European Commission Research Directorate General Human Resources and Mobility MARIE CURIE OUTGOING INTERNATIONAL FELLOWSHIPS (OIF) Handbook

Transcription

1 European Commission Research Directorate General Human Resources and Mobility MARIE CURIE OUTGOING INTERNATIONAL FELLOWSHIPS (OIF) Handbook May 2003

2 This handbook explains the principles of Marie Curie to be funded under the EU s Sixth Framework Programme. Similar documents are available for the other Marie Curie Actions namely: Marie Curie Research Training Networks (RTN) Marie Curie Host Fellowships for Early Stage Training (EST) Marie Curie Host Fellowships for the Transfer of Knowledge (ToK) Marie Curie Conferences and Training Courses (SCF/LCF) Marie Curie Intra-European Fellowships (EIF) Marie Curie Incoming International Fellowships (IIF) Marie Curie Excellence Grants (EXT) Marie Curie Excellence Awards (EXA) Marie Curie Chairs (EXC) Marie Curie European Reintegration Grants (ERG) Marie Curie International Reintegration Grants (IRG) They are available on our web-site: Comments are welcome and may be sent by to: rtd-mariecurie-actions@cec.eu.int Legal notice This guide aims to make the rules concerning Marie Curie actions transparent and easy to understand, thus it serves for information purposes only and has no legal value. It is based upon a number of legal texts, in particular the Work Programme and Rules for Participation listed in Annex V of this document. Only those texts have a legal status and can be referred to for the purpose of any legal or administrative proceedings. 2

3 THE ESSENTIALS What are Marie Curie? They are individual fellowships that aim to respond to the needs for reinforcing the international dimension of the career of European researchers by giving them the opportunity to be trained in a world level third country research organisation (from 1 to 2 years), and then to apply the experience gained in a return host institution in a Member State or Associated State (typically half the duration of the first phase). Who can apply? A researcher from EU or Associated States with at least 4 years full-time research experience or a doctorate and willing to spend a mobility period working in a host institution located in a third country. The researcher applies in liaison with the return host institution. Eligible host institutions are organisations active in research or research training (e.g. universities, research organisations, international organisations, enterprises, etc.). Which research topics are supported? Proposals from all areas of scientific and technological research of interest to the European Community are accepted and there are no priority areas. How does it work? The researcher applies to the Commission jointly with a return host institution in the Member States or Associated States and in agreement with a partner institution in a third country. If the proposal is selected, the Commission signs a contract with the return host institution for a total duration of up to 3 years. The researcher signs an agreement/contract with the return host institution. What does the funding cover? The most substantial part of the funding goes towards covering the expenses related to the researcher and the project. The researcher receives allowances to cover monthly living expenses, the costs related to travel and the mobility. Likewise the host will manage the contribution for expenses directly related to the execution of the project by the researcher. Additionally, the host receives contributions to overheads and management costs. How much funding is involved per fellowship? This Community contribution depends on several issues: the researcher's level of experience, the countries where the training research activities will be carried out, the researcher's family situation and whether it is a laboratory-based project or not. When to apply? A call for proposals was published on December 17 th 2002 and there are 2 deadlines by which proposals must arrive at the Commission offices. These deadlines are the 21 st May 2003 and 12 th February 2004 (at 17.00hrs Brussels time). It is expected that an additional call will be published with deadlines in 2005 and How to apply? Firstly, you should continue reading this document! If you are still interested then download an InfoPack that provides the material you need to prepare a proposal. We recommend that you also consult the relevant legal documents (listed in the annex V of this document) to better understand the evaluation process, rules of participation, contractual and financial issues, etc.

4 Contents 1. INTRODUCTION WHAT ARE MARIE CURIE OUTGOING INTERNATIONAL FELLOWSHIPS? HOW LONG DOES THE FELLOWSHIP LAST? HOW DOES IT WORK? DIFFERENCES BETWEEN FP5 AND FP WHAT TYPE OF RESEARCH DOES IT COVER? THE TOPIC OF THE PROJECT THE CONCEPT OF PANELS WHICH RESEARCH ORGANISATIONS CAN TAKE PART? HOW ARE PARTICIPANTS DEFINED? WHAT TYPES OF RESEARCH ORGANISATIONS CAN TAKE PART? WHERE CAN THE RETURN HOST INSTITUTIONS BE LOCATED? WHERE CAN THE PARTNER ORGANISATIONS BE LOCATED? WHICH INDIVIDUAL RESEARCHERS CAN TAKE PART? CONDITIONS UNDER WHICH THE RESEARCHERS SHOULD BE APPOINTED LEVEL OF EXPERIENCE MOBILITY AND NATIONALITY CONDITIONS Special Conditions for stays in International Organisations: Special Conditions after long stays in a Third Country FINDING YOUR WAY THROUGH THE ELIGIBILITY CRITERIA WHAT ARE THE FINANCIAL ASPECTS OF THE OIF? BASIC DOS AND DON TS COMMUNITY CONTRIBUTION & RATES WHAT TYPES OF EXPENSES ARE COVERED? Expenses for the activities carried out by the researchers Expenses for the activities of the host organisation for the benefit of the researcher HOW DO I ESTIMATE THE EC CONTRIBUTION? HOW TO SUBMIT A PROPOSAL AND BEYOND CALL FOR PROPOSALS PREPARING A PROPOSAL The Proposal Forms Referee's assessment Accuracy of Information METHODS FOR SUBMISSION EVALUATION OF PROPOSALS General Principles Evaluation Process Evaluation criteria Ranking of proposals WHAT'S NEXT? THE NEGOTIATION/SELECTION PHASE THE CONTRACT PHASE: Key aspects of the return host-researcher agreement WHERE TO OBTAIN FURTHER HELP...35 ANNEX I: DEFINITIONS OF THE ALLOWANCES...36 ANNEX II: CORRECTION COEFFICIENTS...37 ANNEX III: CONSOLIDATED TABLES OF THE BASIC MONTHLY ALLOWANCE...39 ANNEX V: BIBLIOGRAPHY

