Further Clarification: Minimum Time Commitments and Multiple Institutions on ERC Grants

Background and Issue in Question

European Research Council (ERC) proposals ask the Principal Investigators (PIs) to commit a minimum amount of their total working time to the ERC project, namely 50% for the Starting Grant, 40% for the Consolidator Grant, 30% for the Advanced Grant and 30% per PI for Synergy Grants. In all cases, the PIs must spend a minimum of 50% of their total working time within an EU Member State or Associated Country (MS/AC).

Questions often arise when:

  1. applicants work less than 100% full-time equivalent (FTE). They often ask if the 50/40/30% time requirement is a percentage of FTE or of the hours they actually work;
  2. applicants plan to carry out fieldwork abroad. They ask questions about how that affects the 50% minimum time requirement to be spent in an EU MS/AC; and
  3. applicants work at multiple institutions. They ask if it is also possible to split their time commitment between these institutions. In some instances, applicants wish to know if their ERC grants can be hosted at/work on their ERC project can be carried out at institutions other than their current employer and if this impacts upon their time commitments.

Clarification

Minimum working time commitments

Minimum time restrictions are applied to the hours the PI actually works. If PIs work part-time, their percentage commitments will be reduced according to the percentage of FTE the applicant works. However, this will be capped at 100% FTE and will not increase if, in reality, the applicant actually works more than 100% FTE. See the following examples:

  • A PI applying for a Starting Grant works part-time, doing 70% FTE. In order to be eligible for the Starting Grant, they have to commit a minimum of 50% of the time they actually work to the grant, meaning 50% of 70%, giving 35% FTE.
  • A PI applying for an Advanced Grant works more than full-time hours, doing 150% FTE. In order to be eligible for the Advanced Grant, they have to commit a minimum of 30% of the time they actually work to the grant. However, working time is capped at 100% FTE, meaning 30% of 100% should be used, giving 30% FTE.

The calculation of ERC working time commitments and time spent in MS/AC is for the overall duration of the project. This means that variations from year to year can go above and below the percentage committed as long as these commitments are fulfilled over the course of the whole project and the variations are in line with the work plan assessed by the evaluators.

Further clarification was sought from the ERC Executive Agency (ERCEA) on the minimum time commitments for Synergy Grant applicants, who can present themselves for evaluation according to Starting, Consolidator or Advanced Grant profiles. It was confirmed that the 30% minimum time commitment applies to applicants whatever the profile of the Synergy PI.

Minimum time spent in European Union Member States or Associated Countries

When it comes to the PI spending a minimum of 50% of their total working time in an MS/AC, the ERCEA clarified that this does not exclude field work or other research activities where these must necessarily be conducted outside the MS/AC in order to achieve the scientific objectives of the project.

Time spent on such field work or other research activities may count as time spent in the MS/AC for the purpose of the PI’s time commitments.

Minimum time commitments for PIs who split their work on the project between multiple entities

As stated in a 2021 ERC Advanced Grant FAQ: “Specific circumstances, where the minimum time requirement of the call (30%) results from the sum of more than one employment contract of the PI with different organisations, may be accommodated in case the proposal is selected for funding.” UKRO has received confirmation that this applies to all ERC schemes, albeit with a variation of minimum time commitments (i.e. 50% for StG, 40% for CoG. 30% for AdG. 30% for SyG for each PI).

In such cases, multiple entities that engage the PI for any portion of their time commitment to the project may become beneficiaries under the ERC grant agreement if they are all established in a MS/AC, but only one would be designated as the ERC Host Institution (HI).

At the time of submission:

  • The PI must be supported by one of these entities acting as the HI based in a MS/AC (unless the PI in question is the one engaged by a Synergy Grant HI established outside a MS/AC). The engagement of the PI by one HI and/or any other entities where they will work on the project can be in place at the time of submission but it does not need to be.
  • This designated HI must commit itself, through the HI support letter, to host and engage the PI for the whole duration of the action. In doing so the HI also commits to ensure that the PI spends the minimum working time commitment on the ERC funded project in each of the organisations engaging the PI.
  • The HI must also have written consent from any beneficiaries involved in a proposal that are not the HI (whether they are engaging the PI and/or any of the team members). The ERC does not specify that this written consent has to be an official letter and they ask that the applicants keep these documents on file to be presented if requested, they should not be submitted with the proposal.
  • The HI engagement or any other engagement(s) for the PI or team members can be finalised after an application has been recommended for funding: in the Grant Agreement Preparation phase, or during project implementation with approval from ERC.

