RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 1 Not legally binding
Participation & DisseminationRules for
the 6th Framework Programme2002-2006
(EC)
Jean-David MALODG RTD - Unit A3
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 2 Not legally binding
Legal Framework
EC TREATY
FRAMEWORK PROGRAMME
SPECIFIC PROGRAMS
PARTICIPATION AND
DISSEMINATION RULES
CONTRACTS
Other relevant EC Regulations:
e.g. EC Financial Regulations
(Budgetary Law)
INTERNATIONAL AGREEMENTS
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 3 Not legally binding
General issues
Final Adoption by the Council (November 2002)
Development of Model Contracts and work programmes + Calls for proposals (December 2002)
Publication of Calls : 17 December 2002
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 4 Not legally binding
General IssuesDrafted with the aim of
Simplification: no implementing regulations; less than 10 model-contracts (currently 33)
Flexibility: the work programme may adjust rules to RTD activities’/instruments’ specificity
Autonomy for participants: within the framework of the rules, organisation of relations within the consortium is a matter for participants themselves
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 5 Not legally binding
Core contractstandard text (completed with project data)
Annex Ithe “project” (technical tasks - work to be carried out)
Annex IIgeneral conditions (standard, applicable to every instrument)
Annex IIIinstrument specific provisions (variable per instrument)
Contract Structure
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 6 Not legally binding
Instruments
New Networks of excellence, Integrated projects, Integrated initiatives infrastructures, Collective research projects (Specific research projects for SMEs), Article 169
Traditional Specific targeted projects, Co-operative research projects (Specific research projects for SMEs), Actions to promote and develop human resources and mobility (Some are new), Co-ordination actions, Specific support actions
BUT RULES APPLIES TO ALL
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 7 Not legally binding
Principles guiding their design
Simplification and streamlining– to minimise the overheads for all concerned – to speed up procedures, especially time-to-contract
Increased legal and financial security– to avoid weaknesses of FP5 instruments
Flexibility and adaptability– to enable instruments to adapt to changing
circumstances, both in science and partnership Increased management autonomy
– to eliminate unnecessary micromanagement While preserving public accountability and
protecting interests of the Community
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 8 Not legally binding
Participation
Who can participate?
New Every legal entity that contributes to the project (incl. Project managers)
New Associated candidate countries = Member States
New International European interest organisations = Member States
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 9 Not legally binding
Participation
Minimum number
New 3 from MS or AS, with 2 from MS or Ass. Cand. Countries for all the instruments
1 (MS or AS or Third Country or International organisation) possible for fellowships and specific support actions
Flexibility : Minimum number can be increased
by work-programmes
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 10 Not legally binding
ParticipationOther countries and other International organisations
INTEGRATING PARTParticipation for allFinancing for INCO countriesFinancing for others if essential to carry out the project
OTHER PARTSParticipation for all those with co-operation agreement
under its conditions; funding if essential.
Participation for the others in activities if necessary to carry out the project; funding if essential.