5 1. Introduction To help develop the European Research Area (ERA), the Commission has launched the Sixth Framework Programme for Research and Technological Development (FP6). This programme will run from 2002 to 2006 and is the financial tool with which the Commission can put research policy into practice and also provide the necessary financial support for scientific and technological development projects. Within this Framework Programme, the Human Resources and Mobility (HRM) activity, also known as Marie Curie Actions, has a budget of 1.58 billion Euro and consists of a coherent approach, largely based on the financing of actions for researchers. These will be aimed at the development and transfer of research competencies, the consolidation and widening of researchers' career prospects, and the promotion of excellence in European research. The purpose of this document is to explain one of the 12 different Marie Curie Actions: Marie Curie. The information is based mainly upon the relevant legal texts, in particular, the Work Programme for the "Structuring the European Research Area Programme. Text that has been directly extracted from this document is shown in boxes to aid the reader. 1.1 What are Marie Curie Outgoing International Fellowships? The specific objectives of the Marie Curie Outgoing International Fellowships action are: These [fellowships] will be awarded to researchers from EU and Associated Countries to work in established third country research centres, thereby widening their international experience in research. This scheme will require the submission of a coherent individual training programme, involving a first phase abroad, followed by a mandatory second phase in Europe. This action, open towards the rest of the world, aims to respond to the needs for reinforcing the international dimension of the career of European researchers by giving them the opportunity to be trained in a world level third country research organisation, and then to apply the experience gained in an organisation in a Member State or Associated State. (Work Programme section ) Researchers applying to this action need to identify and develop a research training project that will provide the means to significantly advance in their career. This may include training in managerial aspects of research, complementary skills etc. A fundamental concept underlying this action is that of advanced training and life-long learning. In essence, the fellowship should enable the researcher to progress in the development of his/her career and should not represent a temporary solution. The fellowship is expected to be part of a structured, long-term professional development plan that is coherent with past achievements and clearly defines the future aims of the researcher. 1.2 How long does the fellowship last? Outgoing International Fellowships must include a coherent training programme of a total duration of up to 3 years, including an initial training phase of 1 to 2 years and a reintegration phase which is typically half the duration of the first phase (Work Programme section ). 5

6 1.3 How does it work? To show how Outgoing International Fellowships work, the figure on the following page shows its life cycle. Referring to this figure, the whole process can be divided into five stages thus: Stage 1: Proposal Preparation The individual researcher identifies a specific area where receiving advanced training would further enhance his/her opportunities to progress in their career. The researcher must also identify the return host institution as well as a partner organisation in a third country that may be best suited to provide such training and get in contact with them. A proposal is then prepared in close co-operation with the return host institution and submitted to the Commission by a certain deadline. Stage 2: Proposal Evaluation After the deadline, a series of checks will be performed on the proposal to ensure that it complies with some basic criteria such as the completeness, eligibility of the applicant etc. The Commission will also arrange for the proposal to be evaluated by independent experts in the field of the proposed project, who will assess it against a number of evaluation criteria. The applicant will be provided with a report describing the consensus opinion reached by the independent experts. Stage 3: Negotiation and Selection Taking into account the opinions of the experts and the available funding, the Commission will rank the proposals. Those proposals that have been retained will be invited to enter into contract negotiations. The purpose of this process is to prepare the technical annex of the contract and to finalise the EC contribution. Any comments from the experts that arose during the evaluation process may be taken into account. At the end of this process the Commission will select the proposals which have led to successful negotiations. Stage 4: Preparation Assuming a successful outcome to the negotiations, a draft contract will be prepared by the Commission and sent to the host institution for signature. Once signed by both parties, the return host institution must sign an agreement or a contract with the fellow. An advance payment will be provided following the signature of the contract between the return host institution and the Commission. Stage 5: Start of Work Only at this stage can the project really start. During the course of the project, the Commission will monitor the project via annual reports. All subsequent payments are made based on the progress made on the project and upon acceptance of the reports by the researcher and host institution. The final payment is released upon acceptance of the final report by the Commission services. 6

