General implementation regulations for the Funding Regulations

1 Applicants or grantees must register a Swiss delivery address with the SNSF, even if the place of research and/or residency are located abroad.

2 If it is not possible to provide a Swiss delivery address, the SNSF will be entitled to send its messages via e-mail, which communication shall be binding. In the context of an appeal procedure, however, it is compulsory to provide a Swiss delivery address.

1.15 Electronic submission and deadlines

1 The rules for the electronic submission of applications and for meeting deadlines are defined by the SNSF's system administrators. The terms of use for mySNF are set out in Annex 1.

2 A funding proposal is regarded as submitted in due time if received by the SNSF on the last day of the deadline or by 17.00.00h Swiss local time ⁸on the submission date. If the deadline or the submission date falls on a Saturday, a Sunday or a holiday recognised under Swiss federal law, the deadline or submission date will be moved forward to 17.00.00h Swiss local time2 on the next working day.

3 Upon request, the SNSF may, as an exception, treat a proposal submitted after a specific sub-mission date as if it had been submitted on time, if

there are important reasons for the delay beyond the applicants' control and it occurred just before the submission deadline;
the cause of the delay is immediately communicated to the SNSF;
the application is subsequently submitted within a very short new deadline period set by the SNSF and
the cause of the delay is verifiably documented.

Important reasons for a delay are: technical problems in the SNSF infrastructure; serious acute illness or accident suffered by the applicant; accident/illness/death of family members.

1.15bis Research plan ⁹

The SNSF will not consider applications that do not meet its requirements regarding the form and length of the research plan.

1.15ter CV ¹⁰

1 The CV forms part of the application and must be compiled and submitted for all applicants ¹¹. It comprises the five elements (i) relevant completed and ongoing education and qualifications, (ii) relevant previous and current employments, (iii) major achievements, (iv) net academic age ¹²and (v) an ORCID identifier ¹³.

2 The major achievements from the applicants’ entire careers can be described in a maximum of 4350 characters. The achievements described must be verifiable with references to a maximum of 10 selected relevant works.

3 The net academic age is defined as the full-time equivalent in years and months in which the applicant has carried out research following their doctorate or comparable research experience ¹⁴or, for applicants with a medical degree, following their state examination.

Maternity leave (paragraph 4) and the following specific reasons are recognised for calculating the net academic age:

a. Paternity leave, "other parent" leave, adoption leave and parental leave; ¹⁵

b. Inability to work due to illness or accident;

c. Care duties;

d. Services that benefit the general public, particularly military or civilian service;

e. Continuing education, non-academic employments in which no research was carried out, or clinical activities;

f. Part-time work;

g. Unemployment.

4 In the case of maternity leave, applicants may apply a voluntary flat-rate period of up to 18 months per child when calculating the net academic age. If the childcare period lasted longer than 18 months and this is verifiable, the additional time may also be deducted. Mothers can thus deduct either up to 18 months or the actual period of maternity leave for each child, whichever deduction better reflects their personal situation.

5 The CV must be drawn up in accordance with the SNSF’s requirements using the template on the SNSF Portal ¹⁶

6 The SNSF will not consider applications that do not meet the requirements mentioned.

1.16 Language of applications

(Article 15 of the Funding Regulations)

1 Unless otherwise regulated for individual funding schemes, the scientific part of an application relating to the following areas of research must be written in English:

mathematics
natural sciences
engineering sciences
biology
medicine
psychology
economics
political sciences

2 It is permissible to enclose an English translation with an application submitted in one of the official Swiss languages.

3 Upon request, applicants in the political sciences may submit the research plan in an official Swiss language in justified cases, particularly if working in an official Swiss language is more appropriate to the nature of the research topic. The request must be submitted together with the application. If the request is not justified or if the application cannot be sent for external review, the SNSF will set a reasonable deadline by which the applicants must submit an English trans-lation of the research plan.

1.17 Research integrity

The procedure with respect to scientific misconduct is governed by separate provisions issued by the National Research Council. ¹⁷

(http://www.snf.ch/SiteCollectionDocuments/ueb_org_fehlverh_gesuchstellende_d.pdf (PDF))

1.18 Conflicts of interests

(Article 16 of the Funding Regulations)

1 In order to prevent conflicts of interests, the SNSF applies the basic rule that persons who are related or otherwise closely associated with each other should not collaborate scientifically on the same project, particularly in the event of any lack of independence and/or hierarchical issues. The SNSF respects the employment policies of the relevant employer.

2 Situations pursuant to paragraph 1 must be declared in the application. The rules of good practice, which are aimed at preventing conflicts of interests, must be adhered to for the entire duration of the approved research project.

3 Confirmation, reference or support letters or similar documents may not be issued by persons who are closely associated with the applicants pursuant to paragraph 1. If such a document is not replaced by a valid document, the SNSF will not consider the application.

1.19 Impermissible overlap of funding periods

(Article 17 of the Funding Regulations)

The SNSF does not consider applications if their approval would lead to an impermissible overlap of funding periods pursuant to Article 17 of the Funding Regulations or other provisions of the SNSF.

1.20 Further funding

(Article 18 of the Funding Regulations)

1 The SNSF does not consider applications that are already being fully financed elsewhere.

2 If parallel applications have been submitted to the SNSF and to third parties, the SNSF may, when awarding the grant, take into account any third-party funding already awarded or applied for.

2. Eligible costs

2.1 Principles

1 The cost items of the requested grant must be listed in the application (budget).

2 Only costs that are eligible under the relevant funding scheme may be claimed.

3 The submitted budget must meet the requirements and comply with the rules defined for the individual cost categories. The estimation of costs must always be proportionate and economical.

2.2 Estimation of grants and reductions

1 The submitted budget serves as a basis for defining the grant.

2 Ineligible costs are deleted, unjustified or disproportionate costs or cost items reduced.

3 Costs are regarded as unjustified or inappropriate if they are not necessary and/or are budgeted disproportionately highly in view of reaching the proposed research targets and maintaining the quality of research.

4 Grants may also be cut for research projects with overlapping funding periods or scientific topics submitted by the same applicant and approved by the SNSF or a third party.

