European Community FP7 Participation Rules (Commission proposal adopted 23.12.05) Dr. Zoe Ketselidou DG Information Society and Media

Minimum conditions for participation General Three independent participants from three different Member States (MS) or Associated countries (Ac)* JRC may participate and is deemed to be from a different MS or Ac (same principles for international European interest organisations and entities established under Community law) Natural persons may participate Sole participants are eligible – one legal entity established in a MS or Ac, composed of legal entities that satisfy the minimum conditions Additional conditions can be established by the work programme or specific programme (i.e. re number of participants, place of establishment, type of participant) * Member States (MS): EU 25 Associated countries (Ac): EU non member countries associated to FP7, ie, Iceland, Israel, Liechtenstein, Norway and Switzerland

Minimum conditions for participation Specific Frontier research actions (funded by the European Research Council): – at least one legal entity established in a Member State or Associated country Coordination and support actions and actions in favour of training and career development of researchers – minimum of one legal entity (no limit on place of establishment) Collaborative projects addressing the participation of international cooperation partner countries in parity with MS or Ac – minimum is four participants of which 2 in MS or Ac and 2 in INCO countries Participation of international organisations and participants from third countries if in addition to minima

Calls for proposals Calls for proposals always, except: Coordination and support actions where the beneficiary has been identified in the specific programme or in the work programme where this is foreseen by the specific programme Coordination and support actions for the purchase of a good or service by the Community Coordination and support actions for the appointment of independent experts Other actions where provided by the Financial Regulation or its implementing rules

Submission and Evaluation Commission to adopt and publish rules on the procedures for proposal submission, evaluation, selection and award Including two-stage submission and two-step evaluation Commission to adopt and publish rules to ensure consistent verification of the legal status and financial capacity of participants Evaluation criteria established in Specific Programmes and work programmes Irregularity and violation of fundamental ethical principles are grounds for exclusion from evaluation and selection Transparent, fair and impartial evaluation procedures with help of independent experts

Implementation and grant agreements Participants implement the work jointly and severally towards the Community and carry out work of a defaulting partner unless the Commission relieves them of that obligation (technical responsibility) Financial collective responsibility does not apply in FP7 Commission to assess risk of default and may establish a mechanism to cover financial loss If implementation of the project is impossible or participants fail to implement it, the Commission shall ensure its termination Consortium agreements obligatory unless exempted by call for proposals Changes in consortium membership possible Financial collective responsibility removed and Commission to assess risk and if appropriate to introduce mechanism to provide assurance to participants that they will not have to cover losses incurred by a defaulting participant (by retaining small portion of participants’ contribution) (public bodies, legal entities guaranteed by a MS or Ac , higher and secondary education establishments would be exempt) (actions to support training and career development, frontier research, actions for the benefit of specific groups – except for those for the benefit of SMEs would be exempt)

Implementation and grant agreements Model grant agreement to be drawn up: to establish rights and obligations of participants (including submission of reports, termination etc.); identify whether and what part of the EC financial contribution is based on reimbursement of eligible costs, lump sums or flat rates; Identify which changes in composition of the consortium require prior publication of a competitive call, and; shall reflect the principles laid down in the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers (synergies with education, engagement with the broad public, increase of the participation of women, and socio-economic aspects of research) specific provisions for certain types of actions (IPR particularly) grant agreement comes into force upon signature by the coordinator and the Commission and applies to each participant that has acceded to it

Community financial contribution Eligibility for Funding Legal entities from Member States and Associated countries or created under Community law (and JRC) International European interest organisations Legal entities established in international cooperation partner (INCO) countries and International organisations, third countries other than INCO, if provided for in specific programme or work programme; or essential for carrying out action; or provision for funding is provided for in a bilateral agreement between Community and the third country Basis for Funding Reimbursement of eligible costs Flat rates, including scale of unit costs Lump sum amounts

Reimbursement of eligible costs Co-financing, no profit May be combined with the pre-set lump sums and/or flat rates for certain items of a project Cost reporting models eliminated Participants charge direct and indirect costs (option of flat rate for those who do not or can not charge real indirect costs) Costs must be actual; incurred during the project; determined according to the usual accounting and management principles/practices and used only to achieve project objectives, and consistent with principles of economy, efficiency and effectiveness; recorded in accounts and paid (or the accounts of third parties); exclusive of non-eligible costs Average personnel costs may be used if consistent with above and do not differ significantly from actual Receipts taken into account at the end of the project Audit certificates continued but reduced No « necessity »

Maximum funding rates Research and technological activities – 50% of eligible costs except for: Public bodies – 75% Secondary and higher education establishments – 75% Research organisations (non-profit) – 75% SMEs – 75% Demonstration activities – 50% of eligible costs Other activities (management, etc) – 100% of eligible costs Frontier research actions – 100% Coordination and support actions – 100% Training and career development of researchers actions – 100%

Lump sum and flat rate financing Lump sum and/or flat rate financing (scale of unit costs) could be used for the whole action, or Flat-rates/lump sums for certain costs can be combined with reimbursement of eligible costs A specific lump sum is identified for Networks of Excellence (NoEs) (unless otherwise provided for in work programme), calculated according to the number of researchers to be integrated and the duration of the action Unit value: € 23,500 / year / researcher payment effected in periodic releases, -based on attainment of progress Lump sums and flat rates do not require justification of eligible costs For NoEs, no justification of eligible costs if based on lump sum

Intellectual Property Provisions Pre-existing know-how (in FP6) becomes background (in FP7) which is: held by participants prior to their accession to the EC grant agreement (no side-ground) and needed for carrying out the project or for using its results No need to exclude it from access Knowledge (in FP6) becomes foreground (in FP7) - continuity with FP6 - improvements/fine-tuning as necessary - as “self-sustainable” as possible, i.e. a project should be able to run effectively without (extensive) additional arrangements between the participants Actions carried out under Articles 169 and 171 of the EC Treaty have their own provisions

Intellectual Property Provisions Ownership: each participant owns the foreground it generates Joint ownership: (in absence of specific agreement default joint ownership regime applies) any owner can grant non-exclusive licenses to third parties, subject to prior notification and fair and reasonable compensation to the other owner(s) with no right to sub-licence. Transfer of ownership of foreground: Prior notification only to the other participants who may waive their rights to be notified regarding specific third parties Requirement to notify Commission may be in grant agreement, Commission may object to transfers or exclusive licenses to third countries if contrary to ethical or competitiveness principles (joint ownership generated jointly, or in actions for the benefit of specific groups) :

Intellectual Property Provisions Protection, use, dissemination, publication Foreground capable of industrial or commercial application shall be protected Owner of foreground may transfer to another participant if it does not wish to protect or to the Commission Foreground to be used and disseminated Notice of dissemination (including publication) to be given to other participants (not Commission) Publications and patent applications must indicate the Community financial assistance NO BOX

Intellectual Property Provisions Access rights Participants define the background they need and may exclude but not necessarily prior to signature of EC grant agreement Requests for access rights within one year after the end of the project or other period to be agreed by participants Possible to grant exclusive licenses if other participants waive their rights Commission no longer informed of granting of access rights to third parties, unless foreseen in the grant agreement Special provisions for certain types of actions e.g. frontier research, research for the benefit of specific groups, security research

Sites on europa FP7: http://cordis.europa.eu/fp7 Rules: http://cordis.europa.eu/fp7/participation_txt.htm