Rules of Participation in Framework Programme 7 Brussels Office Helmholtz Association of German Research Centres Rue du Trône 98 B-1050 Brüssel

Rules of Participation in FP7  Project partners: who? How many?  Calls for proposals  Instruments  Funding rates  Cost models  Grant agreements/Consortium agreements  Guarantee fund  IPR

Project partners: who? How many? General:  Collaborative projects („Cooperation“): minimum 3 participants from 3 Member States (MS) or 3 Associated Countries (AC)  Natural persons  Joint Research Centres, EEIG, organisations established unter European law are considered different from MS  Special conditions specified in specific programmes or work programmes

Project partners: who? How many? Specific:  Collaborative projects addressing international cooperation objectives (INCO): minimum of 4 partners (2 MS, 2 Third Countries  Frontier research actions („Ideas“): minimum 1 legal entity from MS or AC  Coordination or specific support actions: minimum 1 partner  Actions for training and career development of researchers: 1 partner  Partners from Third Countries or international research organisations over and above minimum conditions

Calls for proposals Always with the exception of:  Coordination and specific support actions specified in the work programmes as provided in the specific programmes  The appointment of independent experts  The purchase of goods or service for the Community  Where otherwise provided in the Financial Regulation

Instruments  Collaborative projects („large integrating projects“, „small to medium-sized, focused research projects“)  Networks of Excellence  Coordination actions  Specific support actions  Integrated Infrastructure Initiatives  Frontier research actions  Actions for training and career development of researchers (Marie Curie Programme)  Other special actions provided for in the specific programmes or work programmes (e.g. Marie Curie Awards)

Maximum funding rates  Research and technological activities: 50% except for:  Public bodies – 75%  Secondary schools and higher education establishments – 75%  Non-profit research organisations with a public mission – 75%  SMEs – 75%  Demonstration activities – 50%  Frontier research actions – 100%  Coordination actions, specific support actions – 100%  Marie Curie actions – 100%

Funding schemes - General Principles  Forms of grants:  Reimbursement of eligible costs  Flat rates: percentage of indirect costs or scales of unit costs  Lump sums  Combination  Cost-reporting models eliminated  Participants charge eligible direct and indirect costs  Indirect costs: flat rate is an option  Flat rates: special rules may be agreed for certain categories of participants (e.g. universities)  Co-financing: no profit

Lump-sum financing Networks of Excellence:  Special rule applies (if allowed in the work programme)  Lump sum per researcher per year: 23,500 € (to be reviewed every two years)  Payments contigent on assessment of progress in achieving milestones in joint programme of activity as measured by indicators of integration (???)

Guarantee mechanism  Replaces joint collective responsibility of past framework programmes  Commission assesses risk of default amongst partners and may establish liability and risk fund to cover possible consequences of defaulting partners  Retains a to-be-specified percentage of Community contribution before payment to project partners as liability insurance  Public bodies, secondary and higher education establishments, entities guaranteed by MS or AS to be exempted  For collaborative projects, not Marie Curie, frontier research projects,

Contractual arrangements  Grant agreements between project coordinator and Commission (collaborative projects), frontier research projects, Marie Curie actions  Consortium agreements amongst project partners compulsory unless exempted by work programmes (Commission to publish guidelines)  Changes in consortium membership possible  If project is not carried out to completion, Commission may terminate it

Intellectual property rights Simplification compared with FP6:  Pre-existing knowledge and sideground (FP6)  background  Knowledge of partners prior to entering into project  Needed to carry out project or use its results  No need to exclude from access  Knowledge arising out of project (FP6)  foreground

Access rights to knowledge  Partners define background they need, may exclude background  Requests for access rights within one year or else within a period agreed upon by participants  Possible to grant exclusive licenses to background and foreground if other participants waive their rights  Commission need no longer be informed of granting access rights to third parties  Special provisions apply for certain actions (frontier research, research for the benefit of special groups, security research)

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