Work programme 2009 – Info Day European Commission – DG Enterprise & Industry E-M. Engdahl...

European Commission – DG Enterprise & Industry E-M. EngdahlWork programme 2009 – Info Day

Security Work Programme 2009

Information Day 15 September 2008

Seventh Framework

Programme 2007-2013

Security Research

Total 50,5 M€

FP7: 2007-2013

FP7 Cooperation Programme: 32,413 M€The 10 Themes

Energy 2350 7% ICT

28% 9050

Food, … 1935 6%

Space 1430 4%Security; 1400; 4%

Socio- economics6232%

Environment 1890 6%

NMT 3475 11%

Health 6100 19%

Transport 4160 13%

Security Theme in FP7: 2007-2013

• Four Security missions / activities:

1. Security of citizens

2. Security of infrastructure and utilities

3. Intelligent surveillance and border security

4. Restoring security and safety in case of crisis

• Three Cross cutting activities:

5. Security systems integration, interconnectivity and

interoperability

6. Security and Society

7. Security Research coordination and structuring

Research routes to meet the Security theme objectives

System development and validation- Combination of capabilities- Mission specific

Systems of systems demonstration - Combination of IP results - Multi-mission

Capability development- Technology development- Multi mission and mission specific

Content of the Work Programme 2009

Introductory part: policy context and approach

Content of the Security Call 2

fewer topics (26 in total) but more than one proposal per topic can be selected

more flexibility in choosing among the different funding schemes

Implementation of the Security Call 2

Other actions

Indicative priorities for future calls

Policy context

Specific issues:

Up to 75% funding for limited market

Active involvement of end-users

Sensitive activities and information (clearance already at proposal

stage)

Ethical principles, including questions of privacy need to be taken

into account also in technological proposals

Budget of the 2nd Call

Indicative Call budget: 117.9 M€

Collaborative projects:

integrated projects ~40% (30-50%),

capability projects ~50% (40-60%)

Coordination and support actions (incl. Demo phase 1) and Networks of Excellence

~10% (5-20%)

Up to ~3% for international cooperation and up to ~3% for ERA-NET

Collaborative projects:

Integration projects (large scale)

Capability projects (small and medium scale)

Coordination and support actions (including Demo phase 1)

Networks of Excellence

Funding schemes for the 2nd Call

Research topics in the 2nd call

3 topics for Demo project phase 1 (CSA): activities 1 and 4

7 topics for Integration project: activities 1-4

8 topics for Capability project: activities 1,2 and 4

1 topic for Coordination and Supporting Action (CSA): activity 3

Flexible topics:

5 topics for Capability project, CSA or Networks of Excellence:

area 6

2 topics for CSA or Networks of Excellence: area 7

Demonstration projects phase 1 should define the strategic

roadmap and trigger Europe wide awareness, involving end-

users, industry and academia; Phase 2 will then technically

implement the systems of systems demonstration projects,

taking into account steps which have to follow the research

(standardisation, development of marketable products, etc).

Workshops during phase 1 (Spring 2009) will aim to define the

requirements for the first two phase 2 Demonstration projects:

Demonstration projects (phase 1)

- European-wide integrated border control system

- Security of mass transportation

10.1.1. Security of citizens

Logistic and Supply chain Security

CBRNE (Chemical, Biological, Radiological, Nuclear agents and Explosives)

10.4.1 Restoring security and safety in case of crisis

Aftermath crisis management system

Demonstration projects (phase 1) – 3 topics

Integration projects

Integration projects are large-scale integrating

Collaborative projects, which aim at combining

mission specific individual capabilities providing a

security system and to demonstrate its performance.

Indicative total cost 10-25 M€, duration ~ 4 years

(indicative EC funding>3.5M€)

Integration projects -7 topics

10.1.2 Security of citizens:

- Information and knowledge management for the prevention of terrorism and organised

crime

10.2.2 Security of infrastructures and utilities:

- Integrated protection of rail transportation;

- Integrated comprehensive approach to airport security

10.3.2 Intelligent surveillance and border security:

- Main port security system;

- Sea borders surveillance system;

- Exploitation of open source information in support of decision making processes

10.4.2 Restoring security and safety in case of crisis:

- First responder of the future

Capability projects

Capability projects are small and medium scale

Collaborative projects. They aim at building up and/or

strengthening security capabilities in the required missions.

