European Community FP7 Participation Rules

FP7 Rules for Participation – Information event in Thessaloniki, 22/09/2006, 1Zoe Ketselidou

European Community European Community

FP7 Participation FP7 Participation RulesRules(Commission proposal adopted (Commission proposal adopted

23.12.05)23.12.05)

Dr. Zoe KetselidouDr. Zoe KetselidouDG Information Society and MediaDG Information Society and Media


GeneralGeneral Three independent participants from three different Member States (MS) Three independent participants from three different Member States (MS)

or Associated countries (Ac)or Associated countries (Ac)**

JRC may participate and is deemed to be from a different MS or Ac JRC may participate and is deemed to be from a different MS or Ac (same principles for international European interest organisations and (same principles for international European interest organisations and entities established under Community law)entities established under Community law)

Natural persons may participateNatural persons may participate

Sole participants are eligible – one legal entity established in a MS or Ac, Sole participants are eligible – one legal entity established in a MS or Ac, composed of legal entities that satisfy the minimum conditionscomposed of legal entities that satisfy the minimum conditions

Additional conditions can be established by the work programme or Additional conditions can be established by the work programme or specific programme (i.e. re number of participants, place of specific programme (i.e. re number of participants, place of establishment, type of participant)establishment, type of participant)

** Member States (MS): EU 25Member States (MS): EU 25Associated countries (Ac): Associated countries (Ac): EU non member countries associated to FP7, ie, EU non member countries associated to FP7, ie, Iceland, Israel, Liechtenstein, Norway and SwitzerlandIceland, Israel, Liechtenstein, Norway and Switzerland

Minimum conditions Minimum conditions for participationfor participation


SpecificSpecific Frontier research actions (funded by the European Research Frontier research actions (funded by the European Research

Council): – at least one legal entity established in a Member Council): – at least one legal entity established in a Member State or Associated countryState or Associated country

Coordination and support actions and actions in favour of Coordination and support actions and actions in favour of training and career development of researchers – minimum of training and career development of researchers – minimum of one legal entity (no limit on place of establishment)one legal entity (no limit on place of establishment)

Collaborative projects addressing the participation of Collaborative projects addressing the participation of international cooperation partner countries in parity with MS or international cooperation partner countries in parity with MS or Ac – minimum is four participants of which 2 in MS or Ac and 2 Ac – minimum is four participants of which 2 in MS or Ac and 2 in INCO countriesin INCO countries

Participation of international organisations and participants Participation of international organisations and participants from third countries if in addition to minimafrom third countries if in addition to minima

Minimum conditions Minimum conditions for participationfor participation


Calls for proposalsCalls for proposals

Calls for proposals always,Calls for proposals always, except:except:

Coordination and support actions where the beneficiary has Coordination and support actions where the beneficiary has been identified in the specific programme or in the work been identified in the specific programme or in the work programme where this is foreseen by the specific programmeprogramme where this is foreseen by the specific programme

Coordination and support actions for the purchase of a good or Coordination and support actions for the purchase of a good or service by the Communityservice by the Community

Coordination and support actions for the appointment of Coordination and support actions for the appointment of independent expertsindependent experts

Other actions where provided by the Financial Regulation or its Other actions where provided by the Financial Regulation or its implementing rulesimplementing rules


SubmissionSubmissionand Evaluationand Evaluation

Commission to adopt and publish rules on the procedures for Commission to adopt and publish rules on the procedures for proposal submission, evaluation, selection and awardproposal submission, evaluation, selection and award

o Including Including two-stage submissiontwo-stage submission and two-step evaluation and two-step evaluation

Commission to adopt and publish rules to ensure consistent Commission to adopt and publish rules to ensure consistent verification of the legal status and financial capacity of participantsverification of the legal status and financial capacity of participants

Evaluation criteria established in Specific Programmes and work Evaluation criteria established in Specific Programmes and work programmesprogrammes

Irregularity and violation of fundamental ethical principles are Irregularity and violation of fundamental ethical principles are grounds for exclusion from evaluation and selectiongrounds for exclusion from evaluation and selection

Transparent, fair and impartial evaluation procedures with help of Transparent, fair and impartial evaluation procedures with help of independent expertsindependent experts


ImplementationImplementationand grant agreementsand grant agreements

Participants implement the work jointly and severally towards the Participants implement the work jointly and severally towards the Community and carry out work of a defaulting partner unless the Community and carry out work of a defaulting partner unless the Commission relieves them of that obligation (technical Commission relieves them of that obligation (technical responsibility)responsibility)

Financial collective responsibility does not apply in FP7Financial collective responsibility does not apply in FP7