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 11 Not legally binding
PARTICIPATION/FINANCINGPARTICIPATION AND FINANCING POSSIBILITIES BY COUNTRY OF ESTABLISHMENT OF PARTICIPANT
Participant’s country of establishment Participation Financing
European Union Member States, JRC Rightfully Rightfully
Associated Candidate Countries Rightfully Rightfully
Other Associated Countries Rightfully Rightfully
International organisations of Europeaninterest
Rightfully Rightfully
Russia, New Independent States,Mediterranean Countries, Developingcountries (with or without a co-operationagreement)
Rightfully over and abovethe minimum threshold
Within the limits of the budget available forinternational co-operation activities in thecontext the thematic priorities
Third countries having a co-operationagreement
Rightfully over and abovethe minimum threshold
If Community contribution is necessary andforeseen by the Work Programme
Other third countries If participation is foreseenor if it is necessary forcarrying out the project
If Community contribution is foreseen or if it isessential for carrying out the project
Other international organisations Rightfully over and abovethe minimum threshold
If Community contribution is foreseen in thework programme or if it is essential forcarrying out the project
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 12 Not legally binding
EvaluationCore criteria & Criteria for new instruments
To be specified and complemented in work programmes according to instrument and activity
New Additional criteriaSynergies with education, role of women in research,
societal impact
Not compulsory
Exclusion criteriaViolation of fundamental ethical principles
New Financial irregularities (see EC Financial Regulations)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 13 Not legally binding
Evaluation
New Two-stage evaluation procedureIf specified in the call for proposals
New Evaluation on a non-anonymous basisUnless otherwise specified in call for proposal
New Manuals on evaluation and on negotiation and selection procedures
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 14 Not legally binding
Key issues in the evaluation of IPs
Relevance to the objectives of the programme (S&T, S-E, policy objectives of WP)
S&T excellence (focus, progress beyond state-of-art, S&T approach)
Potential impact (ambition,competitiveness, societal problems, European dimension, optimal use of results)
Quality of the consortium (commitment, suitability, complementarity, SMEs)
Quality of the management (organisational structure, project, knowledge, IPR, innovation)
Mobilisation of resources (critical mass, coherence, financial
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 15 Not legally binding
Key issues in the evaluation of NoE
Relevance to the objectives of the programme (S&T, S-E, policy objectives of WP)
Participants excellence (R&D, suitability, critical mass)
Potential impact (strenghthening S&T excellence, ambition, spreading excellence, durable structuring)
Degree of integration & JPA (deep and durable integration, quality)
Organisation and management (organisational structure, network)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 16 Not legally binding
•Relevance to the objectives of the programme (S&T, S-E, policy objectives of WP)
•S&T excellence (focus, progress beyond state-of-art, S&T approach)
•Potential impact (competitiveness, societal problems, European dimension, optimal use of results)
•Quality of the consortium (commitment, suitability, complementarity, SMEs)
•Quality of the management (project, knowledge, IPR, innovation)
•Mobilisation of resources (necessity, coherence, financial plan)
Key issues in the evaluation of STREPs
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 17 Not legally binding
•Relevance to the objectives of the programme (S&T, S-E, policy objectives of WP)
•Quality of the co-ordination (progress beyond state-of-art, robustness of mechanisms)
•Potential impact (European dimension, Community support, critical mass mobilisation, optimal use of results)
•Quality of the consortium (suitability, complementarity)
•Quality of the management (project, knowledge, IPR, innovation)
•Mobilisation of resources (necessity, coherence, financial plan)
Key issues in the evaluation of CAs
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 18 Not legally binding
•Relevance to the objectives of the programme (support objectives of WP, Call, SPs, ERA)
•Quality of the support action (soundness and quality of design, competencies, innovation-originality)
•Potential impact (European dimension, Community support, optimal use of results)
•Quality of the management (credibility of capacity to deliver)
•Mobilisation of resources (necessity, financial plan)
Key issues in the evaluation of SSAs
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 19 Not legally binding
ImplementationHow? Contractual link of all participants with the
Commission New no more categories : all participants are contractors and
have the same rights & obligations
Contract enters into force and the advance is paid New once signed by the coordinator and the Commission
New other contractors’ written consents are collected by the coordinator and sent to the Commission within two months
= quicker entry into force and payment
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 20 Not legally binding
ImplementationHow?