This will be done by adapting available technologies and by

developing security specific technology and knowledge

aimed at tangible results.

Indicative total cost 2-5 M€, 2-4 years (indicative EC funding

=<3.5M€)

Capability projects - 12 topics

10.1.3 Security of citizens:

- B-agent and detection- Drug precursors

- Properties of improvised explosive devices, additives to precursors…

- Advanced forensic toolbox

10.2.3 Security of infrastructures and utilities:

- Built infrastructure protection, incl building in resilience to attack at the design stage

10.4.3 Restoring security and safety in case of crisis:

- Neutralisation of CBRNE effects following a terrorist event

- Bio-dosimetric tools to manage radiological casualties

- Simulation, planning and training tools and methods for management of crises and complex emergencies

10.6 Security and society:

all 5 topics in area 6 .1, 6.2, 6.3 and 6.4

Networks of excellence

Networks of excellence are designed for research institutions that wish to combine and functionally integrate in a durable way a substantial part of their activities and capacities in a given field, with a view to creating in this field a European ‘virtual centre of research’.

No indicative total cost or duration (very exceptional cases

> 5 years)

Networks of excellence – 7 topics

10.6 Security and Society: 6.1 Better understanding of the rationale and the drivers underlying the

radicalisation processes and how these drivers interact6.2 Inventories of existing national resources, institutional mandates and

practices across relevant sectors

6.3.1 Foresight activities as action research to inspire public debate, to foster shared understanding and self-organisation…

6.3.2 Research on rigorous methodologies for assessment of security investments and trade-off between security and other societal objectives (e.g. privacy and social cohesion)

6.4 European Security Indicator: methodological research to provide a few select indicators of security and security policy in Europe measuring the effects…

10.7 Security research coordination and structuring:

7.0.1. Transparency and networking amongst Member States and Associated States (ERA-NET activities)

7.0.2. Supply chains and market integration

Coordination and support actions

CSA can be either supporting or coordinating. Co-ordination (or networking) actions aim at

coordinating research activities and policies, while support actions aim at contributing to

the implementation of the FP and to prepare future research policy or to develop synergies

with other policies, or to stimulate, encourage and facilitate the participation of SMEs, civil

society organisations, small research teams, etc, or for setting up of research-intensive

clusters across the EU regions. Support actions often focus on one specific activity and on

one specific event.

Indicative total cost 0.5-1 M€, 0.5 - 3 years (up to 100% EC funding)

Coordination and support actions – 8 topics

10.3 Intelligent surveillance and border security:

Continuity, coverage, performance (incl. UAV; secure data

link)

10.6 Security and Society: all 5 topics in area 6

10.7 Security research coordination and structuring:

both topics in area 7

Seventh FrameworkProgramme 2007-2013

Security Research

FP7-SEC-2009-1 Submission, Evaluation,

practical issues

Timing of the Security Research Call 2 FP7-SEC-2009-13 September 2008 Publication

4 December 2008 -17h00

Deadline

January/February 2009 Evaluation

March 2009 Initial information letters (incl. ESR)

April 2009 Ethical review / Security scrutiny

May / June Invitation to negotiateRejection letters

From 2nd half of 2009 Signature of first Grant Agreements

Unavoidable readings

• The Work ProgrammeThe topics against which the proposals will be judged

The philosophy, the logic, the context

• Guide(s) for applicantsThe funding schemesThe templates, all required sectionsTips, advices, explanations…

Check on Cordis that you have the relevant and latest versions !

