Participation & Dissemination Rules for 6th Framework Programme 2002-2006 (EC)

1. Participation & DisseminationRules for 6th Framework Programme2002-2006(EC)

2. Legal Framework INTERNATIONAL AGREEMENTS EC TREATY PARTICIPATION AND DISSEMINATION RULES FRAMEWORK PROGRAMME Other relevant EC Regulations: e.g. EC Financial Regulations (Budgetary Law) SPECIFIC PROGRAMS CONTRACTS

3. General issues Next steps • Final Adoption by the Council (November 2002) • Development of Model Contracts and work programmes + Calls for proposals (November 2002) • Publication of Calls : 17 December 2002

4. General Issues Drafted with the aim of • Simplification • Flexibility • Autonomy for participants

5. Instruments • New Networks of excellence, Integrated projects, Integrated initiatives infrastructures, Collective research projects (Specific research projects for SMEs), Article 169 • Specific targeted projects, Co-operative research projects(Specific research projects for SMEs), Actions to promote and develop human resources and mobility(Some arenew), Co-ordination actions, Specific support actions

6. Participation Who can participate? • NewEvery legal entity • New Associated candidate countries = Member States • New International European interest organisations = Member States

7. Participation Minimum number • New3 from MS or AS, with 2 from MS or Ass. Cand. Countries for all the instruments • 1 possible for fellowships and specific support actions Minimum number can be increased by work-programmes

8. Participation Third country participation • Participation for all countries in “Integrating” part • Financing for INCO countries in “Integrating” part • Participation for countries with co-operation agreement under its conditions in activities outside the “Integrating” part • Participation for other countries in all activities outside “Integrating” part if necessary

9. Evaluation Core criteria & Criteria for new instruments To be specified and complemented in work programmes according to instrument and activity New Additional criteria Synergies with education, role of women in research, societal impact Not compulsory Exclusion criteria Violation of fundamental ethical principles New Financial irregularities (see EC Financial Regulations)

10. Evaluation New Two-stage evaluation procedure If specified in the call for proposals New Evaluation on a non-anonymous basis Unless otherwise specified in call for proposal

11. Implementation How? • Contractual link of all participants with Commission • NewContract enters into force with signature between coordinator and Commission • NewAll participants have the same rights & obligations • Change/addition of participants • NewEvaluation with external experts in IP/NoE • with implicit agreement of the Commission • Rules for increase of Community contribution

12. Implementation New Collective responsibility of the participants • Responsibility of a last resort • Limited in proportion to the participant’s share to the project, up to the total payment they are entitled to receive • IOs, public bodies or entities guaranteed by MS/AS solely responsible for their own debts • Exceptions for specific actions for SME’s and fellowships, and when duly justified for specific support actions

13. Consortium agreement • Regulates internal organisation of consortium • New Compulsory except otherwise mentioned in the call for proposal • May not conflict with the contract • Not signed nor approved by the Commission • After or (preferably) before signing the contract but some decisions must be made by the participants before signature of contract (e.g. IPR issues) • Non binding guidelines published by the Commission

14. Financing Grant for integration Grant to the budget Flat-rate Networks of excellence  Integrated Projects  Specific targeted research projects  Specific research projects for SMEs  Integrated initiatives relating to infrastructure  Actions to promote human resources & mobility   Coordination actions  Specific support actions  

15. Financing Grant for integration (NoE) • Newmechanism • Calculation basis: degree of integration, number of researchers to be integrated, characteristics of the field concerned, JPA not as a %age of the budget for the JPA • Payment basis: completion of the JPA + costs certificates mentioning that the costs incurred are greater than the grant itself • Premium for integration (fixed grant)

16. Financing Grant to the budget • Calculation basis: %age of the preliminary budget of the execution plan • Payment basis: covers a share of the expenditure incurred, necessary for the execution of the indirect action • %age depends on: • participant involved (cost models) • type of activity