Change/addition of participants – New at the request of the coordinator, deemed to
act on behalf of the consortium– New with implicit agreement of the Commission
within 6 weeks– New in IP/NoE, enlargement of the consortium to
new participants and new activities may be foreseen. This enlargement follows then a call launched by the consortium with evaluation of proposals by external experts
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 21 Not legally binding
Flexibility and autonomy in implementing IPs
For the implementation plan, each year, the consortium– proposes a detailed plan for the coming 18 months– and may propose to update the overall plan
both need approval of the Commission to enter into force
For the Community contribution– the contract will not specify its distribution between
participants nor between activities For changes in the consortium
– the consortium may itself decide to take in new participants (though without additional funding) the contract will specify when this must involve a
competitive call– the Commission may decide to launch calls to add
activities and participants (with additional funding)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 22 Not legally binding
Flexibility and autonomy for NoE
For the JPA, each year, the network– proposes a detailed JPA for the coming 18 months– and may propose to update the overall JPA
both need approval of the Commission to enter into force
For the allocation of the Community grant– the partnership will have freedom to distribute it
between partners and between activities For changes in the network partnership
– the partnership may itself decide to take in new partners (though without additional financing) the contract will specify when this must involve a
competitive call– the Commission may decide to launch calls to add
partners (with additional financing)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 23 Not legally binding
Implementation of STREPs, CAs and SSAs
For the work plan, the consortium– proposes a detailed plan for the whole duration– and may propose to modify the detailed work plan
but needs approval of the Commission to enter into force and
without modifying the overall objectives and deliverables
For the Community contribution– the contract will not specify its distribution between
participants For changes in the consortium
– the consortium may modify its composition (subject to Commission approval, without additional funding, infrequent occurrence)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 24 Not legally binding
Financing
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 25 Not legally binding
Financing
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 26 Not legally binding
Financing
Grant for integration (NoE) New mechanism 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 27 Not legally binding
Financial regime of NoE
The average annual grant to a network could vary with the number of researchers as follows:
In this illustration, a network of 200 researchers supported over 5 years would therefore receive a fixed grant of €17.5 million (plus bonus for registered doctoral students)
50 researchers € 1 million/year 100 researchers € 2 million/year 150 researchers € 3 million/year 250 researchers € 4 million/year 500 researchers € 5 million/year 1000 researchers and above € 6 million/year
(for intermediate numbers, the grant would be calculated by linear interpolation)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 28 Not legally binding
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: type of activity participant involved
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 29 Not legally binding
FinancingWhere it takes the form of reimbursement of eligible
costs, the Community financial contribution :
can only cover “supplementary costs” (costs not already
covered by another source of financing, especially public)
can cover up to 100% of those supplementary costs, providing a real co-financing scheme
must be adapted for some legal entities (“commercial
entities”) to take into account the ceiling of public financial support for research and demonstration activities.
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 30 Not legally binding
FinancingFor instruments with no R&TD and/or demonstration
activities
100% of the supplementary costs whatever the instrument and its activities, providing a real co-financing scheme.
As a general rule (except special clause in the contract), indirect costs are deemed to be covered by a flat rate (established in the contract) [ACF][SCF]
Reports: Financial statement : only supplementary costs Management report : description of use of all resources involved
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 31 Not legally binding
For instruments with R&TD and/or demonstration activities (1/3)
100% of the supplementary costs whatever the instrument and its activities, providing a real co-financing scheme, for legal entities for which the Community framework on State aids for research and development does not apply.
