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37 Pages·2013·0.15 MB·English

EUROPEAN COMMISSION
ENTERPRISE AND INDUSTRY DIRECTORATE-GENERAL
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TABLE OF CONTENTS
I. Preparation of the Proposal..........................................................................................3
I.1. Relevant documents .................................................................................3
I.2. Structure of the Proposal..........................................................................3
II. Part A - Proposal Summary..........................................................................................5
II.1. Lead applicant (coordinator)......................................................................5
II.2. Co- Applicants (consortium partners)......................................................5
II.3. Affiliated entities........................................................................................6
II.4. Co-financing third party.............................................................................6
II.5. Subcontractors..........................................................................................6
II.6. Instruction for the forms.............................................................................6
III. Part B - Proposal details............................................................................................10
IV. Part B – Exclusion and selection criteria..................................................................11
IV.1. Form B4 - Exclusion Form......................................................................11
IV.2. Form B5 - Financial statement form.......................................................11
IV.3. External Audit Report..............................................................................12
IV.4. Evidence of legal status.........................................................................12
IV.5. Financial Identification Form..................................................................13
IV.6. Forms B7/8/9 - Operational Capacity......................................................13
V. Part B - Description of the action - Form B6...........................................................14
V.1. Objectives (maximum 1 page).................................................................14
V.2. Justification (maximum 3 pages).............................................................14
V.3. Detailed description of activities (maximum 9 pages) ............................14
V.4. Methodology (maximum 4 pages)...........................................................14
V.5. Duration and plan of action.....................................................................15
V.6. Estimated impact on target groups (maximum 2 pages).........................15
V.7. Multiplier effects (maximum 1 page).......................................................15
VI. Part B – External co-financing – Form B3................................................................15
VI.1. Contributions in-kind ...............................................................................16
VII. Part B – Budget – Forms B1/B2.................................................................................16
VII.1. General Rules for the estimated budget..................................................16
VII.2. Eligible costs...........................................................................................17
VII.3. Eligible Direct Costs:.............................................................................18
VII.4. Eligible Indirect Costs.............................................................................19
VII.5. Non Eligible Costs...................................................................................20
VII.6. Form B/1 Individual Expenditure Sheet...................................................21
VII.7. Form B/1.1a Staff Costs.........................................................................21
VII.8. Form B/1.1b Working Days.....................................................................22
VII.9. Form B.1.2a Travel And Subsistence Costs............................................24
VII.10. Form B.1.2b Equipment..........................................................................25
VII.11. Form B.1.2c Other Expenditure...............................................................26
VII.12. Form B.1.3 Services subcontracted........................................................26
VII.13. Form B/2 - Financing Plan Summary Sheet............................................27
VII.14. Contributions in-kind ...............................................................................28
VIII. Procedure.......................................................................................................................29
VIII.1. Submission..............................................................................................29
VIII.2. Evaluation...............................................................................................31
VIII.3. Award......................................................................................................32
VIII.4. 3. Post Information and Complaints........................................................33
IX. Annex - Checklist..........................................................................................................35
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I. PREPARATION OF THE PROPOSAL
To implement its yearly Grant Work programme, DG Enterprise and Industry awards grants on the
basis of proposals submitted following calls published by the Commission, save exceptions legally
justified. The yearly Grant Workprogramme is available at:
http://ec.europa.eu/enterprise/contracts-grants/calls-for-proposals/about-our-grants/index_en.htm
This Guide for Applicants contains the essential information to guide you through the mechanics of
preparing and submitting a proposal. This document is complementary to the call text published on
the DG Enterprise web site, which is specific to each call. It provides guidance on how to complete
and submit your proposal from the content point of view, and to prepare the estimated budget. It
provides detailed information on the eligibility of costs.
