european community fp7 participation rules

FP7 Rules – NOT LEGALLY BINDING

European Community European Community

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

23.12.05)23.12.05)


General:General:

3 independent participants from 3 different Member States (MS) or Associated countries (Ac)

Natural persons may participate

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)

Additional conditions can be established by the work programme (WP) or specific programme (SP) (e.g. number or type of participant, place of establishment)

Sole participants composed of members that meet the criteria above can participate

Minimum conditions Minimum conditions for participationfor participation


Specific:Specific:

Frontier research actions (ERC): – at least 1 legal entity established in a MS or Ac

Coordination and support actions and actions in favour of training and career development of researchers – minimum of 1 legal entity (except actions to coordinate)

Collaborative projects addressing the participation of international cooperation partner countries (INCO) – minimum is 4 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

Minimum conditions Minimum conditions for participationfor participation


SubmissionSubmissionand Evaluationand Evaluation

Calls for proposalsCalls for proposals always except:always except:

Coordination and support actions where the beneficiary has been identified in the SP or in the WP where this is foreseen by the SP

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


SubmissionSubmissionand Evaluationand Evaluation

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

o 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 SP and WP 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


ImplementationImplementationand grant agreements and grant agreements

Participants implement work jointly and severally towards the Community and carry out work of a defaulting partner unless the Commission relieves them of that obligation (≠ FP6 financial collective responsibility)

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 termination

Consortium agreements obligatory unless exempted by call for proposals

Changes in consortium membership possible


Grant agreement Grant agreement

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 EC financial contribution is based on reimbursement of eligible costs, lump sums or flat rates;

Identify which changes in the consortium require prior publication of competitive call;

shall reflect principles of the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers

specific provisions for certain types of actions (IPR particularly)

grant agreement comes into force upon signature by coordinator and Commission and applies to each participant that accedes


Community Community financial contributionfinancial contribution

Eligibility for Funding :1. Legal entities from MS and Ac or created under Community

law (and JRC) 2. International European interest organisations3. Legal entities established in INCO countries

and

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


General principlesGeneral principles

Forms of grants

• Reimbursement of eligible costs

• Flat rates: a percentage or a scale of units

• Lump sum amounts

• Combination is possible

Cost reporting models eliminated

• Participants charge direct (and indirect) costs

• For indirect costs flat rate is always option

Co-financing, no profit


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

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

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

• Audit certificates continued but rationalised

ReimbursementReimbursementof eligible costsof eligible costs


Flat rate financingFlat rate financing

• Could be used for the whole project (scale of unit costs), or

• For certain costs (percentage) combined with reimbursement of eligible costs

• Does not require justification of eligible costs


Lump sums Lump sums

• Can be used for the whole of the project or for part of it

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

– calculated according to the number of researchers to be integrated

(€ 23,500 / year / researcher)– payment of which is based on attainment of progress– Profit

• Lump sums do not require justification of eligible costs


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

▫ Public bodies: – 75%

▫ Secondary and higher education establishments: – 75%

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

▫ SMEs: – 75%• Demonstration activities: – 50% of eligible costs minus

receipts

• Other activities: – 100% minus receipts, including e.g.:

• Frontier research actions

• Coordination and support actions

• Training and career development of researchers actions

• Management

MaximumMaximumfunding ratesfunding rates


Pre-existing know-howPre-existing know-how (FP6) becomes(FP6) becomes backgroundbackground which iswhich is: :

• held by participants prior to their accession to the EC grant agreement (no sideground)

• which is needed for carrying out the project or for using its results

• no need to exclude from access

KnowledgeKnowledge (FP6)(FP6) becomesbecomes foregroundforeground

Intellectual PropertyIntellectual PropertyProvisionsProvisions


OwnershipOwnership: each participant owns the foreground it generatesJoint ownershipJoint ownership (in absence of specific agreementdefault 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 foregroundTransfer of ownership of foregroundPrior 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)



Protection, use, dissemination, publicationProtection, 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



Access rightsAccess 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 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

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



Access rights to background

Access rights to foreground resulting from

the project

Yes, if a participant needs them for carrying out its own work under the project

For carrying

out the project

Royalty-free unless otherwise agreed before acceding to the

grant agreement

Royalty-free

Yes, if a participant needs them for using its own foreground

For use (exploitation

+ further research)

Either fair and reasonable conditions or royalty free- to be agreed

Access rights (FP7)Access rights (FP7)


Access rights to pre-existing know-how

Access rights to knowledge resulting from

the project

Yes, if a participant needs them for carrying out his own work under the project

For carrying out the project

Royalty-free unless otherwise agreed

before signing the contract Royalty-free

Yes, if a participant needs them for using his own knowledge

For use purposes

(exploitation + further research)

On non-discriminatory conditions to be agreed

Royalty-free unless otherwise agreed

before signing the contract

Access Rights FP6Access Rights FP6


European Atomic European Atomic Energy Community Energy Community FP7 Participation FP7 Participation

RulesRules(Commission proposal adopted (Commission proposal adopted

07.02.06)07.02.06)


Different legal basis from EC RulesDifferent legal basis from EC Rules

Article 7 of the Euratom Treaty sets out

Community research and training programmes shall be determined by the Council, acting unanimously on a proposal from the Commission, which shall consult the Scientific and Technical Committee.

These programmes shall be drawn up for a period of not more than five years.