5 Cutbacks based on the scientific quality of the application (rating) are possible.

6 Cutbacks can take the form of an overall deduction or cuts to specific budget items.

7 ¹⁸

2.3 Total budget

1 The SNSF awards a total amount for the approved research project (total budget).

2 The grant is paid out in annual instalments.

3 In individual cases, the SNSF may stipulate specific rules regarding the total budget when awarding the grant.

2.4 Use of the budget, personnel changes

(Article 28 paragraph 2 letter a of the Funding Regulations)

1 Grantees are obliged to use the total budget in accordance with the approved research plan.

2 Significant deviations in the implementation of the research project and in the use of the approved grant may be approved by the SNSF upon request.

3 With regard to the use of the budget for personnel, the provisions on the employment of staff members and on changes of personnel also apply.

2.5 Salaries of employees

If staff members are employed and remunerated in the context of grants approved by the SNSF, Clause 7 on the employment of staff (Implementation Regulations for Article 38 of the Funding Regulations) applies.

2.6 The applicants' own salaries

(Article 28 paragraph 2 letter b of the Funding Regulations)

The applicants' own salaries generally count as eligible costs only in the career funding schemes. The specific provisions of these funding schemes apply in this regard.

2.7 Material costs: principles

(Article 28 paragraph 2 letter c of the Funding Regulations)

1 Material costs are eligible for funding if they are directly linked to the research project.

2 Material costs include different types of research costs such as, in particular, the cost of expendable items, field expenses and other costs according to the following provisions.

2.8 Material costs: material of enduring value, equipment

(Article 28 paragraph 2 letter c of the Funding Regulations)

1 The costs of equipment and material of enduring value (in the following: equipment) are eligible for funding up to a maximum of CHF 100,000 ¹⁹if the equipment is of key importance to the research work and was acquired specifically for the research project.

2 ²⁰

3 With regard to any reuse of the equipment financed or co-financed by the SNSF, Clause 11.4 applies.

4 Equipment and facilities that generally form part of the basic infrastructure, operation and standards of a scientific institution may not be debited to the SNSF grant. These include, in particular:

standard IT equipment incl. hardware and software;
laboratory facilities and equipment;
any other facilities and equipment routinely made available for the relevant research field in a research institution or environment.

2.9 Material costs: travel

(Article 28 paragraph 2 letter c of the Funding Regulations)

1 Only travel costs directly linked to the research project may be charged to the grant.

2 All trips must be by public transport.

3 Economy class flights may be charged to the grant. The offer with the best price/performance ratio must be chosen. Additional costs for business class may be assumed in exceptional cases if valid reasons are given.

4 Room and board costs may be charged to the grant according to the rates applicable at the grantee's institution. The costs at mid-price hotels and restaurants constitute the maximum reference price.

5 For accompanying children requiring care, in addition to the travel costs pursuant to the above paragraphs, a contribution towards the care costs may be claimed in accordance with the rates recognised by the SNSF. ²¹

2.10 Material costs: costs incurred by project partners and subcontractors ²²

(Article 28 Abs. 2 Bst. c of the Funding Regulations)

1 The cost of services provided for the research project by project partners (Article 11 paragraph 2 of the Funding Regulations) may be charged to the grant to the extent of their contribution to the project and in accordance with the SNSF rules for eligible costs.

2 The salaries of project partners are not eligible for funding.

3 The cost of buying in specific services from external providers that are necessary for the project (subcontractors) is eligible.

4 The cost of services provided by project partners and subcontractors generally does not exceed a maximum of 20% of the grant. ²³

2.11 Material costs: expenses of third parties: subcontracting ²⁴

(Article 28 paragraph 2 letter c of the Funding Regulations)

2.12 Material costs: computing time and data

(Article 28 paragraph 2 letter c of the Funding Regulations)

1 The costs of computing time ²⁵are eligible.

2 The costs of data acquisition or for gaining access to data are also eligible.

3 Costs according to paragraphs 1 and 2

must have been incurred specifically for services provided in the context of the approved research project and
may not include any general costs for acquisition, amortisation, maintenance, repair or other indirect costs of the infrastructure. ²⁶

4 The costs of data storage during the project funding period are only eligible in the event of exceptionally high data volumes that exceed the usual capacities of the university infrastructure. ²⁷

2.13 Material costs: costs for granting access to research data (Open Research Data) ²⁸

(Article 28 paragraph 2 letter c of the Funding Regulations)

1 The costs of enabling access to research data that was collected, observed or generated under an SNSF grant are eligible if the following requirements are met:

The research data is deposited in recognised scientific, digital data archives (data repositories) that meet the FAIR ²⁹principles and do not serve any commercial purpose.
the costs are specifically related to the preparation of research data in view of its archiving, and to the archiving itself in data repositories pursuant to letter a.

2 All costs charged to the grant must be linked to archiving of data that is thematically related to research that was funded by the SNSF.

3 The maximum charge per grant is generally CHF 10,000.

4 The costs must be taken into account at the time of submission of the application. ³⁰

2.14 Material costs: operating expenses

(Article 28 paragraph 2 letter c of the Funding Regulations)

1 The cost of IT resources, scientific literature, tools and aids, objects comprising the usual basic equipment of an operational scientific facility as well as any related translation costs are not eligible. ³¹

2 Expenses for photocopies, postage, phone calls, IT equipment (hardware and infrastructure) as well as software costs (e.g. licences, support services, subscriptions) are not eligible. ³²

3 In addition, outlays for rent, electricity, water, insurance, with the exception of liability insurance premiums in connection with research on ³³, maintenance and service, service centres and repairs are not regarded as eligible costs.

2.15 Direct costs of infrastructure use ³⁴

(Article 28 paragraph 2 letter d of the Funding Regulations)

The costs for using infrastructures directly linked to the execution of the funded project are eligible. The portion of the costs comprising general costs for acquisition, amortisation maintenance, repair and other indirect costs of the infrastructures used are not eligible.

2.16 Cost of scientific Open Access publications ³⁵

Grants for Open Access publications are awarded in accordance with the Regulations on the funding of Open Access publications.