7 LIFE CYCLE OF AN OUTGOING INTERNATIONAL FELLOWSHIP INDIVIDUAL RESEARCHER RETURN HOST ORGANISATION Stage 1 Proposal Preparation JOINT PROPOSAL Deadline ~3 months Unsuccessful ELIGIBILITY CHECKED Successful Stage 2 Proposal Evaluation and Selection Unsuccessful EVALUATION (PEER REVIEW) Successful Unsuccessful NEGOTIATION Successful Stage 3 Negotiation and Selection ~5 months Unsuccessful COMMISSION DECISION Successful SIGNATURE OF CONTRACT BETWEEN RETURN HOST AND RESEARCHER SIGNATURE OF CONTRACT BETWEEN RETURN HOST AND COMMISSION Stage 4 Preparation PAYMENT OF ADVANCE TO RETURN HOST INSTITUTION START OF WORK INTERMEDIATE REPORTING FINAL REPORTING Stage 5 Start of work and training/research programme MONITORING BY COMMISSION SERVICES COMPLETION OF PROJECT FOLLOW-UP OF CAREERS OF RECRUITED RESEARCHERS, DISSEMINATION OF RESULTS AND BEST PRACTICE 7

8 1.4 Differences between FP5 and FP6 A strict comparison between the Actions in FP5 and FP6 is not really possible due to the fundamental differences in terms of objectives and participation rules. Nevertheless, the following table highlights the main differences between Fellowships to Japan for Community researchers that have been funded under FP5 and the Outgoing International Fellowships available in FP6: Name of the programme/activity Name of the action FP5 INCO Confirming the international role of Community research Fellowships to Japan for Community researchers FP6 Human Resources and Mobility Marie Curie Outgoing International Fellowships Target countries Japan World-wide Participation of researchers from Allowed Allowed Associated States Age limit for researchers who can be eligible Maximum period of the fellowship Allowances paid to researchers Contribution to the participation expenses of eligible researchers (managed by the host organisation) Contribution to expenses for the activities carried out by the host organisations Contribution to Overheads Contribution to expenses for the activities carried out by the host organisations management activities (including audit certification) Up to 32 years 24 months outside Europe (no return phase) (i) living allowance (ii) travel allowance, (iii) language courses (iv) relocation allowance None None None Removed (eligibility based on experience) Up to 36 months (12 to 24 months outside Europe + obligatory return phase of typically half the duration of the outgoing phase) (i) monthly living allowance, (ii) annual travel allowance (ii) monthly mobility allowance Contribution for expenses related to training actions (research costs, conferences, inscription fees, etc). Between / researcher-month 10% of direct costs except for subcontractors Maximum 3% of the Community contribution 8

9 2 What type of research does it cover? 2.1 The Topic of the Project All Marie Curie actions have a bottom-up approach i.e. all fields of research of interest to the European Community are eligible for funding. Furthermore, no quota will be applied to the disciplines in advance of the selection process the number of proposals received in each field being used. This bottom up approach may be expressed as follows: - Freedom is given to the proposers as to the choice of field of research for their projects. The Marie Curie actions will therefore be open to all fields of research, which contribute to the objectives of the Community as defined in Article 163 of the EC Treaty, for projects chosen freely by the applicants themselves. - Great initiative is left to the proposers within the objectives of the programme and within general guidelines (including maximum expenditure) concerning the details permitting a better realisation of the objectives. (Work Programme section 2.5.1) In determining the project research topic, it is important to emphasise that it should be of strong interest for Europe and help to provide the best possible opportunities for the experienced researchers to advance their careers. Note that fields of research within the EURATOM programme may not be eligible for funding. However, this does not exclude fundamental research in the field of nuclear physics. Fields of research with military applications may also be ineligible. Furthermore, research projects with ethical implications (e.g. human cloning, some specific aspects of human embryo research, animal welfare etc.) will be subject to ethical review and may not be eligible for funding. For more information please consult the following: The Concept of Panels For practical organisational reasons, proposals will be classified under seven major areas of science (known as panels ): Economics and Social Sciences; Engineering sciences; Environmental and geo-sciences; Life sciences; Mathematics and information sciences; Physics; and Chemistry. The applicant chooses the panel to which the proposal will be associated at the proposal stage (using the field Scientific Panel on the A1 proposal submission form) and this should be considered as the core discipline. Additional keywords are used to define the other disciplines that are involved. Note that the choice of panel will only guide the Commission in the selection of experts for proposal evaluation and that there is no predefined budget allocation among the panels in the call for proposals. 9