17. Financing Cost Models: definition • FC: actual direct and indirect costs • New FCF (variant of FC): actual direct costs + flat rate for indirect costs (20% of total actual direct costs, except subcontracting) • AC: actual additional direct costs + flat rate for indirect costs (20% of total actual additional direct costs, except subcontracting)

18. Financing Cost Models: application • New Organisation based: not accounting capacities; mandatory or optional; no change during FP6 • International organisations, physical persons: ACF • Public non-profit -Option 1: FC or FCF or ACF Option 2: ACF • SMEs: FC or FCF • Others: FC

19. Financing Type of activity Research and technological development (including innovation related activity) - 50% (100% AC) Demonstration - 35% (100% AC) Training - 100% (100% AC) New Consortium Management - reimbursed up to 100% within the limit of 7% of community contribution Other activities specific to an instrument

20. Financing • Modalities Newno cost categories but list of ineligible costs New Participants’ own accounting rules New Cost certificates by external auditor Periodical advances New yearly for IP and NoE to be specified in the contract for the other instruments No pre-allocation of the EC contribution between participants (funding is granted to the consortium as a whole)

21. Control and Sanctions Objective to reinforce ex-post controls To simplify and streamline ex-ante controls: no systematic ex-ante financial controls (for instruments with collective responsibility) no bank guarantee (for instruments with collective responsibility) As a counterbalance to increased autonomy for participants

22. Control and Sanctions How? • New Continuous monitoring by Commission with external experts (mandatory for IP and NoE) • Periodical verification of expenditure made (annual for IP & NoE) based on audit certificates • Technical (incl. ethical), technological, and financial audits

23. Control and Sanctions Sanctions • Exclusion criterion, up to 5 years: financial irregularity + other cases foreseen in Article 93 of the new EC Financial Regulations • Recovery decisions (art. 256 EC Treaty) • Other sanctions in contracts, such as financial penalties

24. Intellectual property rights (IPR) Developed on the basis of • Feedback from FP5 • Features of the “new instruments” • participants may leave/join during the project • “larger” projects

25. Principles • Consistencywith FP5(same concepts) • Simplification NewSame IPR rules for allinstruments(few exceptions) NewSame IPR rules for allparticipants • Increasedcertainty, in particular regarding access rights(restricted to what is necessary) • Increased emphasis on the management of knowledge and IP(especially new instruments)

26. General concepts • Definitions:no major change w.r.t. FP5 • “knowledge”, “pre-existing know-how”, “use”, “dissemination”, ... • Ownership:no major changes w.r.t. FP5 • resides with the participants generating knowledge • exception for SMEs actions : ownership resides with the SMEs, not with the “RTD Performers” • exception for public procurements (Commission buys) • transfer: prior notice to other participants+ Commission (possible objection within 30 days)

27. General concepts • Protection • New required but not limited to legal protection (public domain approach, etc. possible) • Publication • New allowed if not detrimental to protection • prior notice to Commission + other participants (possible objection within 30 days) • Use / dissemination • New compulsory under conditions • Commission may disseminate itself if needed

28. Access rights General principles • New Granted on written request • No sub-licensing(unless explicitly agreed + possible optional clause for software) • Obligatory ARs between participants limited to what they really need (either for carrying out the project or for using their own knowledge) but broader ARs may be freely negotiated • ARs granted to third parties : Commission may object

29. Access rights New features • Feedback from FP5: need for pre-existing know-how (PEKH) to be better safeguarded • New Possibility for a participant to exclude specific pieces of its PEKH from the obligation to grant ARs to the others • with the agreement of all participants • before the participant concerned signs the contract (or before entry of a new participant)

30. System of Access Rights Access rights to Access rights to pre-existing know-how knowledge 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 signing the contract Royalty-free If a participant needs them for using its own knowledge For use (exploitation + further research) Non-discriminatory conditions to be agreed Royalty-free unless otherwise agreed before signing the contract Possibility for participants to agree on exclusion of specific pre-existing know-how before signature of the contract (or before entry of a new participant)

31. Thank You For more information, you may contact Nicolas SABATIER: Nicolas.Sabatier@cec.eu.int +32.2.296.71.31