2.17 Conferences and workshops

(Article 28 paragraph 2 letter f of the Funding Regulations)

1 Organisation and travel costs for conducting conferences and workshops in the context of the SNSF-funded research project are eligible.

2 A contribution towards the costs of care for accompanying children with care needs may be charged to the grant according to the SNSF-approved rates pursuant to Clause 2.9. ³⁶

2.18 Costs of career measures: Flexibility grants ³⁷

(Amended based on the Research Council’s decision of 15 August 2017, in force as of 1 January 2018.)

(Article 28 paragraph 2 letter g of the Funding Regulations)

1 Costs for measures aimed at promoting a balance between scientific activities and academic careers, on the one hand, and child care duties, on the other.

2 The requirements applicable to these grants are set out in Annex 4.

2.19 Costs of career measures: mobility grants

(Article 28 paragraph 2 letter g of the Funding Regulations)

1 The costs of stays abroad by doctoral students employed in an SNSF-funded research project are eligible for funding.

2 The requirements applicable to these mobility grants are set out in Annex 5.

2.20 Costs of career measures: research time for clinicians ³⁸

(Article 28 paragraph 2 letter g of the Funding Regulations)

1 For medical projects receiving project funding, the costs incurred due to the reduction of clinical work are eligible.

2 The eligibility requirements for such costs are set out in Annex 6.

3 ³⁹

2.21 Costs of gender equality measures: gender equality grant

(Article 28 paragraph 2 letter h of the Funding Regulations)

1 The costs of gender equality measures in the context of an SNSF-funded project are eligible.

2 The eligibility requirements with regard to the costs of gender equality measures are set out in Annex 7.

2.22 Other eligible costs: collaboration costs ⁴⁰

(Article 28 paragraph 2 letter i of the Funding Regulations)

2.23 Other eligible costs: reduction of teaching commitments ⁴¹

(Article 28 paragraph 2 letter i of the Funding Regulations)

1 For humanities and social sciences projects funded by the SNSF, the costs incurred due to the reduction of teaching commitments are eligible. The reduction must directly benefit the funded research.

2 The eligibility requirements for such costs are set out in Annex 8.

3 ⁴²

3. Cross-border research

3.1 International Co-Investigator Scheme

(Article 9 of the Funding Regulations)

1 Research projects that are to be conducted in collaboration with applicants based abroad may be submitted and approved via the usual SNSF funding process in accordance with the Interna-tional Co-Investigator Scheme principle. In the event of approval, the sub-projects abroad are co-financed by the SNSF. The applicants from abroad must meet the SNSF application require-ments mutatis mutandis.

2 International Co-Investigator Scheme may be implemented with countries and in areas with which the SNSF has signed the relevant, generally reciprocal, agreements. Information on the accepted countries and the conditions can be found on the SNSF website.

3 For International Co-Investigator Scheme, the following requirements must be cumulatively met:

the research project cannot be conducted without the additional applicants from abroad;
the foreign sub-projects demonstrably add significant value to the overall project;
the corresponding applicant is from Switzerland and is responsible for the overall project;
the share of financing abroad amounts to no more than 50%.

4 The importance of cross-border co-operation to the project’s chances of success (value added) constitutes one of the central evaluation criteria. If necessary, the SNSF may ask the funding organisations of the participating countries to recommend external experts.

5 Approved International Co-Investigator Scheme grants include the foreign share of the grant; they are paid in Swiss francs to the grant administration office in Switzerland, which forwards the foreign share to the relevant office abroad. This share is calculated and transferred without overhead and according to the usual costs in the relevant country, particularly with regard to salary rates.

3.2 Lead Agency process

(Article 9 of the Funding Regulations)

1 Researchers in Switzerland who wish to implement a cross-border project may submit an application according to the Lead Agency process.

2 The Lead Agency process may be implemented with countries where the SNSF has signed the relevant, generally reciprocal, agreements with partner organisations. Information on the accepted countries can be found on the SNSF website.

3 Researchers in these countries and in Switzerland may submit their joint application to only one organisation, the so-called Lead Agency.

4 The Lead Agency evaluates the overall project according to its own procedures, and the partner organisation accepts the Lead Agency's decision.

5 If the project is approved, each organisation finances the part of the project conducted in its own country.

3.3 Money follows researcher

(Article 9 of the Funding Regulations)

1 The SNSF approves applications for the continuation of an ongoing grant abroad if the grantees find a new job and transfer their project abroad with the aim of continuing their research work. A detailed and well-founded application for "Money follows researcher" must be submitted to the SNSF as early as possible before the move abroad. In principle, Money follows researcher can be implemented in all countries.

2 The SNSF makes a decision on the transfer and reuse of SNSF funds abroad on a case-by-case basis. Prior to approval, the requirements for continuing the project at the research institute abroad must be met.

3 The SNSF may bind Money follows researcher to certain conditions.

4 At the time of the move abroad, the share of the SNSF grant that the researchers intend to transfer abroad may continue to be managed in Switzerland or transferred to an administrative office abroad for management. In the event that grant administration is transferred to an office abroad, an interim financial report as at the transfer date will need to be submitted.

5 The grantees must meet their reporting duties vis-à-vis the SNSF until the conclusion of the SNSF-funded research project.

3.4 Further provisions: foreign employees

As project staff, applicants from Switzerland may select researchers working at an institution abroad with links to Switzerland who, mutatis mutandis, meet the requirements for employees in SNSF projects.

4. Release of funds, start and conclusion of project

4.1 Release of funds; start of project

(Article 33 of the Funding Regulations)

1 The requests for release of the grant and for release of the further annual instalments must be submitted by the corresponding grantee via mySNF. The request must mention the start date (first day of calendar month) of the SNSF-funded research work (start of project).

2 The release of funds and start of the project will be confirmed to the corresponding grantee in writing.

3 The payments are made to the grant administration office, exclusively for attention of the corresponding grantee.

4.2 Grants for completing projects

(Article 36 of the Funding Regulations)

1 Grant applications for the completion of projects must be submitted to the SNSF during the running time of the research project. The application should be submitted as soon as it becomes clear that the awarded financial resources are not sufficient for completing the project. However, it may not be submitted before the last instalment has been transferred.