10 3 Which research organisations can take part? 3.1 How are participants defined? Participants are defined as the research organisations that are implementing Marie Curie actions. If selected for funding, the participants will be signing a contract with the Commission: As a general rule, the participants of the Marie Curie actions are organisations active in research or research training (universities, national or international research centres or commercial enterprises, etc) implementing Marie Curie actions and signing contracts with the Commission. Work Programme (section 2.5.2) According to this denomination the participant in a Marie Curie Outgoing International Fellowship is the return host institution but not the researcher, who is a "third party" beneficiary: Eligible researchers under these schemes are third party beneficiaries of the Marie Curie actions. They do not sign a contract with the Commission, but benefit from the Marie Curie actions and are therefore in this way beneficiaries of Community funds. Work Programme section 2.5.3) 3.2 What types of research organisations can take part? Many different types of research organisations can take part in OIF as a return host organisation: National organisations (e.g. universities, research centres etc); Commercial enterprises, especially those of small and medium size (SMEs); Non-profit or charitable organisations (e.g. NGOs, trusts, etc.) International European interest organisations (e.g. CERN, EMBL, etc); The Joint Research Centre of the European Commission. The participation and funding of the above types of organisation is foreseen for OIF according to the Rules for Participation in FP6 (this document contains definitions of the above categories of organisation). 3.3 Where can the return host institutions be located? The return host institutions can be located in a Member State, a EU Candidate Country or another Associated State all of which are listed in the table below: 10

11 Member States Associated States Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, The Netherlands, Portugal, Spain, Sweden, United Kingdom Candidate Countries Bulgaria, Cyprus, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Malta, Poland, Romania, Slovakia, Slovenia and Turkey. Other Associated States Iceland, Israel, Liechtenstein, Norway and Switzerland*. *At the time of writing (May 2003), Switzerland is not yet associated to FP6 and is treated as a third country until such time as the corresponding agreements enter into force. The Associated States have signed, or are expected to sign, a memorandum of understanding with the Community under the terms of which they make a financial contribution towards FP6. Once signed, organisations in these countries would be eligible to receive a financial contribution from the Community at the time of contract preparation. The current status of the association agreements can be found under the following: Where can the partner organisations be located? The partner organisations taking part in the projects by hosting researchers during the outgoing phase should be legal entities distinct from the return host organisation and could be located in any third countries except those with which the 6 th Framework Programme currently has no co-operation (at the time of writing, May 2003, they are Afghanistan, Iran, Iraq, Libya, Myanmar, North Korea, Western Sahara,). In the event of such a proposal, please consult rtd-mariecurie-actions@cec.eu.int. It is mandatory for the project to include a coherent training programme of up to 3 years including an initial training phase of minimum one to 2 years in a distinct legal entity in a third country (partner organisation) and a re-integration phase (i.e. typically half the duration of the first phase) within the contracting organisation (return host organisation) in the Member States or Associated States. (Work Programme ) In addition, according to paragraph of the work programme, any international organisation, even if it is located in a member state or an associated state, could be a partner organisation. The projects must take place totally, or mainly, in the country of the participating legal entities, with the exception of the actions managed by the international European interest organisations or international organisations as well as in the case of the initial training phase of the action Marie Curie Outgoing International Fellowships ( ) (Work Programme 2.5.4) 11

12 4 Which individual researchers can take part? To be able to participate in a Marie Curie Action, a number of eligibility criteria must be fulfilled. This chapter presents the eligibility criteria that need to be met for Outgoing International Fellowships (OIF). After the deadline, submitted proposals will be checked for eligibility. Those proposals that do not meet the criteria will not undergo scientific evaluation and will be rejected. To be eligible, the criteria need to be fulfilled at the time of the deadline for submission. Eligibility checks can also take place after the scientific evaluation, which may lead to rejection at a later stage. These eligibility criteria will be checked based on the information given by the applicant in the proposal. If at a later stage, an eligibility criterion is found not to be fulfilled (for example, due to incorrect or misleading information contained in the proposal), this will instantly lead to the rejection of the proposal. 4.1 Conditions under which the researchers should be appointed An important aspect of the Commission s policy towards researchers is to improve their career prospects and make a career in research more attractive. The Marie Curie Actions should be a means to achieve this goal. To this end, the return host institutions will be required to follow certain conditions when appointing researchers in addition to the allowances outlined in chapter 5 of this document. These conditions include the provision of all compulsory social security contributions and the provision of maternity leave. 4.2 Level of Experience Under the Marie Curie Mobility Actions, the different career pathways of researchers are taken into account by the adoption of new definitions that attach more importance to their research experience than simply their age. Once a researcher has obtained a diploma that gives access to doctoral studies in the country in which the diploma was obtained (without having to acquire any further qualifications) the clock starts ticking. In the event that a researcher has taken a break from their research career for whatever reason (e.g. working outside research, family reasons, etc.), then the clock is stopped and only starts once they resume their research career. Outgoing International Fellowships are directed exclusively at experienced researchers, based on the definition of a researcher: "As a general rule, a researcher is defined as a person active in research, including at a training level, of at least post-graduate or equivalent level." (Work Programme section 2.5.3) 12

