Transcript IST in FP6 Context, rationale, Content and instruments

European Community
FP7 Participation Rules
(Commission proposal adopted 23.12.05)
Dr. Zoe Ketselidou
DG Information Society and Media
FP7 Rules for Participation – Information event in Thessaloniki, 22/09/2006, 1
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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
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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
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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
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Submission
and Evaluation
 Commission to adopt and publish rules on the 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 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
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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
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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
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Community
financial contribution
Eligibility for Funding
1. Legal entities from Member States and Associated countries or created
under Community law (and JRC)
2. International European interest organisations
3. 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
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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
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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%
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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
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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)
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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
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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
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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
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Sites on europa
•
FP7: http://cordis.europa.eu/fp7
•
Rules: http://cordis.europa.eu/fp7/participation_txt.htm
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