Commission to assess risk of default and may establish a Commission to assess risk of default and may establish a mechanism to cover financial loss mechanism to cover financial loss

If implementation of the project is impossible or participants fail to If implementation of the project is impossible or participants fail to implement it, the Commission shall ensure its terminationimplement it, the Commission shall ensure its termination

Consortium agreements obligatory unless exempted by call for Consortium agreements obligatory unless exempted by call for proposalsproposals

Changes in consortium membership possibleChanges in consortium membership possible


ImplementationImplementationand grant agreementsand grant agreements

Model grant agreement to be drawn up:Model grant agreement to be drawn up:

to establish rights and obligations of participants (including submission of to establish rights and obligations of participants (including submission of reports, termination etc.); reports, termination etc.);

identify whether and what part of the EC financial contribution is based on identify whether and what part of the EC financial contribution is based on reimbursement of eligible costs, lump sums or flat rates; reimbursement of eligible costs, lump sums or flat rates;

Identify which changes in composition of the consortium require prior Identify which changes in composition of the consortium require prior publication of a competitive call, and;publication of a competitive call, and;

shall reflect the principles laid down in the European Charter for Researchers shall reflect the principles laid down in the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers (synergies with and the Code of Conduct for the Recruitment of Researchers (synergies with education, engagement with the broad public, increase of the participation of education, engagement with the broad public, increase of the participation of women, and socio-economic aspects of research)women, and socio-economic aspects of research)

specific provisions for certain types of actions (IPR particularly)specific provisions for certain types of actions (IPR particularly)

grant agreement comes into force upon signature by the coordinator and the grant agreement comes into force upon signature by the coordinator and the Commission and applies to each participant that has acceded to itCommission and applies to each participant that has acceded to it


Community Community financial contributionfinancial contribution

Eligibility for Funding

1.1. Legal entities from Member States and Associated countries or created Legal entities from Member States and Associated countries or created under Community law (and JRC) under Community law (and JRC)

2.2. International European interest organisationsInternational European interest organisations

3.3. Legal entities established in international cooperation partner (INCO) Legal entities established in international cooperation partner (INCO) countriescountries

andand

International organisations, third countries other than INCO, if provided for in International organisations, third countries other than INCO, if provided for in specific programme or work programme; or essential for carrying out action; specific programme or work programme; or essential for carrying out action; or provision for funding is provided for in a bilateral agreement between or provision for funding is provided for in a bilateral agreement between Community and the third country Community and the third country

Basis for Funding

• Reimbursement of eligible costsReimbursement of eligible costs

• Flat rates, including scale of unit costsFlat rates, including scale of unit costs

• Lump sum amountsLump sum amounts


• Co-financing, no profitCo-financing, no profit

• May be combined with the pre-set lump sums and/or flat rates for certain May be combined with the pre-set lump sums and/or flat rates for certain items of a project items of a project

• Cost reporting models eliminatedCost reporting models eliminated

• Participants charge direct and indirect costs (option of flat rate for those Participants charge direct and indirect costs (option of flat rate for those who do not or can not charge real indirect costs)who do not or can not charge real indirect costs)

• Costs must be actual; incurred during the project; determined according to Costs must be actual; incurred during the project; determined according to the usual accounting and management principles/practices and used only the usual accounting and management principles/practices and used only to achieve project objectives, and consistent with principles of economy, to achieve project objectives, and consistent with principles of economy, efficiency and effectiveness; recorded in accounts and paid (or the efficiency and effectiveness; recorded in accounts and paid (or the accounts of third parties); exclusive of non-eligible costsaccounts of third parties); exclusive of non-eligible costs

• Average personnel costs may be usedAverage personnel costs may be used if consistent with above and do not if consistent with above and do not differ significantly from actualdiffer significantly from actual

• Receipts taken into account at the end of the projectReceipts taken into account at the end of the project

• Audit certificates continued but Audit certificates continued but reducedreduced

ReimbursementReimbursementof eligible costsof eligible costs


• Research and technological activities – 50% of eligible costs Research and technological activities – 50% of eligible costs except for:except for:

▫ Public bodies – 75%Public bodies – 75%

▫ Secondary and higher education establishments – 75%Secondary and higher education establishments – 75%

▫ Research organisations (non-profit) – 75%Research organisations (non-profit) – 75%

▫ SMEs – 75%SMEs – 75%

• Demonstration activities – 50% of eligible costsDemonstration activities – 50% of eligible costs

• Other activities (management, etc) – 100% of eligible costsOther activities (management, etc) – 100% of eligible costs