2 Grantees are obliged to

explain the specific reasons and show that they were not in a position to influence or foresee the lack of funds;
show what measures they have taken to prevent the funding gap; and
specify the additional resources needed to complete the project.explain the specific reasons and show that they were not in a position to influence or foresee the lack of funds;
show what measures they have taken to prevent the funding gap; and
specify the additional resources needed to complete the project.

3 Applications must include the reasons for the request and must be submitted electronically via mySNF.

4 If a project receiving a grant for project completion is to be extended, the grantee may submit a new application, whereby the extension phase is not affected by the SNSF restrictions with re-gard to multiple parallel grants.

5. Grant administration in general, grant extension

5.1 Administration of grants: grant administration offices

(Article 37 Funding Regulations)

1 Grants are generally administered by the designated grant administration office of the grantees' research institution.

2 Grant administration offices are recognised by the SNSF if they can guarantee administration of the grant in accordance with rules and regulations and if they administer at least 20 grants per year on average. A list of recognised grant administration offices can be found in Annex 9.

3 In exceptional cases where the grant cannot be administered by a recognised grant administration office, the grant is administered by the grantee or by another office that assumes this fiduciary role. In such cases the SNSF stipulates the duties of administration, monitoring and due diligence in a written agreement. The money transferred must in any case be managed in a separate account intended only for the grant.

5.2 Rights and duties in grant administration

1 Grant administration offices act as fiduciaries for the grantees. The grantees are responsible for ensuring that funds are used appropriately in line with the conditions of the grant.

2 The rights and duties of the recognised grant administration offices are based on paragraph 4 as well as on the agreement these offices have signed with the SNSF (cf. Annex 10) or on an individual agreement pursuant to Clause 5.1 paragraph 3 in the other cases.

3 The grantees are obliged to communicate all necessary information to the grant administration office and to submit all documents and receipts. It is their responsibility to submit only expenses that are eligible in accordance with SNSF rules and regulations.

4 The main duties of the grant administration offices are as follows:

grant administration;
financial reporting;
monitoring grantees' compliance with SNSF provisions on the use of the grant;
monitoring salaries, terms of employment and social security contributions of employees remunerated on the basis of SNSF grants;
warning the grantees as soon as possible in the event of any irregularities or breaches of rules and regulations, and demanding the relevant corrections;
informing the SNSF as soon as possible about any conflicts or substantial breaches of the rules concerning use of the grant.

5.3 Change of research location and Money follows researcher

1 Grantees who wish to continue their research work at another research location must inform the SNSF about the move well in advance.

2 Researchers may move to another research location and take the grant with them (Money follows researcher) if

the requirements for continuing the project at the new research location are met;
arrangements have been made for the SNSF-funded employees working in the project and
the administration of the grant has been arranged.

3 The SNSF may bind Money follows researcher to certain conditions.
4 The provisions on "Money follows researcher" pursuant to Clause 3.3. apply to grantees who move abroad.

5.4 Extension of career grants ⁴³

1 Career funding grants ⁴⁴may be extended on request and only for the following reasons per-taining to the grantee. Only uninterrupted delays of at least two months' duration are con-sidered.

Maternity leave, paternity leave, "other parent" leave, parental leave or adoption leave; ⁴⁵
Incapacity to work through illness or accident;
Responsibilities as a carer;
Services that benefit the general public, particularly military and civilian service;

2 The maximum funded extension is one year.
3 In justified exceptional cases, the SNSF may approve cost-neutral extensions that exceed one year.
4 If the employer continues to pay salaries in the event of maternity, paternity, parenthood ⁴⁶, adoption, ill-ness, accident, military service or other services, the SNSF follows the usual local rules and covers any resultant additional costs for a maximum of one year. The relevant insurance benefits must be credited to the grant, however. Where the usual local rules provide for less than two months adoption leave, the SNSF finances a two-month holiday and continued payment of salary when an infant is placed. The SNSF covers the additional cost incurred due to the extended adoption leave.

6. Special provisions with regard to grant administration

6.1 Budget items in the total budget

1 The budget items mentioned in rulings or in approvals issued during the funding period of the grant and the corresponding amounts are regarded as approximations. Transfers between budget items are permissible without obtaining prior approval from the SNSF, provided the total awarded amount is not exceeded (total budget).
2 In exceptional cases the SNSF may define binding budget items. In such cases, the amounts allocated to the individual items are binding and it is not permissible to transfer amounts of money between budget items without the prior written approval of the SNSF.

6.2 Advance payments

In justifiable cases, the SNSF may exceptionally grant an advance payment. The advance payments and their use must be stated in the financial reports.

6.3 Receipts

1 Signed original invoices must be forwarded to the SNSF for all expenses covered by the SNSF grant. If payments are made based on invoice copies, the latter must bear the note "deemed to be an original receipt". The receipts must be submitted along with the financial report.
2 Printouts of receipts read into optical data carriers are regarded as original receipts.

3 If the invoices enclosed with the financial report do not include any receipts for cash payments, the receipts of the grant administration office, the bank or financial institution must clearly show that the invoice has been paid.

6.4 Additional expenses and personnel costs

1 Subject to paragraph 2, if the costs incurred within the scope of approved research projects exceed the SNSF grant, the difference shall be borne by the grantees.

2 In response to a written request stating reasons, the SNSF may reimburse additional expenses as additional personnel costs if they are the result of mandatory increases in the employer’s social security contributions or an increase in the minimum of the salary range defined by the SNSF.⁴⁷

3 Additional personnel costs are only reimbursed if they cannot be covered from other sources or by reducing expenditure.⁴⁸ The relevant amount is credited after receipt and examination of the final financial report. Deficits of less than CHF 50 are not covered.

4If the SNSF has approved a cost-neutral extension, no additional personnel costs will be reimbursed.⁴⁹

6.5 Credit balances; repayment of remaining amounts

1 If the SNSF grants awarded for the approved research work are not used up, grantees are obliged to repay the relevant credit balances. Amounts under CHF 50 need not be refunded.
2 Repayment of a credit balance is due on the due date of the final report. Without being prompted, the grantee shall repay the amount due within 30 days. The SNSF expressly reserves the right to make further claims after reviewing and approving the final financial report.