Topic / funding schemes

One proposal:• One (major) topic• One type of project (funding scheme)

Different requirements and expectations for: Integration Project, Capability Project, Demo phase 1 (Areas 1 to 4) Collaborative Project, Network of Excellence, Support Action,

Coordination Action (Areas 6 & 7)

Types of projects vs funding schemes

Capability projects

2 to 4 years, budget: 2 - 5 M€

Capability development, research oriented

(Demonstrated) Tangible results

Integration projects ~ 4 years, budget: 10 - 25 M€

Large scale combination of capabilities

Demonstration of a security systems

FP7 funding schemes : Collaborative project

Evaluation Process - Basic Principles

TRANSPARENCY

EXCELLENCEEXCELLENCE

FAIRNESS & FAIRNESS &

IMPARTIALITYIMPARTIALITY

CONFIDENTIALITYCONFIDENTIALITY ETHICAL & SECURITY ETHICAL & SECURITY

CONSIDERATIONSCONSIDERATIONS

EFFICIENCY & EFFICIENCY &

SPEEDSPEED

Evaluation CriteriaSame 3 criteria for all FP7-cooperation :• Scientific / technological quality• Implementation• Impact

But different sub-criteria for CP,CA, SA, NoE (see Guides for Applicants)

Assessed vis-à-vis the topic addressed

Evaluation process – peer review

Experts selection based on • Competence• Geographical balance• Balance between end users and technical experts• Gender balance • Public / private balance

Evaluation process – peer reviewReading – individual assessment*• Minimum 3 external experts by projects • Balance backgrounds• No conflict of interest

Consensus meeting• Consensus report• Chaired by a Commission official

Panel meeting• Ranked list(s) of proposals

*could be done remotely

Reminders

• All 3 (5) evaluators will not be technical experts in your specific area

• Limited time to read each proposal

• No access to external information

• B&W paper copies only

• Measurable and achievable objectives

End users involvement

• Police forces, border guards, firemen, first responders, public authorities…

• Part of the consortium or “end-user club”

• Quality of the involvement is more important than quantity

Cross cutting issues

• Societal acceptability• (Economical) feasibility, sustainability• Ethical questions• Interoperability• European added value• Structuring effect• Human factors issues

=> To be taken into account in all projects

International cooperation

• Definition: Third countries which are not associated countries

• General rule: welcome• Need to justify the benefit of the international

cooperation • Own financing except for developing

countries

In the 2nd call, all topics are open to international cooperation

Feed back from 1st call

• 1st call was 7 times over-subscribed

• “Good (3/5)” in all 3 criteria is below threshold

• Don’t miss the deadline !

• Ask from feed back from experienced colleagues (use NCP)

More informationEU Security research website:

• http://ec.europa.eu/enterprise/security

Helpdesk:• Centralised FP7 Enquiries Service:

http://ec.europa.eu/research/enquiries • [email protected]

National Contact Points: http://cordis.europa.eu/fp7/ncp_en.html http://www.seren-project.eu

European Security Research Conference: www.src08.fr

http://ec.europa.eu/enterprise/security

http://ec.europa.eu/research/enquiries

mailto:[email protected]

http://cordis.europa.eu/fp7/ncp_en.html

http://www.seren-project.eu/

http://www.src08.fr/

INFO day – 15 september 2009 FP7 Security Theme /35

Seventh Framework Programme 2007-2013

Security ResearchFP7-SEC-2009-1

FP7 rules for participation and legal/financial issues


1.Upper funding limits

Reimbursement according to the type of organisation, of action and/or activity

• Research and technological development activities: up to 50% of eligible costs. However, it can be up to 75% for:

• Non profit public bodies, secondary and higher education establishments and research organisations, SMEs

• Demonstration activities: up to 50%

• Other activities including management: up to 100%

• Coordination and support actions: up to 100%


2. Eligible Costs

Eligible • actual• during duration of project• in accordance with its usual accounting and

management principles • recorded in the accounts of beneficiary• used for the sole purpose of achieving the objectives of

the project

Non-eligible • identifiable indirect taxes, including VAT…


2. Indirect Costs (2)• For all:

either Actual Indirect Costs Simplified Method (to calculate indirect costs at the level

of the legal entity, and not at a detailed level) Standard Flat Rate of 20% of direct costs

• Non-profit Public Bodies Secondary and Higher Education establishments, Research Organisations SMEs unable to identify real indirect costs, may apply for a

Special Transitional Flat Rate of 60% of direct costs

• For CSA limit of 7% of direct costs


3. Payment modalities

One pre-financing (within 45 days upon entry into force of G.A.) for the whole duration, depending on how many reporting periods are foreseen: a) 1 or 2 : between 60 & 80% of total EC contribution

b) 3+: 160% of the average fund per period (around 53% of total EC contribution)

Interim payments based on financial statements (EC contribution= amounts justified & accepted * funding rate)

Retention (10%) Final payment


4. Certification (1)

2 types of certificates:• certificate on financial statements (CFS) (Form

D)- expenditure verification• certificate on the methodology (Form E) - system

verification Personnel & Overheads

N.B.: The submission of a certificate does not waive the right of the Commission to carry out its own audits (Article II.22 of the FP7 model grant agreement).