I.1. RELEVANT DOCUMENTS
The documents relevant for your call can be found on the following internet address, by selecting the
call of your interest:
http://ec.europa.eu/enterprise/contracts-grants/calls-for-proposals/index_en.htm
The main documents relevant to any call arethe following:
- Call for proposals
- Guide for applicants
- Draft agreement
I.2. STRUCTURE OF THE PROPOSAL
Proposals must be submitted electronically, using the Commission's Submission and Evaluation of
Proposals programme (SEP). Proposals arriving at the Commission by any other means are
regarded as not submitted, and will not be evaluated.
Where a proposal is submitted by several applicants, they will have to choose a lead applicant form
their midst, who will take the role as coordinator if your proposal is awarded a grant. A group of
applicants, submitting a joint proposal is referred to as a consortium. The coordinator will submit the
application on behalf of all applicants.
The electronic submissionset comprises two parts:
- Part A to be completed on linein SEP
- Part B consisting of a set of uploaded documents
Part A contains the administrative information about the proposal and the participants. The
information requested includes a brief description of the work, contact details and characteristics of
the participants, and information related to the funding requested. Thisinformation will be encoded in
a structured database for further computer processing to produce, for example, statistics, and
evaluation reports. This information will also support the Commission staff during the evaluation
process. The information in Part A is entered through aset of on-line forms.
- Form A/1 Information on the Proposal and Proposal Summary
- Form A/2 Organisation Profile/Information of Co-ordinator and partners
- Form A/3.2 Forward budget –Summary
Part B of the proposal concerns all the forms to be uploaded by the lead applicant in the electronic
system. A maximum length may be specified for the different sections of Part B, or for Part B as a
whole. You must keep your proposal within these limits. Where no page limits are given, or where
limits are only recommended, it is in your interest to keep your text concise to ease the reading of
evaluators.
Part B of the proposal is to be downloaded and filled in by each partner and uploaded by the lead
applicant, following the instructions and using the templatesindicated in this guide. Where applicable,
documents can be signed, scanned in PDF format and uploaded.
- Form B1 /B2 Budgetary Forms
- Form B3 Co-financing statement
- Form B4 Exclusion form
- Form B5 Financial Statement Form
- From B6 Description of the proposal
- Form B7 Operational capacity –composition of the team (CVs)
Form B8 Operational capacity –Professional references/past projects.
- Form B9 Supporting documents –Budget and Operational Capacity.
Thedescription of the action, the core of your proposal, is submitted by way of a template,consisting
of a list of headings (Form B6) Follow this structure when presenting the technical content. The
template is designed to highlight those aspects that will be assessed againstthe evaluation criteria. It
covers, among other things, the nature of the proposed work, the participants and their roles in the
proposed project, and the impact that might be expected to arise from the proposed work. Note that
for the purpose of evaluation black and white copies are used. You are recommended to take this
into account when using colour in your documents.
The proposal may be submitted in any of the official languages of the European Union. If your
proposal is not in English, a translation of the full proposal would be of assistance to the evaluators.
An Englishtranslation of the abstract may be included in Part B of the proposal.
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II. PART A- PROPOSAL SUMMARY
Part Aconsistsof:
Form A/1 Information on the proposal
Administrative overview
Proposal summary
Form A/2 Organisation profile
Form A/3 Forward Budget – Total eligible cost and requested EC
contribution per partner
FormA/1 should be completed by the lead applicant.
Forms A/2 and A/3 have to be completed for each individual applicant
The forms can be accessed through SEP and have to be completed on line.
The call for proposal sets out the possibilities and requirements in terms of the number of potential
beneficiaries of the grant covered by this call. Please note that only entities which comply with the
provisions set out in section 5 of the call for proposals are eligible to participate in this call.
II.1.LEAD APPLICANT (COORDINATOR)
In case ofaproposal submitted bya single applicant (mono-beneficiary grant), the lead organisation is
the sole entity to fill in the forms and in case of award will be the sole beneficiary of the grant and the
sole responsible for itsproper execution.
In case of a multi-beneficiary grant, the lead organisation is the coordinator of a consortium
established between several applicants (consortium partners), submitting a joint proposal. The lead
applicant will be the intermediary for all communication between the co-beneficiaries and the
Commission and responsible for supplying all documents and information to the Commission.