13 Experienced researchers are defined as: " researchers having at least 4 years of research experience (full-time equivalent) since gaining a university diploma giving them access to doctoral studies (the degree must entitle the holder to embark on doctoral studies, without having to acquire any further qualifications), in the country in which the degree/diploma was obtained or researchers already in possession of a doctoral degree, independently of the time taken to acquire it. For individual-driven actions, researchers must comply with this rule at the latest eight months after the relevant deadline for submission of proposals. In all cases, the researcher must have met all the necessary requirements for the conferment of the doctoral degree, as officially certified by the awarding body." (Work Programme section 2.5.3) Hence, there are two possible scenarios that can be illustrated by the following examples: Scenario 1: At least 4 years research experience and no doctorate: Example of eligible applicant: graduated 4 years ago obtaining the degree entitling him/her to go on to doctoral studies. Does not have a doctorate at present but has worked full-time in research for the last 4 years. Example of a non-eligible applicant: graduated 7 years ago obtaining the degree entitling him/her to go on to doctoral studies. Does not have a doctorate at present and has been working in research since graduation but only to a full-time equivalent of 3 years. Scenario 2: Less than 4 years research experience but in possession of a doctorate: Examples of eligible applicants: A) graduated 7 years ago obtaining the degree entitling him/her to go on to doctoral studies. Has a doctorate at present. Has been working in research since graduation but only to a full-time equivalent of 3 years. B) graduated 3 years ago obtaining the degree entitling to go onto doctoral studies. Expects to obtain a doctorate 8 months after the deadline for submissions of applications and has been working in research full-time since graduation. Example of a non-eligible applicant: graduated 3 years ago obtaining the degree entitling to go onto doctoral studies. Expects to obtain a doctorate 9 months after the deadline for submissions of applications. Has been working in research full-time since graduation. NOTE that for those cases where the doctorate is not achieved within the 8 months after the deadline, the researcher will be declared non-eligible "ex-post" i.e. even if the negotiation between the Commission and the host organisation has been successful. If you find that you do not comply with any of the above criteria it may be because you are at an earlier stage in your research career. In that case, you may still be eligible to participate in other Marie Curie actions directed to early stage researchers. 13

14 4.3 Mobility and Nationality Conditions In order to participate in this action the researcher must also comply with a series of conditions regarding transnational mobility and nationality. Eligible researchers will be, according to the nature of the action and with respect to the rules of mobility expressed hereafter, nationals of the Member States or the Associated States. Note that the following rules DO NOT APPLY for the OIF: (Work Programme 2.5.3) "Eligible researchers will be ( ) nationals of the Member States or the Associated States ( ) other than that of the host organisation. At the start of their fellowship/activity, researchers may not have resided or carried out their main activity (work, studies, etc) in the country of their host organisation for more than 12 months in the 3 years immediately prior to the start date. Short stays such as holidays are not taken into account." In the case of a national holding more than one nationality, he/she will be able to carry out a period of mobility in the country of his /her nationality in which he/she has not resided during the previous 5 years. Short stays such as holidays are not taken into account. (Work Programme section 2.5.3) Note that, according to section of the Work Programme, only researchers with the nationality of a Member State or an Associated State are eligible for this action: Third country researchers are not eligible for this action, including those treated as being from Member States or Associated States because of their presence for more than 4 years during the previous 5 years in the territory of a Member State or Associated State. Examples: (Work Programme section ) Applicants complying with the mobility and nationality rules: A) A national from Denmark who has always resided and worked in Denmark may apply for a fellowship in Australia (outgoing phase) along with the mandatory return phase in Denmark. B) A Hungarian national who resides and works in Germany for 1 year may apply for a fellowship in the United States (outgoing phase) along with the mandatory return phase in Poland. Applicant not complying with the mobility and nationality rules: A) A South African who worked in research for the last 6 years in the UK may not apply for an Outgoing International Fellowship. B) An experienced researcher with dual British and South African nationality may apply for an Outgoing International Fellowship, including an outgoing phase in South Africa. 14