Time spent by the PI on the ERC grant beyond the minimum commitment, outside the HI, can also be counted towards the percentage time commitment (and time spent within a MS/AC), with the approval of the ERC (usually via the project officer).

See the following illustrations:

  • A PI employed by a university and a research hospital applies for a Starting Grant with the university as the HI. The PI is required to commit a minimum of 50% of their working time for the Starting Grant, but chooses to commit 80% of their working time to the grant in their proposal. For eligibility purposes they would be required to spend at least 50% of their total working time dedicated to the ERC grant but would be able to split that work between the research university (their Host Institution) and the hospital. They could also choose to spend the remainder of their time commitment (i.e. the 30% FTE to bring them up to 80% committed) at either the university or their research hospital so long as this is agreed with the ERC in advance.
  • A PI applying for an Advanced Grant currently splits their working time between two institutions – working 60% FTE for a UK university (HI) and 40% FTE for a French university. For an Advanced grant, the PI is required to commit a minimum of 30% of their working time, but chooses to commit 50% of their working time to the grant in their proposal. The entire working time commitment (the minimum requirement of 30% FTE and the additionally committed 20% FTE) could be split between either the UK or French institution but the UK university would be primarily responsible for ensuring the overall time commitment is fulfilled (with the approval of the ERC/their project officer). Given this arrangement, there would be 10% FTE of working time not allocated to the ERC project at the UK university and 20% FTE.
  • A PI applying for a Synergy Grant commits 30% of their time to work on the project. The PI plans to carry out that work by splitting their time equally between UK university (as the designated HI) and an Irish university (as a beneficiary also engaging the PI). The PI can carry out and record 15% of their working time commitment at each institution to meet the minimum eligibility criteria and thus fulfil their time commitment. The designated HI is responsible for reporting to the ERC on work carried out at both organisations. All such organisations engaging a PI must be based in a MS/AC to be eligible. The only exception to this eligibility rule is where the PI in question is the one and only in the Synergy Grant Group engaged by HI established outside a MS/AC.

PIs can also be paid and employed by an organisation other than their HI which is not involved in the project so long as they are seconded to work at their HI for at least the minimum percentage time commitment of the project. In such cases both the HI and the employing organisation would be asked to sign the ERC Supplementary Agreement.

See the following illustration:

  • A PI applying for a Consolidator Grant works 100% FTE for a research organisation. The research organisation seconds the PI to a university. The university can act as the HI and can pay the research organisation the PI’s salary costs. The PI is required to spend a minimum of 40% of their working time at the university host institution.

In Summary

  1. Minimum time commitment requirements on ERC grants are reduced proportionally for PIs who work part-time, but are not increased for those who work over 100% FTE;
  2. Time spent on fieldwork which is necessarily outside the MS/AC counts towards the PI’s 50% minimum time commitment to be spent in an MS/AC;
  3. PIs who split their time between multiple institutions can claim time spent working on the project at any of these institutions towards the minimum required commitment and their overall ERC working time commitment;
  4. PIs who are seconded to their HIs do not need to be employed and paid directly by them but must work their minimum percentage time commitment there;
  5. Each institution where PIs claim ERC project working time must meet ERC HI eligibility rules;
  6. There can only be one designated HI which makes a supplementary agreement and ensures that the PI spends the minimum working time commitment on the ERC-funded project even if that working time is spent at another organisation; and
  7. It should be noted that the ERC will carefully monitor time commitments on all grants so it is essential to ensure that the PI meet these requirements. In cases where the PI’s actual commitment is below the minimum levels, or the time commitment indicated in the PI’s proposal, appropriate measures may be taken by the ERC, up to and including grant reductions, suspensions or terminations in accordance with the grant agreement.
Tags: ERCLegal & Finance