The lead organisation will have to complete forms A/1, A/2 and A/3 on-line, and complete and upload
part B of the proposal in Excel or PDFformat.
II.2. CO-APPLICANTS (CONSORTIUM PARTNERS)
If provided for in the call for proposals, applicantsmayact in a consortium, submitting a joint proposal.
Each co-applicant (consortium partner) will be considered as co-beneficiary if the proposal is awarded
a grant. All applicantsshall submit the forms A/2 and A/3.
The partners of a consortium shall agree upon appropriate arrangements between themselves for the
proper performance of the action. They shall in particular agree on joint and several responsibility for
any amount due to the Commission by anyone of them. To this purpose a power of attorney must be
conferred to the appointed co-ordinator, and the arrangements between beneficiaries should be
specific with regard to the financial reporting. This power of attorney has to be submitted before the
signature of the grant agreement.
If a grant isawarded, consortium partners forward to the lead organisation the data needed to draw up
the report, the financial statements and other documentation required by the grant agreement. They
shall immediately inform the lead organisation of any event liable to substantially affect or delay the
implementation of the action, who will communicate with the Commission.
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II.3.AFFILIATED ENTITIES
If the call for proposals so allows, several affiliated entities mayparticipate as a sole beneficiary in the
grant. This can apply to network organisations or entities joint together in one legal entity (holdings,
joint ventures). Please check the call text to verify the possibilitiesfor this call.
The applicant entity will have to indicate its participating affiliated entities in the proposal. Theaffiliated
entities will each have to comply with eligibility and exclusion criteria. In case of holding entities, the
affiliated entities will also have to comply with the selection criteria.
II.4.CO-FINANCING THIRD PARTY
A co-financing third party is an entity, who brings financing to the project by way of direct monetary
contribution, or by a contribution in-kind (e.g. voluntary work), but does not otherwise participate the
action.A third party financer is not part of the consortium implementing the action.
Financial contributions by third parties are generally allowed. Please verify the text of the call for
proposals to see if third party financing by way of contribution in kind is allowed for your call.
The contribution of third parties to the action will have to be included in the estimated budget. Third
parties co-financing the action will have to complete and sign a co-financing statement. This document
should be submitted in Part Bbythe coordinator(form B3).
II.5.SUBCONTRACTORS
Sub-contracting refers to contracts concluded for the externalisation of specific tasks or activities
which form part of the action or work programme. Only a limited part of the project may be
subcontracted. The beneficiaries remain solely responsible for the implementation of the action.
Please consult the call for proposal text for restrictions on subcontracting.
Sub-contractors are not beneficiaries to the grant, nor affiliated entities. They do not participate in the
costs of the action. The beneficiary(ies) remain fully responsible for implementation of the action and
payment of the sub-contractors. The costs of subcontracting can be eligible under the conditions
indicated, in the grant agreement. The proposal should clearly specify the activities that will be
subcontracted and the contract should be procured in accordance with the conditions set in the grant
agreement.
Details of subcontracting envisaged have to be included in the budgetary forms in part B (forms
B1/B2)
II.6. INSTRUCTION FOR THE FORMS
In order to assist you in filling in the administrative forms, the following items give some detailed
indications forthe corresponding fields to be filled in the SEPapplication.
• FORM A/1
0. Proposal project acronym
Use a clear, self-explanatory title, providing guidance as to the content of the project, preferably
expressed in one or two words.
1. Contact person for the proposal (coordinator in case of multiple beneficiaries)
The person indicated as "contact person" will be the unique contact point for the Commission all
along the evaluation of the proposal and, in case of award, along the implementation of the project.
If there are changes in your contact details at any moment, please communicate immediately your
new contact details to the Commission.
2. P. O. Box
If applicable, indicatethenumber of your Post Office Box for mail delivery.