3 Upon request, the SNSF may in exceptional cases permit grantees to transfer a credit balance to another SNSF grant. In particular, transfers of credit balances to excellence grants within the scope of the project funding scheme may be approved.

6.6 Debit balances

Grantees are obliged to settle any debit balances on completion of the funded research work. The reimbursement of additional costs in accordance with SNSF regulations shall remain reserved.

6.7 Contact persons at the SNSF

The relevant contact persons of the SNSF for questions and advice on the use and administration of grants are listed in Annex 11.

7. Employment of staff ⁵⁰

7.1 Employment of staff; principles

Costs for project employees in research projects fully or partially funded by the SNSF may be charged to the grant, subject to the following conditions. Both the institutions (in particular letters a.-g. below) and the grantees (in particular pursuant to Clause 7.2) are responsible for compliance with these conditions. The institutions

shall employ project staff based on written employment contracts that meet the minimum requirements of the sample employment contract pursuant to Annex 13;
are fully responsible for the employment relationship and for protecting the employees as regards their rights and obligations. In particular, they ensure that the person's integrity is protected, that the ban on discrimination and the gender equality requirement are complied with, and that they are protected against sexual harassment and bullying;
ensure that effective measures have been taken and suitable information provided to prevent and penalise any breaches of research integrity;
fulfil all the duties of an employer and, in particular, settle the social security contributions with the responsible insurances;
support and account for the objectives pursued in funding the position within the relevant research project;
comply with the salary ranges and other guidelines (particularly Annex 12) of the SNSF.

7.2 Obligations of the grantees

Grantees are obliged to:

monitor compliance with all provisions applicable to project staff;
send the SNSF all necessary information without delay, in particular personnel-related messages in the event of hires, transfers and salary adjustments and work together with the responsible grant administration office in such cases;
submit copies of employment contracts to the SNSF on demand;
support project staff in matters relating to their academic career, in particular giving sympathetic consideration to applications for career grants or grant extensions in favour of project staff while paying due regard to valid interests and, if justified, submitting such applications to the SNSF; and
fulfil their responsibilities in conflict situations or in the event of any difficulties with project staff in connection with employer institutions and inform the SNSF about important events.

7.3 Project staff: doctoral students

1 Doctoral students are researchers who collaborate on research work funded by the SNSF and seek to obtain a doctoral degree in connection with their scientific contribution to the said research work. As a rule, their dissertation must be supervised by a grantee who bears responsibility for the funded research work. Applications for SNSF career grants ⁵²may be applied for on behalf of such researchers irrespective of their actual work-time percentage.

2 Doctoral students must spend most of their time working on their dissertation and may only be enlisted to perform other tasks for the institution to a minor degree. Completion of the dissertation within the regular timeframe of four years must not be jeopardised.

3 The work-time percentage of doctoral students is defined by the employer. It must generally be appropriate to the task of completing a dissertation within a period of four years. This is based on the presumption that 80-100% of a full-time equivalent position (FTE) is devoted to a dissertation.

4 Doctoral students must be compensated in accordance with the relevant salary ranges defined by the SNSF. Employers are entitled to top up the maximum salary granted by the SNSF with their own funds.

5 The maximum period of employment for doctoral students funded by the SNSF is four years. The relevant start date for calculating the four-year period is the actual start date of the dissertation, as communicated to the SNSF by the grantee. The four-year time window funded by the SNSF starts one year after the said start date at the latest. This year may be used for preparatory activities linked to the doctoral studies, e.g. attending doctoral schools.

7.4 Project staff: postdocs

1 Project staff are employed as postdocs if they aim to become scientifically independent and achieve the qualifications required to independently develop and conduct research projects and to assume scientific leadership positions.

2 They must make a specific contribution to the research project and work primarily on achiev-ing the said scientific qualifications. SNSF career grants ⁵³ may be applied for on their behalf.

3 Postdocs must be remunerated in accordance with the relevant salary ranges defined by the SNSF.

4 For postdocs, a maximum employment period of five years is chargeable to the SNSF. The relevant start date of the five-year period is the date of the viva voce or of the official acceptance of the dissertation. In the event of any substantiated reasons for delay pursuant to Clause 7.6 paragraph 2, the SNSF shall accept upon request a postponement of the start date by a maximum of one year.

7.5 Project staff: other employees

1 Project staff who do not intend to do a doctorate, employees with a doctorate who do not meet the requirements for the postdoc category as regards period of employment and time window as well as technicians and auxiliary staff are engaged as "other employees".

2 They must make a specific contribution to the research project. SNSF career grants may not be applied for on behalf of other employees.

3 Other employees must be remunerated in accordance with the relevant rates defined by the SNSF.

4 Visiting professors may not be engaged and remunerated as other employees of an SNSF-funded research project.

7.6 Duration of employment, time windows and grant extension

1 Subject to the maximum funding periods and time windows, project staff of all categories are employed for the duration of the approved research project. The employer is responsible for ensuring that all obligations under Swiss labour legislation in respect of project staff are fulfilled at the end of the project or in the event of the project being abandoned.

2 If delays occur during the employment period of doctoral students or postdocs due to the rea-sons set out below, the time window for the maximum employment duration may be extended by a maximum of one year upon request. In particular, the following delays of at least two months' duration will be taken into account, provided they are substantiated and uninterrupt-ed:

a. Maternity leave, paternity leave, "other parent" leave ⁵⁴, adoption leave or parental leave;

b. Inability to work due to illness or accident;

c. Responsibilities as a carer;

d. Services that benefit the general public, particularly military or civilian service;

e. Professional development, particularly internships, clinical work.

3 The extension of time windows due to delays pursuant to paragraph 2 has no effect on the maximum funding periods for doctoral students and postdocs. However, the maximum funding periods are extended by a maximum of one year to cover a period of continued salary payments in case of maternity, paternity, parenthood ⁵⁵, adoption, illness, accident, military service or other services.