15 4.3.1 Special Conditions for stays in International Organisations: In the case of European Interest or International Organisations (e.g. CERN, EMBL, ESO etc), the normal mobility rules described above do not apply since they cannot be associated with any one country: These mobility rules do not apply to the hosting of eligible researchers by international European interest organisations or international organisations. Eligible researchers may carry out their project in any eligible international organisation, whatever its location. Examples: (Work Programme section 2.5.3) A) A Belgian researcher who has lived and studied in Germany may apply for the outgoing phase of the fellowship at the Food and Agriculture Organisation in Rome (Italy). B) An Italian researcher who has lived and worked in Italy may apply for the outgoing phase of the fellowship at the Food and Agriculture Organisation in Rome (Italy). He or she will not, however, be eligible for a mobility allowance. C) A German researcher who has lived and worked in Germany may apply for the outgoing phase of the fellowship at the ESO observatory in Chile or at the ESO headquarters in Munich (Germany) Special Conditions after long stays in a Third Country Researchers who are nationals of Member States or Associated States and have been carrying out research in a Third Country for a long period are also eligible for an OIF. The project will, of course, include the mandatory re-integration phase in a Member State or an Associated State. Note that researchers who are in this case may also apply for an Intra-European Fellowship (EIF) or an International Re-integration Grant (IRG), or an Excellence Grant (EXT) according to the specific objectives, rules and eligibility criteria of each of those actions. These measures are designed to counteract the brain drain : Example: A UK national who has resided and carried out research in Japan for the past 5 years may apply for an OIF with the outgoing phase in Japan and the mandatory return phase in the UK. He or she will not, however, be eligible for a mobility allowance. 4.4 Finding your way through the eligibility criteria To make it easier for you as an individual researcher or host organisation to determine the eligibility of an experienced researcher to be appointed within an OIF, the flowchart on the following page has been prepared. Please note that this chart is indicative only and you are always advised to check the text of the Work Programme. 15

16 INDICATIVE CONDITIONS FOR ELIGIBILITY FOR AN OIF In the following diagram, the conditions under which a researcher may be eligible for a Marie Curie Outgoing International Fellowship are described. You might be eligible You are probably not eligible Can I apply? NO Do you have at least 4 years full-time research experience or a doctorate? YES NO Is the return host organisation located in an EU Member State or Associated State or is an International European Interest Organisation? YES NO Is the partner organisation located in a Third Country or is an International Organisation? YES NO Are you a national of an EU Member or Associated State? 16

17 5 What are the financial aspects of the OIF? 5.1 Basic dos and don ts As a general rule, costs may be charged to the contract provided that they fulfil the following conditions: they are actual, economic and necessary for the implementation of the project; and they are determined in accordance with the usual accounting principles of each participant; and they are incurred within the duration of the project, except when otherwise provided for in the contract; and they are recorded in the accounts of the participant or, when provided for in the contract in the case of resources made available by third parties on the basis of a prior agreement, in the corresponding accounts of those third parties; and they exclude any indirect taxes, duties, interest, costs incurred in respect of another Community project, and do not give rise to profit. 5.2 Community contribution & rates The conditions for funding the activities undertaken by the researcher in order to attain the project deliverables are defined in the Work Programme, section (see the table shown on the following page): 17

18 Marie Curie outgoing international fellowships Outgoing phase (third countr ies ) Reintegration phase r (Member State o Associated State) Eligible expenses 1 Eligible expenses for the activities carried out by the researchers 2 - A - Transnational mobility - D - - E Monthly living allowance 3 Application of the Marie Curie reference rates (cf. point 2-8) Application of the Marie Curie reference rates (cf. point 2-8) B -C Travel 4 Mobility 5 Allowances Career exploratory allowance Contribution to the participation expenses of eligible researchers YES YES NO Only reimbursement of possible expenses related to the training of researchers in a third country (inscription fees, laboratory costs, etc) ; if necessary and within a maximum of real expenses of 750 /researcher-month YES not applicable in the case of reintegration in the researcher s country of origin NO Contribution, managed by the host institute, to the expenses linked to the participation of the eligible researchers in the research and training activities (meetings, conferences, training activities, research expenses etc.) according to standard rates (per researchermonth :500 if not attached to a laboratory, 750 if attached to a laboratory) Eligible expenses for the activities carried out by the host organisations - F - - G - - H - - I - Other types of eligible Contribution to expenses / specific overheads conditions Contribution to the research/ training /transfer of knowledge programme expenses NO NO Management activities (including audit certification) maximum 3% of the Community contribution 10% of the direct costs apart from sub-contracting NO NO 1 The following activities are considered necessary by their nature to achieve to objectives of each of the Marie Curie actions and can be the subject of Community funding within the conditions foreseen. These conditions are indicated in general terms in footnotes at the bottom of the pages. Special cases or exceptions applicable for each action are indicated directly in this table. 2 The expenses A, B, C and D are for the benefit of the eligible researchers. The expenses E are expenses for the training activities carried out by the researchers. 3 Allowance for fellows/month based on reference rates as mentioned in table 1 point Travel allowance / fellow / period of 12 started months based on the direct distance (as the crow flies) between A) the location of origin and the partner institution s premises (if different countries) during the outgoing phase and B) the location of origin and the contractor s premises (if different countries) during the re-integration phase 5 Mobility allowance / month: fixed amount (relocation, family charges, language courses, etc) : 900 to cover supplementary expenses linked to the family situation of the researcher at the time of the recruitment (marriage or equivalent status recognised by national legislation, and/or charge of children) ; 600 for a researcher without family charges at the time of recruitment. To these amounts a correction factor for the cost of living of the country of execution of the project is applied. This allocation will only be due for researchers doing a transnational mobility.