The Commission shall ensure that these programmes are carried out

Article 10 of the Euratom Treaty foresees

the Commission may ,by contract, entrust the carrying out of certain parts of the Community research programme to MS, persons or undertakings, or to third countries, IO or national of third countries

in the 3 independent participants from 3 different Member States (MS) or Associated countries (Ac)

Natural persons may participate

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)

Additional conditions can be established by the work programme (WP) or specific programme (SP) (e.g. number or type of participant, place of establishment)

Sole participants composed of members that meet the criteria above can participate


That means : That means :

No specific provision in the Euratom Treaty for Rules for participation

Euratom Framework Programme (+ SPs…) and rules for Participation : 2007-2011

No co-decision : to be adopted by Council only (European Parliament is consulted)

Unanimity required


Euratom rules are much Euratom rules are much the same as EC rulesthe same as EC rules

… … except …except …


Provisions specific to Euratom rules Provisions specific to Euratom rules

Defence interests of Member StatesDefence interests of Member States

Separate chapter for fusionSeparate chapter for fusion– Why ? Because Euratom FP has two parts: fusion and fissionWhy ? Because Euratom FP has two parts: fusion and fission– Approach different : relations based on contract of association, EFDA agreement, cost sharing actions…..Approach different : relations based on contract of association, EFDA agreement, cost sharing actions…..

– European Joint undertaking for ITEREuropean Joint undertaking for ITER

• Legal basis articles 45 to 51 Euratom Treaty Legal basis articles 45 to 51 Euratom Treaty

NewNew in FP7 in FP7 – IPR provisions provided by the Euratom rules (in line with chapter 2 of Euratom TreatyIPR provisions provided by the Euratom rules (in line with chapter 2 of Euratom Treaty))

No INCO specific actions No INCO specific actions

No actions for the benefit of specific groups (in particular SMEs) No actions for the benefit of specific groups (in particular SMEs)

No frontier research scheme (No frontier research scheme (per se)per se)

No Risk Sharing Financial Facility No Risk Sharing Financial Facility

pp Contribution to a joint undertaking articles 45 to 51 Euratom Treaty (ITER) / or any other Contribution to a joint undertaking articles 45 to 51 Euratom Treaty (ITER) / or any other

– les pays partenaires au titre de la coopération internationale dans règles Euratom les pays partenaires au titre de la coopération internationale dans règles Euratom – n°13) et articles 50.2 , 51.5 et 52 CE exécutant de RDT pas dans Euratom n°13) et articles 50.2 , 51.5 et 52 CE exécutant de RDT pas dans Euratom – n° 12 Euratom ajout de la définition d'"associé" pour les contrats d'associationn° 12 Euratom ajout de la définition d'"associé" pour les contrats d'association

pas d'article 9 CE pas d'article 9 CE pour l'ERC dans les règles Euratompour l'ERC dans les règles Euratom article 22.3 CE : dispositions spécifiques dans la convention de subvention pour la article 22.3 CE : dispositions spécifiques dans la convention de subvention pour la sécurité et l'espacesécurité et l'espace / article 21.3 Euratom : idem dispositions spécifiques / article 21.3 Euratom : idem dispositions spécifiques pour la sauvegarde des intérêts de défense des EM au sens de l'article 24 du Traité Euratompour la sauvegarde des intérêts de défense des EM au sens de l'article 24 du Traité Euratom article 29.1 réference à l'annexe III (régime de financement) CE, annexe II (Euratom) article 29.1 réference à l'annexe III (régime de financement) CE, annexe II (Euratom) article 38 Euratom :article 38 Euratom :pas de référence aux actions en faveur de la recherche exploratoire pas de référence aux actions en faveur de la recherche exploratoire (ERC) (ERC) ni en faveur de groupes particuliersni en faveur de groupes particuliers chapitre III diffusion, valorisation et droits d'accès chapitre III diffusion, valorisation et droits d'accès

– article 38 Euratom : référence à l'application des règles dans le domaine de la fusion. article 38 Euratom : référence à l'application des règles dans le domaine de la fusion. – article 41EC : propriété des connaissances nouvelles de groupes particuliers n'existe pas dans Euratom article 41EC : propriété des connaissances nouvelles de groupes particuliers n'existe pas dans Euratom – article 43 Euratom : ajout de la défense des intérêts des EM article 43 Euratom : ajout de la défense des intérêts des EM – article 47 CE : diffusion dans le cadre des actions de recherche exploratoire n'existe pas dans Euratom article 47 CE : diffusion dans le cadre des actions de recherche exploratoire n'existe pas dans Euratom – articles 50.2 et 51.4 et 5 CEsur exécutants de RDT n'existent pas dans Euratom articles 50.2 et 51.4 et 5 CEsur exécutants de RDT n'existent pas dans Euratom – article 52 CE sur recherche exploratoire et groupes particuliers n'existe pas dans Euratom article 52 CE sur recherche exploratoire et groupes particuliers n'existe pas dans Euratom – article 53 CE : BEI (RSFF) n'existe pas dans Euratom article 53 CE : BEI (RSFF) n'existe pas dans Euratom – chapitre IV fusion Euratom n'existe pas dans CEchapitre IV fusion Euratom n'existe pas dans CE

Coordination and support actions where the beneficiary has been identified in the SP or in the WP where this is foreseen by the SP 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


Further differences :Further differences :

No INCO specific actions No INCO specific actions

No actions for the benefit of specific groups (in particular SMEs) No actions for the benefit of specific groups (in particular SMEs)

No frontier researchNo frontier research

No Risk Sharing Financing Facility No Risk Sharing Financing Facility

european community fp7 participation rules

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