4 Grants may be extended by a maximum of one year at the grantee's request. Extensions must be proven to be necessary as a result of delays incurred by project employees pursuant to paragraph 2 and are only granted for uninterrupted delays of at least two months' duration. Extensions to cover a period of continued salary payment in the event of maternity, paternity, parenthood ⁵⁶, adoption, illness, accident, military service or other services are generally approved. In justified exceptional cases, the SNSF may approve cost-neutral grant extensions that exceed one year, together with a corresponding extension of the employment duration for project employees. ⁵⁷

5 If a grant is extended pursuant to paragraph 4, the grantee may submit a new application without the extension phase being affected by the SNSF restrictions concerning multiple parallel grants.

7.7 Salary and social security costs

1 The salary ranges, flat rates for social security (AHVG/IVG/EOG, BVG, AVIG and UVG) and guidelines for project staff are set out in Annex 12 and are legally binding.

2 Any family or other customary local allowances as well as any contributions to top up the em-ployee's salary are chargeable to the grant, whereas allowances attached to a salary (e.g. local bonuses) and purchases of additional benefits in pension schemes and the like are not. In rela-tion to mandatory non-occupational accident insurance, the SNSF respects the splitting of the contributions between the employer and the employees in accordance with the corresponding local provisions.

3 The SNSF is entitled to forward copies of financial reports to the Federal Social Insurance Of-fice for auditing purposes.

7.8 Continuing salary payments, maternity leave, paternity leave, "other parent" leave, parental leave and adoption leave ⁵⁸

(Article 39 of the Funding Regulations)

1 If the employer continues to pay salaries in the event of maternity, paternity, parenthood ⁵⁹, adoption, illness, accident, military service or other services, the SNSF shall follow the usual local rules and cover any resultant additional costs for a maximum of one year. The relevant insurance benefits must be credited to the grant, however.

2 Where the usual local rules provide for less than two months adoption leave, the SNSF finances a two-month holiday and continued payment of salary when an infant is placed. The SNSF co-vers the additional cost incurred due to the extended adoption leave.

3 If it is absolutely necessary to employ a deputy to ensure the successful continuation of the research work during maternity leave, paternity leave, "other parent" leave, parental leave ⁶⁰or adoption leave, the SNSF may approve such an arrangement and bear the corresponding additional costs. These provisions apply mutatis mu-tandis to deputies.

8. Duty to inform

8.1 Reporting of changed circumstances

1 Grantees must report to the SNSF and the grant administration office without delay any sub-stantial changes in circumstances relating to the awarded grant.

2 In particular, in addition to the cases mentioned in Article 39 paragraph 1 of the Funding Regulations, significant collaborations or third-party financing are also deemed to be substantial changes. In case of doubt, the Administrative Offices must be consulted. ⁶¹

8.2 Duty to take note of information

(Article 39 of the Funding Regulations)

1 General legally binding information is communicated to applicants and grantees by e-mail, usually in the form of the electronic SNSF newsletter. Additional information is provided in written form and on the SNSF website.

2 Applicants and grantees must provide the SNSF with a valid e-mail address.

3 Should they fail to take note of information and experience disadvantages as a result, they shall bear sole responsibility.

8.3 Lay summaries and keywords

(Article 40 of the Funding Regulations)

1 The corresponding grantees must provide the SNSF with a written summary of the planned research that is understandable for non-experts (lay summary). They must also provide thematic keywords to be used on the website of the SNSF.

2 The corresponding grantees are responsible for the content of the lay summary and for the keywords. The information must comply with the conditions laid down in the funding decision and must be compiled according to SNSF standards. The SNSF reserves the right to edit lay summaries and keywords.

3 The lay summary and keywords must be submitted upon receipt of the funding decision, but no later than upon submission of the request for the release of funds.

4 They will be published in the project database of the SNSF once the grant has been released.

5 The lay summary and keywords may be edited while the research project is running. This is mandatory if significant changes occur.

6 Once the research has been completed, grantees are required to supplement the lay summary with the research results. Such supplements are a mandatory requirement for approval of the scientific report. ⁶²

8.4 Research database

(Article 40 of the Funding Regulations)

1 Grantees are obliged to report the relevant information to the SNSF for entry in the publicly accessible project database. This data is submitted together with the application prior to the start of research work, but also during the project and after its completion. The information forms part of the scientific reporting (Clause 9.3) and comprises, in particular:

a. name, academic degree, gender, ORCID and institution of the grantees and the employees and project partners;

b. title of the project/programme;

c. discipline(s) represented in the project;

d. duration of the grant;

e. normally, the amount of funding awarded;

f. scientific summary (abstract);

g. research objectives

h. assessment of the achievement of the research objectives;

i. output data. ⁶³

2 Pursuant to paragraph 1, the SNSF publishes the data in the project database along with the lay summaries and keywords.

3 If there is a significant change in the project or programme, entries in the database for research projects must be adapted. Grantees must inform the SNSF of such changes without being prompted.

9. Reporting duties

9.1 Reporting duties; principles

1 The following reports are to be submitted to the SNSF.

a. financial reports on how the SNSF grants were used and

b. scientific reports describing the findings of the funded research and stating the scientific output data.

2 Interim and final reports must be written and submitted in accordance with the rules applicable to the relevant funding scheme.

3 The duty to report on time ⁶⁵lies with the corresponding grantee.

4 The SNSF will confirm the approval of reports to the corresponding grantee, provided the requirements are met. If this is not the case, the SNSF will return the reports to the corresponding grantee for revision.

5 On expiry of a period of 14 days from the reminder that the submission of the scientific report is due, a new application from a grantee will not be considered. ⁶⁶

6 In no circumstances does the duty to report represent a service provided in return for payment.

9.2 Financial reports

1 The interim and final financial reports provide an account of the use of grants.

2 Financial reports are compiled by the grant administration offices. They must be reviewed, signed and sent to the SNSF via mySNF in good time. Grantees who administer their grants themselves shall compile the reports in accordance with the rules laid down by the SNSF.