19 5.3 What types of expenses are covered? According to the Work Programme, the eligible expenses may be broadly divided into: Eligible expenses for the activities carried out by the researcher; Eligible expenses for the activities carried out by the host organisations and for the benefit of the researcher. The financial support for Outgoing International Fellowships takes the form of grants covering up to 100% of the budget, comprising the following components: Expenses for the activities carried out by the researchers a monthly living allowance : This refers to the basic monthly amount to be paid each month to the researcher according to the table in annex I. This is then adjusted, applying a correction factor for the cost of living according to the country in which s/he will be appointed, as shown in annex II. The living allowance is a gross Community contribution to the salary costs of the fellow. Consequently, the net salary results from deducting all compulsory social security contributions as well as direct taxes (e.g. income tax) from the gross amounts. For each eligible researcher, the host organisation can opt between recruiting him/her under an employment contract (including all compulsory deductions under national legislation in the context of the project), or a fixed-amount stipend. Researchers can only be recruited under a fixed-amount stipend if this is compatible with national legislation and if social security is provided. This is more generally aimed at researchers who retain an element of salary at their own institution during the outgoing phase. The social security scheme should provide an adequate protection in terms of level and scope and cover the researcher in every place of implementation of the research training activities, in particular at the place(s) where the researcher will be seconded during the outgoing phase. For Outgoing International Fellowships, appointment with stipends should be the exception rather than the rule and should only be used in those cases where this type of appointment would not be disadvantageous for the researcher s future. At the negotiation stage the host institution will be asked to specify whether the fellow will be employed under a contract or a stipend. It is therefore important that the researcher keeps in contact with the host institution to discuss this issue and to avoid possible misunderstandings at the time of drawing up the agreement with the host institution. Host organisations may pay a top-up salary to the eligible researcher in order to complement this contribution. 19

20 a travel allowance: This refers to an allowance upon taking up employment and yearly thereafter. As shown in annex II, it is based upon the direct distance as the crow flies between: A) The location of origin of the researcher and the partner institution s premises during the outgoing phase, providing that these locations are situated in two different countries B) The location of origin of the researcher and the contractor s premises (in a Member State or Associated State) during the re-integration phase, providing that these locations are situated in two different countries. Fellows with a fellowship duration between 12 months and 24 months are entitled to 2 travel allowances, whereas those on longer fellowships (more than 24 months) will receive 3 travel allowances. a mobility allowance: This is a monthly payment of a fixed amount to cover expenses related to the mobility (relocation, family charges, language courses, etc.). A correction factor for the cost of living of the country of execution of the project is applied (see Annex II). There are two reference amounts depending on the family situation of the researcher at the time of submission of the proposal: 900 /month: Researcher with family charges (marriage or equivalent status recognised by national legislation, and/or charge of children.). 600 /month: Researcher without family charges. This allowance is only paid in those cases where there is transnational mobility of the researcher, consequently, a fellow who is carrying out the outgoing phase of the project in a country where s/he has resided for more than 12 months immediately prior to the relevant deadline for submission (and then considered as the location of origin), would not receive a mobility allowance. In addition, this allowance will not be paid to the researchers who are going to carry out the re-integration phase in their country of nationality. Such cases may arrive particularly where international organisations are involved. a contribution to the participation expenses of eligible researchers: This contribution is managed by the return host organisation (the contractor) for expenses related to the participation of the researchers in research and training activities (contribution to research-related costs, meetings, conference attendance, training actions, etc). Depending on the phases (outgoing or re-integration), it consists of: reimbursement of possible expenses related to the training of researchers during the outgoing phase (inscription fees, laboratory costs, etc) ; if necessary and within a maximum of real expenses of 750 /researcher-month NOTE that these expenses will be reimbursed on the basis of real costs incurred by the partner institution for expenses related to the research training activities of the researcher. 20

21 expenses linked to the participation of the eligible researchers in the research and training activities during the re-integration phase (meetings, conferences, training activities, research expenses etc.) according to standard rates (per researcher-month : 500 if non-laboratory based research project OR 750 if laboratory-based project) NOTE that social security contributions and taxation vary from country to country. In order to obtain an estimation of the actual net allowances for the researchers, it is recommended to consult the host institution and/or the relevant National Contact Point (see Annex V) Expenses for the activities of the host organisation for the benefit of the researcher management costs (including audit certification): This refers to a maximum of 3% of the Community contribution that will be paid towards the management of the project. This will also cover the cost of audit certification. contribution to overheads: This refers to a flat rate payment of 10% of the direct costs (excluding costs for subcontracts). The maximum amount of the grant will be fixed in the contract after the negotiation. 21