Certificate on financial statements (CFS)

Mandatory for a beneficiary when its requested funding for the project equal or more than 375,000€

exception for project of 2 years or less, no intermediate CFS submitted, only at the end



These certificates can be provided by auditors:

Qualified (according to Directive 2006/43/CE)

Independent

1. Public bodies

2. Secondary and higher education establishments

3. Research organisations

may opt for a competent public officer


5. Subcontracts

• Subcontractors charge a price, which usually includes a profit (different from third parties, which charge only the costs of the activity)

• Tasks have to be indicated in Annex I• awarded according to best value for money principle• shall not be a “core” part of the work (based on qualitative

criteria more than quantitative)• Can be under framework contracts

• Public entities: must follow national procurement principles• Private entities: should follow the rules that they usually

apply for the selection of procurement contracts e.g. submission of several quotes


5. Third parties- Costs may be claimed by the beneficiary if tasks to be performed,

an estimation of the costs and the resources allocated to the Project are indicated in Annex I

- Same rules of beneficiaries apply a. Third parties making available resources1. Free of charge2. Beneficiary reimburses the third party

b. Third parties carrying out part of the work (special clause No. 10) Requirements : 1. relationship is broad and not limited to the G.A.2. its duration goes beyond the duration of the Project3. formal external recognition (legal structure or sharing facilities)e.g. European Economic Interest Grouping, Joint Research Units, affiliates and

groupings

Need to be validated in Unique Registration Facility as the beneficiaries!!


6. Receipts

2 kinds of receipts must be taken into consideration to avoid any profit: •Transfers from third parties to the beneficiary (if specifically attributed to the project and not reimbursed):

Financial transfersContributions in kind

• Income generated by the project


6. Receipts (2)

At final payment the EC contribution will take into account any receipts of the project

For each beneficiary: the eligible costs ≥ EC contribution + the receipts for the project


7. Reporting (1)

• Periodic reports to be submitted by coordinator 60 days after end of period:

• overview of progress of the work, including a publishable summary report,

• use of the resources and • Financial Statement (Form C)

• Final reports to be submitted by coordinator 60 days after end of project:

• publishable summary report, conclusions and socioeconomic impact,

• covering wider societal implications and a plan on use and dissemination of foreground.


7. Reporting (2)

• Commission has 105 days to evaluate and execute the corresponding payment: No tacit approval of reports Automatic payment of interests (NEW)

• After reception Commission may: Approve Suspend the time-limit requesting revision/completion Reject them giving justification, possible termination Suspend the payment


8. Guarantee Fund

• The Fund belongs to all beneficiaries of grant agreements under the FP7

• All beneficiaries contribute to the Fund to insure against financial losses of the project

• The contribution equals 5% of the EC financial contribution foreseen for each participant

• Deducted from the pre-financing• Financial interest generated by the Fund will serve to

cover financial risk • In principle the amount contributed to the Fund will

be reimbursed at the end of the action• No bank/financial guarantee requested

anymore


9. Financial viability

Since Guarantee Fund, financial check only for

- Coordinators

- beneficiaries requesting more than 500.000€

Exempted: - public entities,

- International Organisations,

- higher and secondary education establishments

- entities whose participation is guaranteed by a Member State or Associated country,

- natural persons in receipt of a scholarship

Financial Viability checktool available on CORDIS!

Audit report certifying the amounts of the checktool to be provided (if not available, business plan)

Insufficient beneficiaries can not participate!