3 In all circumstances, consolidated financial reports covering the entire grant must be submit-ted, i.e. also in cases where employees and persons involved in the project do research or other work at different institutions.

4 Unless the SNSF stipulates otherwise, financial reports must be submitted annually.

9.3 Scientific reports ⁶⁷

1 The interim and final scientific reports shall provide an account of the attainment of research targets as well as the findings and the progression of the project.

2 The scientific reports shall contain data needed to assess the scientific achievements and im-pacts of the project.

3 The data provided in the scientific report shall be compiled in accordance with the rules of the relevant funding scheme and shall generally comprise a qualitative and a quantitative (output data) section.

4 The duty to provide output data will remain in place after the final report has been completed and end three years after its submission date.

9.4 Difference between scientific reports and lay summaries

(Article 42 of the Funding Regulations)

The duty to submit lay summaries is not linked to the duty to submit scientific reports.

10. Monitoring and sanctions

10.1 Monitoring procedure

Based on the scientific and financial reports submitted by the grantees, the information provided by the grant administration offices or third parties, and the SNSF's own findings, the SNSF regularly assesses whether the grants are used as prescribed.

10.2 Sanctions

1 The SNSF imposes sanctions in the event of:

a. breaches of the Funding Regulations or other provisions applicable to the submission of applications or to the grant.

b. breaches of research integrity or good scientific practice in connection with the application for or use of SNSF grants.

2 The procedure for imposing sanctions is based on:

a. Clause 10.3 to Clause 10.6 below in cases pursuant to paragraph 1 letter a;

b. the Regulations on scientific misconduct in cases pursuant to paragraph 1 letter b.

3 In the event of suspected scientific misconduct in connection with the use of SNSF grants, the proceedings pursuant to paragraph 1 letter b are subsidiary to the proceedings conducted at the institution where the misconduct occurred. The SNSF may decide not to open its own proceed-ings if the research institution concerned is bringing or has brought proceedings against the suspected party. However, based on the findings of the relevant institution, the SNSF may in such cases initiate proceedings pursuant to paragraph 1 letter a and impose sanctions.

10.3 Initiation of proceedings; right to be heard

1 The SNSF may initiate proceedings based on its own findings or on reports from third parties.

2 The person responsible shall be granted a hearing before any sanctions are imposed.

10.4 Nature and scope of sanctions

1 The imposed sanctions must be proportionate and in particular must reflect the seriousness of the breach and in certain instances the extent of any losses or damage caused.

2 Sanctions may include prohibition from submitting further applications for up to five years.

10.5 Protection of persons reporting misconduct, self-reporting

1 With regard to the proceedings to be conducted by the SNSF, the latter shall ensure confiden-tiality for persons who report cases of misuse or breaches by others.

2 If the person concerned reports him or herself for an instance of misuse or a breach, the SNSF may take this into account when deciding on sanctions.

10.6 Reports to third parties

(Article 44 of the Funding Regulations)

Where the SNSF imposes sanctions, it is entitled to inform the respective person’s research insti-tution or employer if, in the individual case in question, knowledge of such sanctions is required by the recipient to fulfil a legal obligation.

11. Rights to research results; use, publication and accessibility of research results

11.1 Rights to intellectual property, principle

1 The SNSF does not claim any intellectual property rights or rights in connection with the ex-ploitation of research results obtained through research work funded by the SNSF.

2 Commissioned research that is conducted under a research programme and contractually reg-ulated shall be excepted from the above provision.

11.2 Commercial use, patents and protective rights

(Article 44 of the Funding Regulations)

1 Notice of the commercial use of research results or the filing of patents or similar protective rights must be given to the SNSF by the grantee in the final report.

2 If the requirements for notice in accordance with paragraph 1 do not yet apply at the time that the final report is submitted, the grantees remain subject to an obligation to give notice in ac-cordance with paragraph 1 for a period of three years from the date of the final report.

3 Notice shall include the details of the name of the holder, title, number and institution where the protective right or right of use is filed.

4 The costs of filing patents and other protective rights may be assumed by the SNSF, in particu-lar in the context of National Research Programmes and National Centres of Competence in Re-search.

5 The costs of patent searches may be covered if they are relevant to scientific research interests at the start of the research project.

11.3 Rights of employees

(Article 44 of the Funding Regulations)

1 The SNSF expects participants to take appropriate account of the rights of project employees when regulating property rights.

2 It welcomes regulations issued by research institutes and other participants to protect intellectual property and promote knowledge transfer.

11.4 Rights to material of enduring value

(Article 45 of the Funding Regulations)

1 In the final scientific report, grantees must indicate the location, estimated current value and owner of material of enduring value for cases where the SNSF's contribution towards a specific acquisition, particularly equipment or apparatuses, amounted to at least CHF 50,000.

2 Notice must be given to the SNSF of the sale to third parties of material of enduring value or the transfer of such material to other research locations. The SNSF will decide on a case-by-case basis whether to demand a refund on its grant, less depreciation.

11.5 Principles of valorisation

(Article 46 of the Funding Regulations)(Article 47 of the Funding Regulations)

1 When taking valorisation measures, grantees must respect the quality standards of the SNSF.

2 Public communication measures in areas that are of fundamental social or political importance must be prepared by the grantees with the care and professionalism appropriate to the topic.

3 If it is foreseeable that a research subject is likely to cause public controversy (sensitive issue), the grantees are obliged to discuss matters with the SNSF beforehand.

4 Regardless of the manner of publication, reference must be made to the funding provided by the SNSF.

5 With regard to the valorisation measures concerning the status and results of NRPs, NCCRs and other programmes, the conditions laid down in the relevant programme regulations must be respected in addition to the provisions of these Regulations.

11.6 Quality standards

(Article 46 of the Funding Regulations)(Article 47 of the Funding Regulations)

1 Grantees must ensure that the following principles are respected when information on research projects is communicated and research results are published:

a. respect for ethical principles and rules on research integrity;

b. maintenance of professionalism, a sense of proportion, transparency, openness and readiness to enter into dialogue;

c. basing communications and debates on the latest consolidated research results (if possible in compliance with peer review standards);

d. use of one’s own name in communications without imposing any obligation on the SNSF as an institution;

e. observance of the rights of co-authors;

f. adherence to the SNSF guidelines regarding public science communication, which are published on the SNSF website.