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3. Post Code
If applicable, enter the numerical (alphanumeric for United Kingdom and The Netherlands) post
code without being prefixed by the country identifier, e.g. 1000 and not B-1000 or SW1H 9AS and
not UK-SW1H 9AS.
4. Cedex
If applicable, indicate Cedex for mail delivery.
5. Telephone n° and Fax n°
Please indicate telephone and fax numbers in the following format, for example (a European
Commission telephone number in Brussels, Belgium): (32-2) 2991111 (32 being the country code
number; 2 the area code number for international calls; 2991111 the subscriber's number).
• FORM A/2
6. Participant IdentificationCode
The Participant Identification Code (PIC) is a unique 9 digit number that helps the Commission to
identify a participant. It is used in all grant-related interactions between the participant and the
Commission.The use of PICs will lead to more efficient processing of your proposal.
If your organisation has participated in a proposal under the 7th Framework Programme for
Research and Development, or in call of DG Enterprise launched in 2012, it is likely that the
organisation has already received a PIC number. You can check it on the Participant Portal:
http://ec.europa.eu/research/participants/portal ('My Organisations' tab').
All participants already possessing a PIC should use it to identify themselves in the Submission
and Evaluation Program (SEP). After entering the PIC, parts of the A forms will be filled in
automatically.
Use the search facility to find out whether your organisation has already received a temporary or
validated PIC number. If a PIC is not yet available for your organisation, you have to self-register
your organisation in the Participant Portal. Self-registration in the Participant Portal for receiving a
temporaryPIC is quick and simple, seehttp://ec.europa.eu/research/participants/portal
If your organisation already has a PIC, it is likely that it has also appointed a Legal Entity
Appointed Representative (LEAR). The names of LEARs are not available online, you have to
enquire with the administration of your organisation.
If the data on your organisation displayed in SEP seem to contain mistakes, please ask your
LEAR to change the data through the Participant Portal. This parallel process has no influence on
the preparation and submission of your proposal. The proposal can be submitted even without the
correction of such errors.
Further details on the appointment of LEARs and the use of PICs can be found in the FAQs of the
Participant Portal:https://ec.europa.eu/research/participants/portal
and on the Cordiswebsite, dedicated to participants in FP7 calls
http://cordis.europa.eu/fp7/pp_en.html
.
7. Organisation Legal Name
If applicable, the name under which the organisation is registered in the official trade register or
any other official register.
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8. Organisation short Name
Acronymof the lead organisationin the applicant’s language.
9. Legal Status
Please use one of the following codes:
GOV: Governmental (local, regional or national public or governmental organisations e.g.
libraries, hospitals, schools);
INO: International Organisation (i.e. an international public sector organisation set up by
intergovernmental agreements, and specialised agencies set up by such organisations.);
JRC: Joint Research Centre (i.e. the Joint Research Centre of the European Commission);
PUC: Public Commercial Organisation (i.e. commercial organisation established and/or owned
bya public authority);
PRC: Private Commercial Organisation including Consultant (i.e. any commercial organisations
owned by individuals either directly or byshares). Please indicate the type of organisation
(e.g.: SA, LTD, GmbH, independent person…);
EEI: European Economic Interest Group;
PNP: Private Organisation, Non Profit (i.e. any privately owned non-profitorganisation).
10. Business Area (NACE)
Indicate the principal activity of your organisation, or, in the case of a larger organisation, of the
executive division of your organisation making the proposal.
11. Total yearly revenues or resources(from Financial Statement Form)
Private entities and NGOs (should correspond to data in form B5) should provide information from
the most recent accounting year should be used. The figures should be given for the organisation
as a whole and not just for the subsidiary company or the department carrying out the work. It
should correspond to the yearly turnover.
For bodies which are not submitted to the normal rules of accountancy, such as public bodies,
please provide the Commission with the total yearly revenues/resourcesin order to give an idea of
the economic size of the entity.
12. Number of employees
The figures shall comprise the legal organisation as a whole - not only for the department carrying
out the work. Please indicate the number of full-time equivalent employees. The contribution of
part-time staff should be accounted as the equivalent number of full-time staff.