Weak beneficiaries can not be coordinator (could participate under certain conditions, e.g. voluntary bank guarantee)


10. Amendments

Principles

- Continuity with main lines of FP6 policy

- Exchange of letters

- Coordinator requests amendments on behalf of the consortium

- For addition/withdrawal tacit approval after 45 days

- Model Letters to be used


10. Amendments (2)

Main Novelties: Procedure (1)• Coordinator can accept on behalf of the Consortium an

amendment proposed by the Commission• One single amendment procedure: exchange of letters

– One letter from the Consortium

– One letter from the Commission• Possibility for the Commission to make a counter-

proposal to the Consortium request (no need for the Consortium to re-submit a request)


10. Amendments (3)

Main Novelties: Information Letters

• Information letters to be used in case of:

– Universal transfer of rights & obligations

– Change of legal name or details

– Change of FP7 legal status (i.e. SME

which is no longer an SME) and mistake

in indirect cost calculation

• Advantages:

– Directly from the beneficiary to the

Commission

– One letter per beneficiary not per GA

– Signature of Contact person enough


11. Sanctions

• Recovery procedures

• Liquidated damages (if overstatement)• Financial penalties (if false declarations)


Information

• Find a document http://cordis.europa.eu/fp7/find-doc_en.html

• FP7 Helpdesk http://ec.europa.eu/research/enquiries

• Seventh Framework Programme: http://ec.europa.eu/research/future/index_en.cfm

• Information requests:[email protected]


Seventh Framework Programme 2007-2013

Security ResearchFP7-SEC-2009-1

Handling Sensitive Proposal


Handling “Sensitive” ProposalsWhat is a sensitive project?

A “Sensitive” Project is handling (*):

– Data or information requiring protection against unauthorised disclosure: classified information

No “Sensitive” Proposals are allowed in the call (no classified information in a proposal)

BUT: a Proposal could lead to a “Sensitive” Project (project that could use classified background

and/or produce classified foreground)

(*) - Information or materials subject to security restrictions - Material subject to export- or transfer- control

Legal basis for classified Grant agreements2001/844/EC amended by 2006/548/EC – OJ L215, 5.8.2006


Handling “Sensitive” Projects Sensitive proposals with non-EU participants

• EU classification is limited to EU Member States

• Sensitive projects can include participants from associated or third countries

• Countries having a security agreement with the EU (Council level) could refer to that security agreement for handling sensitive information and material

• Special MoU (Memorandum of Understanding) could be agreed between the countries involved in the handling of sensitive information/material of a project limited to that project

• No restriction for the participation to sensitive projects for associated countries and from third countries if no access foreseen to sensitive information/material


Handling “Sensitive” Proposals Information to Proposers: Use of sensitive information

• No classified information to be used in the proposal

• However, the project could use classified/sensitive background and/or produce classified/sensitive foreground

• If this is the case,

The proposal should be flagged on page 1 of the part B of the proposal as security sensitive

The table of deliverables must specify the level of classification for each deliverable

When self flagged:

• a Security Aspect Letter (SAL) + its annex the Security Classification Guide (SCG) must be attached to the proposal;

• evidence of Facility Security Clearance (FSC) must be given.


Handling “Sensitive” ProposalScrutiny Procedure

For all proposals of the selection list:

The concerned Security Committee Members or Security Committee Observers will be requested (via their national security authority representative) to verify that all security aspects are properly addressed and to reach an agreement among themselves

this scrutiny procedure is done, in a 2 months period, following the evaluation and before the start of the negotiation of the projects

The results of the scrutiny could be: No classification: go ahead with negotiation

(and possibly some recommendation); Classification of some part of the foreseen work/deliverables:

recommendation for the negotiation; Recommendation not to finance the proposal

Proposers are informed of the conclusions of the scrutiny procedure


Handling “Sensitive” Projects Some recommendations

• Give the greatest attention to the sensitivity declaration

• Consider carefully the requirements for accessing classified information/material in a project (limit it as far as possible)

• Get reference of all applicable EU and national legislation

• For non-EU countries find out if there are some security agreement between your country and EU

• Contact your National Contact Point (NCP) – see CORDIS

• Contact your National Security Authority (NSA)- see list on (OJ L193 of 23.7.2005 p.31-36)

• Contact ENTR SECURITY HELPDESK

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