Sciences and the Humanities; Space; and Security. ‘ International partners are also welcome in the activi— ties covered by the Capacities Programme, which aims at supporting existing and new facilities of pan—European and international relevance. This is achieved by investing in research infrastructures, development of the research potential and promoting science in society as a whole. Furthermore, through a dedicated program, the Capaci- ties Programme supports a range of activities designed to boost the participation of researchers and research institu- tions from around the world in FP7 collaborative research projects. ' The People Programme provides support for the mobility and career development of researchers inside the European Union and internationally. It is implemented with a set of actions providing fellowships and other measures to help researchers build their skills and com— petences throughout their careers. The program includes many opportunities for American researchers who want to work in Europe and for US. research institutes that want to build close ties with their counterparts in Europe. W. alt. I "WM Kf/W‘VVWWW ma w- Many other opportunities are also available under the Ideas Programme, which supports basic research exclu— sively on the basis of scientific excellence in any area of science and technology. Nationals of all countries of the world can compete for funding, as projects are imple- mented by individual teams of scientists of all nationalities working in institutions based in Europe. Energy research activities are also carried out under the EURATOM Programme. This program covers fusion energy research, nuclear fission and radiation protection, and is also fully open to international cooperation. U.S. participation in FP7 collaborative projects Europe places great importance on effective 581T coopera- tion with U.S. entities. Transatlantic S&T collaboration is very well developed and U.S. participatiOn represents 11% of the total non—European participation in FP7 so far. The success rate of U.S. research teams is high and is compara— ble, if not higher, than the success rate of European entities. Research areas in which transatlantic links are well estab— lished are health, nanotechnology and new materials, food and biotechnology, as well as in the fields of information communication technologies and environmental research. The Rules for Participation of FP71 With key U.S. agencies the dialogue has moved even further, going beyond basic participation in the respective programs. The EU and the U.S. are advancing on other axes of collaboration, such as program-level cooperation, whereby administrators and researchers from both sides of the Atlantic align their solicitations for proposals to allow for U.S. and EU projects to work together towards common goals. Furthermore, under the umbrella of the EC—U.S. S&T agreement, specific “implementing arrangements” can be signed between the European Commission and the U.S. funding agencies to organise collaboration in particular areas of research. As a result, since 2003, several implementing arrangements have been initiated, for instance in the field of environmental research with the National Science Foundation (NSF) and the Environmental Protection Agency (EPA). Other formal cooperation arrangements have been launched in metrology with the NIST (National Institute of Standards and Technology) and in materials science (including nanotechnology) with the NSF. 1 The Rules of Participation of FP7 are set out in a Regulation of the European Parliament and of the Council (Regulation (EC) 1906/2006). For details see: http:/l ec.europa.eu/research/fp7/index_en.cfm?pg=documents#Rules NOILOHCIOHiNI i r i i 1 PREPARING AND PRESENTING AN FP7 PROJECT Preparing and Presenting an FP7 Project Actions and timeframe Every year and for each thematic topic of FP7, the Euro— pean Commission publishes a Work Programme that includes all the foreseen solicitations (or “calls”) for proj— ect proposals for the year to come. Once a topic of interest has been identified, European partners should be found to build a consortiumz. The next step is the submission of the project proposal by the given deadline. The proposals received will be ranked through a peer review proce- dure, which involves an evaluation made by independent experts. If the project proposal is selected, the negotiation of the contract between the European Commission and the project coordinator (the so—called grant agreement) can start. The grant agreement needs to be signed by all the consortium participants and it will form the basis of their rights and obligations towards the Commission during the period of life of the project. Call for proposals The European Commission issues calls for proposals every year in accordance with the requirements laid down in the relevant annual Work Programmes. The Work Programmes are normally published annually and include all the relevant information on the topics covered and on the upcoming calls. Up—to-date information on the existing (or “open”) calls and other enquiries is provided by the Cordis website (http://cordis.europa.eu/home_en.htmi). Consortium composition Any company, university, research centre, organization or individual scientist3 that is legally established in any country may participate in a collaborative project. Partici- pation of legal entities established in the United States is possible and welcome, provided that the minimum condi- tions4 are met, as well as any other additional conditions laid down in the relevant Specific Programmes or Work Programmes for the topic concerned. Finding European partners US. researchers and organizations wishing to participate in or lead a consortium can make use of the CORDIS Partners Service: http://cordis.europa.eu/partners-service. The lead partner (project coordinator) that submits the proposal on behalf of the consortium is not required to be from an EU country or a country associated to the Framework Programme. Submitting a proposal* Submitting a project proposal is easy and facilities are available to overcome any problems encountered. Project proposals