• Frontier research actions – 100%Frontier research actions – 100%

• Coordination and support actions – 100%Coordination and support actions – 100%

• Training and career development of researchers actions – 100%Training and career development of researchers actions – 100%

MaximumMaximumfunding ratesfunding rates


Lump sum and flat Lump sum and flat rate financingrate financing

• Lump sum and/or flat rate financing (scale of unit costs) could be used Lump sum and/or flat rate financing (scale of unit costs) could be used for the whole action, orfor the whole action, or

• Flat-rates/lump sums for certain costs can be combined with Flat-rates/lump sums for certain costs can be combined with reimbursement of eligible costsreimbursement of eligible costs

• A specific A specific lump sum is identified for Networks of Excellence (NoEs)lump sum is identified for Networks of Excellence (NoEs) (unless otherwise provided for in work programme), (unless otherwise provided for in work programme),

– calculated according to the number of researchers to be integrated calculated according to the number of researchers to be integrated and the duration of the actionand the duration of the action

Unit value: € 23,500 / year / researcherUnit value: € 23,500 / year / researcher

– payment effected in periodic releases, -based on attainment of payment effected in periodic releases, -based on attainment of progressprogress

• Lump sums and flat rates do not require justification of eligible costsLump sums and flat rates do not require justification of eligible costs


Pre-existing know-how Pre-existing know-how (in FP6)(in FP6) becomes becomes background background (in FP7)(in FP7) which is: which is:

• held by participants prior to their accession to the EC held by participants prior to their accession to the EC grant agreement (grant agreement (no side-groundno side-ground) and) and

• neededneeded for carrying out the project or for using its for carrying out the project or for using its resultsresults

No need to exclude it from accessNo need to exclude it from access

Knowledge Knowledge (in FP6)(in FP6) becomes becomes foreground foreground (in FP7)(in FP7)

Intellectual PropertyIntellectual PropertyProvisionsProvisions


OwnershipOwnership: : each participant owns the foreground it generateseach participant owns the foreground it generates

Joint ownership: Joint ownership:

((in absence of specific agreementin absence of specific agreement default joint ownership regime appliesdefault joint ownership regime applies) )

any owner can grant non-exclusive licenses to third parties, any owner can grant non-exclusive licenses to third parties, subject to subject to prior notification and fair and reasonable compensation to the other prior notification and fair and reasonable compensation to the other owner(s) with no right to sub-licenceowner(s) with no right to sub-licence..

Transfer of ownership of foreground:Transfer of ownership of foreground:

Prior notification Prior notification only to the other participantsonly to the other participants who may waive their rights who may waive their rights to be notified regarding specific third partiesto be notified regarding specific third parties

Requirement to notify Commission may be in grant agreement, Requirement to notify Commission may be in grant agreement, Commission may object to transfers or exclusive licenses Commission may object to transfers or exclusive licenses to third to third countries if contrary to ethical or competitiveness principlescountries if contrary to ethical or competitiveness principles



Protection, use, dissemination, publicationProtection, use, dissemination, publication

• Foreground capable of industrial or commercial application shall be Foreground capable of industrial or commercial application shall be protected protected

• Owner of foreground may transfer to another participant if it does not Owner of foreground may transfer to another participant if it does not wish to protect or to the Commissionwish to protect or to the Commission

• Foreground to be used and disseminated Foreground to be used and disseminated

• Notice of dissemination (including publication) to be given to other Notice of dissemination (including publication) to be given to other participants (not Commission)participants (not Commission)

• Publications and Publications and patent applicationspatent applications must indicate the Community must indicate the Community financial assistance financial assistance



Access rightsAccess rights

• Participants define the background they need and may exclude but Participants define the background they need and may exclude but not necessarily prior to signature of EC grant agreementnot necessarily prior to signature of EC grant agreement

• Requests for access rights within Requests for access rights within one yearone year after the end of the after the end of the project or other period to be agreed by participantsproject or other period to be agreed by participants

• Possible to grant exclusive licenses if other participants waive their Possible to grant exclusive licenses if other participants waive their rightsrights

• Commission no longer informed of granting of access rights to third Commission no longer informed of granting of access rights to third parties, unless foreseen in the grant agreement parties, unless foreseen in the grant agreement

• Special provisions for certain types of actions e.g. frontier Special provisions for certain types of actions e.g. frontier research, research for the benefit of specific groups, security research, research for the benefit of specific groups, security researchresearch



• FP7:FP7: http://cordis.europa.eu/fp7

• Rules: Rules: http://cordis.europa.eu/fp7/participation_txt.htmhttp://cordis.europa.eu/fp7/participation_txt.htm

Sites on europaSites on europa

Documents

European Community FP7 Participation Rules