For those entities : either real indirect costs ([AC][SC]) or flat rate (20% of their direct costs except subcontracting costs) deemed to cover their indirect costs ([ACF][SCF])
Reports: Financial statement : only supplementary costs Management report : description of use of all resources involved
Financing
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 32 Not legally binding
For instruments with R&TD and/or demonstration activities (2/3)
Up to 100% of the supplementary costs whatever the instrument and its activities, for legal entities for which the Community framework on State aids for research and development apply (“commercial entities”), in so far as: it does not exceed 50% of the total eligible costs of research and
technological development activities and does not result in total support from public sources exceeding 75% of the total eligible costs of research and technological development activities ;
it does not exceed 35% of the total eligible costs of demonstration activities and does not result in total support from public sources exceeding 50% of the total eligible costs of demonstration activities ;
Financing
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 33 Not legally binding
FinancingFor instruments with R&TD and/or demonstration
activities (3/3)
For those entities (“commercial entities”) : real indirect costs ([FC][TC]), except for SMEs (real indirect costs ([FC][TC]) or flat rate (20% of their direct costs except subcontracting
costs) deemed to cover their indirect costs ([FCF][TCF])) Reports:
Financial statement : total costs and receipts (public and private) Management report : description of use of all resources involved
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 34 Not legally binding
FinancingType of activity
Research and technological development (including innovation related activity)
Demonstration
Training
New Consortium Management - reimbursed up to 100% within the limit of 7% of community contribution
Other activities specific to an instrument
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 35 Not legally binding
FinancingModalities
New no cost categories but list of ineligible costs
New Participants’ own accounting rules
New Periodical cost certificates by external auditor
New Periodical advances and settlements
yearly for IP and NoE
periodicity of settlements to be specified in the contract for other instruments
New No pre-allocation of the EC contribution between participants (funding is granted to the consortium as a
whole)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 36 Not legally binding
Consortium agreement
Renewed importance due to the new legal and financial approaches
Regulates internal organisation of consortium, such as i.a.:
management of the project and allocation of the EC financing
agreement on IPR access rights
crisis management
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 37 Not legally binding
Consortium agreement
New Compulsory except otherwise mentioned in the call for proposal
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 38 Not legally binding
LiabilityNew Collective responsibility of the
participants
Responsibility of a last resort Limited in proportion to the participant’s share of costs in
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 39 Not legally binding
Control and SanctionsObjective 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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 40 Not legally binding
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 41 Not legally binding
Control and Sanctions
Sanctions
Collective responsibility is also a form of sanction
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 42 Not legally binding
Monitoring and audits for IPs
Robust output monitoring by the Commission, involving external experts at all stages
annual review mid-term or milestone review,and final review
Commission may also carry out audits financial (at least one per IP) technical technological ethical
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 43 Not legally binding
Governance and monitoring for NoE (1)
A network’s governance must ensure institutional engagement by the partner organisations– through e.g. a “governing board” of senior
representatives from the partners
to oversee integration of the partners’ activities
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 44 Not legally binding
Governance and monitoring for NoE (2)
Robust output monitoring by the Commission, involving external experts at all stages– annual reviews
basis for payment by results triggering a yellow flag/red flag, if a review is failed
– end-of-term review to assess impact of network on strengthening and
spreading excellence Audits carried out by the Commission: financial
(at least one for each NoE, technical, technological, ethical.
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 45 Not legally binding
Monitoring of STREPs, CAs and
SSAs
Follow-up scheme:– Commission PO assigned
– may foresee mid-term review with assistance of experts (e.g. if duration 3 years or more), with a go/no go decision to continue the project
– may include various types of audits as appropriate
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 46 Not legally binding
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 47 Not legally binding
Consistency with FP5 (same concepts)
Simplification
New Same IPR rules for all instruments (few exceptions)
New Same IPR rules for all participants
Increased certainty, in particular regarding access rights (restricted to what is necessary)
Increased emphasis on the management of knowledge and IP (especially new instruments)
Principles
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 48 Not legally binding
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 (incl. JRC) generating knowledge
exception for SMEs actions : ownership resides with the SMEs, not with the “RTD Performers”
exception for public procurements (Commission buys a result)
transfer: prior notice to other participants+ Commission (possible objection within 30 days)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 49 Not legally binding
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 50 Not legally binding
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 51 Not legally binding
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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 52 Not legally binding
FP6 System of Access RightsAccess rights to
pre-existing know-howAccess rights to
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 knowledgeFor 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 21/04/23 53 Not legally binding
General FP6 Site : http://europa.eu.int/comm/research/fp6/index_en.htmlInstruments :http://europa.eu.int/comm/research/fp6/networks-ip.htmlContracts :http://europa.eu.int/comm/research/fp6/working -groups/model-contract/index_en.html
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