2 On the basis of Article 43 of the Funding Regulations, the SNSF penalises breaches of the rules and principles listed above. Examples of breaches include tendentious propaganda, manipulation, dissimulation, fraud and disinformation.

11.7 Branding of SNSF projects and programmes

(Article 46 of the Funding Regulations)(Article 47 of the Funding Regulations)

1 Grantees are obliged to mention the SNSF grant in all scientific publications and communication activities relating to research projects, particularly in press releases.

2 Grantees must use the phrase "funded by the SNSF" if the project is being or has been funded with an SNSF grant. The SNSF logo must be placed alongside the said phrase whenever possible. It should also appear in all other forms of publication, such as presentations, posters, conferences, brochures, papers and books.

3 Grantees must use the phrase "evaluated by the SNSF" if a project was only evaluated by the SNSF. In this case they are not entitled to use the logo.

4 For research programmes, the specific branding rules applicable to the programmes apply.

11.8 Open Research Data ⁶⁸

1 All data collected and generated during the course of the research on which publications are based must be shared, provided no legal, ethical, intellectual property or other clauses prevent this. This data should be made available as soon as possible, at the latest together with the relevant scientific publication, and should be archived in recognized scientific data repositories that meet the FAIR data principles.

2 In specific cases, the SNSF reserves the right to require grant recipients to share all data relevant for further research, regardless of any link to a scientific publication.

3 A data management plan (DMP) must be submitted in accordance with SNSF guidelines.

11.9 Open access (OA) to publications: Principles ⁶⁹

1 The SNSF supports the principle of open electronic access (Open Access, hereinafter "OA") to scientific knowledge nationally and internationally.

2 Scientific publications financed by the SNSF must be made available as follows:

a. publicly, without any restrictions;

b. in digital form;

c. immediately; and

d. free of charge.

3 Publications pursuant to these provisions are scientific works published in journals and books (monographs, anthologies, book chapters) that were fully or partially financed by SNSF grants (OA commitment). Full or partial financing by the SNSF refers to

a. financing of the research that has generated the results being published; and/or

b. direct financing of the publication.

4 Scientific articles must be made available under a Creative Commons Attribution (CC BY) licence or an equivalent licence. ⁷⁰

5 The OA commitment applies regardless of whether the SNSF awards a grant for the OA publication.

6 If the research is co-funded, the OA commitment shall apply if the SNSF provided 50% or more of the funding.

11.10 Open Access (OA): Grants ⁷¹

1 The publication grants of the SNSF are awarded exclusively for gold-road OA publications, which offer immediate, unrestricted and free access to the digital publication.

2 It supports the following kinds of publication:

a. journal articles;

b. monographs;

c. anthologies; and

d. book chapters.

3 The conditions and amount of the grants are defined in accordance with the Regulations on the funding of OA publications ⁷². The grants must be applied for via the OA platform of the SNSF. ⁷³

11.11 OA platform of the SNSF ^{74 75}

1 An electronic Open Access platform (OA platform) for applications to the SNSF is available for

a. entering publication proposals, OA grants, the lifetime management of the grant and

b. costs and process monitoring.

2 The SNSF may transfer the operation of the platform to a third party.

3 The data entered on the OA platform must show how the publication grant is linked to SNSF funding.

11.12 OA commitment: Form and deadlines ⁷⁶

1 The OA commitment is in principle met through digital publication that is immediate, unrestricted and free of charge: gold-road OA journals, books and book chapters. The SNSF may award grants for such publications (Clause 11.10 and Regulations on the funding of OA publications). Publications with restricted access (hybrid publications with author fees) do not meet the requirements for OA grants of the SNSF.

2 The OA commitment can also be met through digital publication in a disciplinary or institutional repository granting free and unrestricted access; this is known as the green road to OA. The digitally published version must be, at least, consistent with the content of the version published by the publisher (Author's Accepted Manuscript). In the case of scientific articles, access must be granted immediately; in the case of all other publications, access must be granted within 12 months. ⁷⁷

3 ⁷⁸

4 Repositories pursuant to paragraph 2 are publicly accessible non-commercial archives or databases of higher education institutions and other recognised research institutions or scientific facilities.

11.13 OA commitment: Right of second publication, legal relationship with publishers ⁷⁹

1 Grantees of the SNSF are obliged to reserve, vis-à-vis the publishers, the right to make their largely SNSF-funded work available to the public free of charge.

2 The embargo period contractually agreed between the grantees and the publishers must not exceed the period set out in Clause 11.12 paragraph 2. After expiry of the embargo period, the publishers must tolerate OA publication by the grantees. ⁸⁰

³ In the case of scientific articles, SNSF grantees must inform publishers of the requirement of publishing under a Creative Commons Attribution (CC BY) licence. They can do so in the follow-ing word when submitting the manuscript:

„This research was funded in whole or in part by the Swiss National Science Foundation (SNSF) [Grant number]. For the purpose of Open Access, a CC BY public copyright licence is applied to any Author Accepted Manuscript (AAM) version arising from this submission.” ⁷⁵

11.14 OA commitment: Check of fulfilment, exceptions ⁸⁴

1 The SNSF checks the fulfilment of the OA commitment as part of its open access monitoring.

2 If an OA publication demonstrably involves disproportionately high costs for image rights, the SNSF may:

a. for scientific articles, permit publication under a Creative Commons Attribution No Derivatives (CC BY-ND) licence or an equivalent licence.

b. In the case of book publications without publication grants, waive enforcement of the OA commitment.

3 If justified, the SNSF may also exceptionally permit the publication of scientific articles under a licence pursuant to paragraph 2 letter a in other cases on request.

11.15 OA commitment: Non-compliance ⁸⁵

1 ⁸⁶

2 Non-compliance with the OA commitment breaches the Regulations of the SNSF pursuant to Article 43 of the Funding Regulations and may be sanctioned.

11.16 OA: Note on SNSF funding ⁸⁷