under FP7 are prepared and submitted elec- tronically via the Electronic Proposal Submission System (EPSS). It allows proposers to create and submit their project proposal completely on—line. The EPSS service is available via the Internet as a web-based application at: https://www.epss—fp7.org/epss/welcome.jsp. A US. legal entity that wishes to be part of a project consortium and to submit a proposal to the European Commission needs only to register once via the Unique Registration Facility tool (URF), which can be accessed at: http://ec.europa.eu/research/participants/urf. After the reg- istration it will receive a Participant Identification Code (PIC) which can be used every time it wants to submit a proposal under FP7. As a result, the American partner will not have to present its legal and financial information (and 2 The European Commission provides a service to help find European partners. See http://cordis.europa.eu/partners-service/ 3 An individual defined as a legal entity is any natural person, or any legal person created under the national law of its place of establishment, or under Community law or international law, which has legal personality and which may, acting under its own name, exercise rights and be subject to obligations. " (a) at least three legal entities must participate, each of which must be established in an EU Member State or associated country, and no two of which may be established in the same Member State or associated country; (b) all three legal entities must be independent of each other. Currently associated countries are: Albania, Bosnia and Herzegovina, Croatia, Iceland, Israel, Liechtenstein, the Former Yugoslav Republic of Macedonia, Montenegro, Norway, Turkey, Serbia and Switzerland. For details, see: ftp://ftp.cordis.europa.eu/pub/fp7/docs/third_country_agreements_en.pdf * In the thematic area of nuclear fusion research, the specific funding schemes c0ntain their own terms and procedures, which are accessible at: http://cordis.europa.eu/fp7/find-doc_en.html — Euratom Rules for Participation Transatlantic Cooperation in the European Seventh Framework Programme for Research &,Deveiopment supporting documents) each time it submits a proposal or negotiates a grant agreement. Furthermore, the URF and EPSS helpdesks are available for any enquiries. Evaluation The project proposéls are considered to be eligible when they are received within the given deadline and fulfill all the formal requirements (i.e. satisfy the minimum require— ments for the makeup of consortium, completeness of the proposal, etc.). In order to identify the proposals for which the quality is sufliciently high for possible funding, a peer— review evaluation is carried out by panels of independent experts nominated by the European Commission. Experts are required to have skills and knowledge as well as a high level of professional experience appropriate to the areas of activity in which they are asked to assist. They are con- tractually required to maintain the confidentiality of the proposals and proposers under review. The Commission * has established a database of experts containing the details of suitable candidates. U.S. experts can also sign up and be selected to take part in the evaluation. FP7 evaluation criteria are clearly set and identified by the rules governing the program. The Work Programmes might set down further criteria or thresholds but in gen— eral the following criteria apply: scientific or technological excellence, relevance to the objectives of these Specific Programmes, the potential impact through the develop- ment, dissemination and use of project results, the quality and efficiency of the' implementation and management. Moreover, in the case of calls targeting specific coun- tries or regions these criteria can be complemented by additional participation requirements due to the specific content of the call. For more information on the evalua- tion rules and procedures please visit the following link: ftp://ftp.cordis.europa.eu/pub/fp7/docs/fp7-evruIes_en.pdf Negotiations and the Grant Agreement After the evaluation the proposals are ranked according to the results of the process. Funding decisions are made on the basis of this ranking. The coordinators of proposals that have not been rejected, and for which funding is avail- able, are invited to begin negotiations with the European Commission on the content of the grant agreement. This is the contract regulating the rights and obligations between the consortium and the European Community for the implementation (e.g. the scope and the duration of the project, as well as the financing of the project). It is signed by all the participants and by the Commission represent- ing the European Community. In FP7 all partners (known as “beneficiaries”) have to sign the grant agreement. This is also the case for beneficiaries who do not receive fund— ing from the European Community and reside in a third country. However, in this case the obligations resulting from the grant agreement are much less demanding, for example regarding financial reporting. The rights and obligations among the participants are regulated by the consortium agreement and the Commis— sion is not a party to it. The consortium agreement is a very useful tool to clarify or regulate issues that are not covered by the grant agreement. The only requirement is that it must always be consistent with the content of the grant agreement. Furthermore, the Commission recently has developed a set of special clauses5 that can be added to the grant agreement and which were specifically designed to facilitate the participation in FP7 projects of legal entities that do not receive European Community financial contri- butions. In particular, concerning the financial obligations, a special clause can be added to the grant agreement with the effect of excluding the financial and payment provi— sions of the grant agreement. (An example is the removal of the obligation to submit certificates on financial state- ments, or financial audit or control.) 5 For a list of all possible spe...
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