13. Independence
An organisation is independent if less than 25% of the capital or the voting rights is owned by one
enterprise or jointly by several enterprises falling outside the definition of an SME (except public
investment corporations, venture capital companies and institutional investors, provided no control
is exercised either individually or jointly).
Independently of the ownership of capital or voting rights, please specify if any public authority
supervises the organisation.
An SME (small and medium-sized enterprise) is defined as an entity that has less than 250 full
time equivalent employees, has an annual turnover not exceeding EUR 50 million, or an annual
balance sheet total not exceeding EUR 43 million, and is not controlled by 25% or more by a
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company which is not an SME (source: Commission recommendation 2003/361/EC by 6 May
2003, OJEC L120, 20/05/2003).
If the organisation is not independent, please provide the legal name(s) of the organisation(s)
which own(s) 25 % or more of the organisation or the name(s) of the public authority supervising
the organisation.
14. Information concerning participation and involvement
Indicate here the amount of funding in Euro with which the entity intends to co-finance the action.
Please check coherence of this amount with form B2.
Indicate whether the co-financing will take the form of "own resources", "monetary contribution",
"contribution in kind", or other.
15. Grant applications submitted (or due to be submitted) to European institutions or
agencies in the current year – Public officials paid directly from central government or
local government budgets.
This part aims to guarantee compliance with the principle of sound financial management and
check the absence ofa double burden on Member States’ taxpayers.
The applicant that already receives an operating grant from EC funding will not be eligible for
funding indirect costs under this action.
• FORM A/3Forward Budget –total eligible cost and requested EC contribution per partner
This form compilesthebudget sheets (forms B1 & B2), to be uploaded bythe individual applicants
(consortium partners) in Part B. It presents a consolidated view of the estimated budget for the
action and requested EC contribution per partner.
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III. PART B - PROPOSAL DETAILS
Part B of the proposal is to be downloaded and filled in by each partner and uploaded by the lead
applicant, following the instructions and using the templates indicated in this guide. Where applicable,
documents can be signed, scanned in PDF format and uploaded.
Part B consists of:
- Form B1 / B2 Budgetary Forms
- Form B3 Co-financing statement from
- Form B4 Exclusion form
- Form B5 Financial Statement Form
- From B6 Description of the proposal
- Form B7 Curriculum Vitae of the staff performing the action
- Form B8 Professional references and details of past similar projects.
- Form B9 Any other documentsin support of B1/B2, B7, B8
Documents have to be submitted in the format specified within the table below, duly signed where
applicable, in Part B of the proposal. Originals will be required if the proposal is to be awarded. These
will be requested by the Commission services where necessary.
The Annex filename should not contain any special characters or spaces. It can only contain Latin
letters (a-z), digits (0-9), the underscore (_), the dash (-) and the dot (.) character and must in any
case be different from the Part B filename. The file naming should follow the system indicated in the
table below:
Who needs to Annex
Type of Annex File name
submit format
Annex 1
All applicants XLS ParticipantshortnameAnnex1
(B1/B2 Budgetary Forms)
Annex 2 Co-financing
PDF ParticipantshortnameAnnex2
(B3 Co-financing statement) thirdparties
Annex 3 All applicants
PDF ParticipantshortnameAnnex3
(B4 -Exclusion form) Affiliated entities
Annex 4
Private bodies PDF ParticipantshortnameAnnex4
(B5 -Financial Statement)
Annex 5
All applicants PDF ParticipantshortnameAnnex5
(B6 -Description ofproposal)
Annex 6
(B7 -Curriculum Vitae PDF ParticipantshortnameAnnex6
All applicants
http://europass.cedefop.europa.eu/en/home
Annex 7
(B8 -Professional references and All applicants PDF ParticipantshortnameAnnex7
details of past similar projects)
Annex 8
(B9 -Any other document needed for
All applicants PDF ParticipantshortnameAnnex8
better evidencing Annex 1,
Annex 6 or Annex7)
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