22 5.4 How do I estimate the EC contribution? Applicants are not required to calculate the amount of the estimated EC contribution. This will be automatically calculated from the information contained in the proposal, using the rates, allowances and coefficients given in section 2.8 of the Work Programme. If the proposal is selected by the Commission for funding, the EC contribution will be estimated more accurately during the negotiations taking into account any recommendations made by the independent evaluators. The example below aims to help understand the way the contributions are calculated. Example: A researcher with 6 years experience and a family, going from Lisbon (where he has always resided and worked) to Harvard (USA) for a 2-year outgoing phase and a 1 year re-integration phase in Lisbon with an Outgoing International Fellowship under an employment contract and with location of origin in Portugal: EXPENSES FOR THE ACTVITIES CARRIED OUT BY THE RESEARCHER (all these are part of the 'direct costs' as mentioned in the Work Programme section 2.8.2): OUTGOING PHASE Living allowance: x 2 years = Mobility allowance: 900 x 24 months = Correction factor for the United States = 132,5% Travel costs: 2000 x 2 years = Total Living allowance + Total Mobility allowance = x 132.5% = TOTAL CONTRIBUTION FOR THE OUTGOING PHASE = RE-INTEGRATION PHASE Living allowance: x 1 year = Mobility allowance: 900 x 12 months = Correction coefficient for Portugal = 88,7 % Travel costs: 0 Total Living allowance + Total Mobility allowance = x 88,7% = ,10 TOTAL CONTRIBUTION FOR THE RE-INTEGRATION PHASE = ,10 Total Community Contribution for the researcher: ,10 = ,10 22

23 Contribution to the participation expenses of eligible researchers (managed by the host institution) for both phases: Maximum research costs (lab based): 750 x 36 = Total Community Contribution for the activities carried out by the researcher: ,10 EXPENSES FOR THE ACTIVITIES CARRIED OUT BY THE HOST ORGANISATION FOR THE BENEFIT OF THE RESEARCHER Management costs & Contribution to overheads The total Community Contribution is the basis for the calculation of the management costs, whereas to calculate the overheads the total direct costs need to be known. Direct costs = Expenses for the activities carried out by the researcher Overheads = 10% direct costs Total Community Contribution = direct costs + overheads + management costs Management costs = 3% Total Community Contribution The initial step is to calculate the overheads: The direct costs are: ,10 Since the overheads are maximum 10% of the direct costs: Overheads = ,61 Total Community Contribution = direct costs + overheads + management costs In this example: Total Comm. Contr. = , ,1 + 3%Total Comm. Contr. Hence: Comm. Contr. = ,71 / = ,65 Total Maximum Community Contribution = ,65 The management costs are maximum 3% of the total Community contribution, hence: Management costs = 7.708,94 23

24 In summary: Contribution Budget ( ) Contribution for the benefit of the researcher ,10 Overhead expenses ,61 Management and audit certificate related expenses 7.708,94 TOTAL Community Contribution ,65 To make it easier for potential applicants, annex III contains a table of basic monthly salaries for researchers including the country coefficients for the EU Member and Associated States. Note that these amounts represent the Community contributions to salary costs and as such include compulsory social security contributions and income tax, if relevant. The mobility and travel allowances must also be taken into account when calculating the total expenses. In the near term, a budget estimator will also be made available on the Marie Curie web-page. 24

25 6 How to submit a Proposal and Beyond 6.1 Call for proposals The call for proposal ref. FP Mobility-6 for the Marie Curie Outgoing International Fellowships was published on 17 th December 2002 (OJ ref. C 315/58). It includes the timetable of the deadlines for submission of proposals. There are 2 deadlines by which proposals must arrive at the Commission offices. These deadlines are the 21 st May 2003 and 12 th February 2004 (at hrs Brussels time). It is important to note that calls may be amended and that further calls can be published. You should always consult the latest deadline on the Marie Curie web page. Proposals for actions within the Human Resources and Mobility Programme are submitted in a single step. A complete proposal application should be submitted to the address set out in the Call for Proposals. Proposals must be received on or before hrs on the closing date given in the call. 6.2 Preparing a proposal In the case of Marie Curie Outgoing International Fellowships, the proposals are presented by the researcher in liaison with the return host organisation. In order to prepare a proposal, it is necessary to start by downloading an InfoPack from the following address: Each InfoPack contains the following three documents that are essential: The Call text as published in the Official Journal of the European Communities. This includes the list of Actions that are open for proposals, and what are the submission addresses and deadlines for proposal submission. The Guide for Proposers contains a series of administrative forms (known as Part A ) and instructions concerning a free-text description of the project (known as Part B ). Detailed instructions are also provided on the proposal submission process. The Current Work Programme of the HRM Activity. The Work Programme provides a detailed description of the Marie Curie actions, including eligibility and evaluation criteria that apply to proposals. It is also important to consult the following documents as they elaborate on the evaluation process: The Guidelines on proposal evaluation and project selection procedures (the Evaluation Manual ). This document describes the general principles and procedures that will be used for the evaluation of any FP6 proposals by independent experts. 25