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RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Participation & DisseminationRules for
6th Framework Programme2002-2006
(EC)NICOLAS SABATIEREuropean Commission
RDT - Directorate A - Unit 3
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 Not legally binding
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 Not legally binding
Classification of the instruments
Instrument Purpose Primarydeliverable
Scale
IP
NoE
169
STRP
CA
SSA
objective-driven research
tacklefragmentation
joint MSprogrammes
research
coordination
support
knowledge
structuring
knowledge and/or
structuring
knowledge
coordination
support
med-high
med-high
high
low-med
low-med
low-med
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Objectives of IPs Designed to generate the knowledge required
to implement the priority themes
– by integrating the critical mass of activities and
resources needed– to achieve ambitious clearly defined scientific and
technological objectives
Essentially therefore an instrument for sponsoring
objective-driven research of a European dimension
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Types of activities in IPs Activities integrated by a project may cover
the full research spectrum
– should contain objective-driven research
– technological development and demonstration
components as appropriate
– may contain a training component
– the effective management of knowledge and when
appropriate its exploitation, will be essential
– the whole carried out in a coherent management
framework
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Expected scale of critical mass of an IP
Resources: each IP must assemble the critical mass of resources needed to achieve its ambitious objectives– activities integrated may range up to € several tens of
millions (but no minimum threshold) Partnership: minimum of three participants from
three different countries– but in practice likely to be substantially more
SME participation is strongly encouraged ‘Third country’ participants may be included, with a
possibility of Community financial support for certain groups of countries
Duration: typically three to five years– but more if necessary to deliver the objectives
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Objectives of NoE Designed to strengthen Europe’s excellence on
a particular research topic– by integrating the critical mass of expertise needed
to provide European leadership and be a world force
– around a joint programme of activities An instrument for tackling the fragmentation of
European research– where the main deliverable is a durable structuring
and shaping of how research is carried out in Europe
Each NoE has a mission to spread excellence beyond its partners
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
The joint programme of activities of a NoE (1)
A range of new or re-oriented activities– integrating activities
coordinated programming of the partners’ activities
sharing of research platforms/tools/facilities
joint management of the knowledge portfolio
staff mobility and exchanges
relocation of staff, teams and equipment
reinforced electronic communication systems
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
The joint programme of activities of a NoE (2)
– joint research activities : a programme of joint research to support the network’s goals
development of new research tools and platforms for common use
generating new knowledge to fill gaps in or to extend the collective knowledge portfolio
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
The joint programme of activities of a NoE(3)
– Activities to spread excellence training researchers and other key staff dissemination and communication activities networking activities to help transfer knowledge to
teams external to the network where appropriate, promoting the exploitation of the
results generated within the network where appropriate, innovation-related activities:
protection of knowledge generated, assessment of the socio-economic impact of the knowledge and technologies generated, developing a plan for use and dissemination of the knowledge, take-up activities (especially for SMEs)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
The joint programme of activities of a NoE(4)
– Network management: overall coordination of the joint activities communication with the Commission, reporting activities linked to consortium-level financing and
accounting management and legal issues coordination of the knowledge management activities,
and where appropriate, other innovation-related activities promotion of gender equality science and society issues related to the topics of the
network supporting the governing board and other network
bodiesAll activities within a unified management
structure
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Expected scale ofcritical mass of a NoE
Expertise: assembling of the critical mass needed to achieve the ambitious goals of the network– variable from topic to topic– larger networks may involve several hundreds of
researchers– but may be smaller, provided the necessary
ambition and critical mass are achieved Partnership: in general at least six (legal
minimum: 3 from 3 different countries) Duration of Community support: typically 5
years– more if necessary to create durable integration
BUT no more than 7 years
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Objectives of Article 169 Enables the Community to participate in
research programmes carried out jointly by a number of MS
Potentially a most powerful instrument– IPs and NoEs integrate individual performers of research– 169s integrate national programmes
But may be difficult to use in large numbers– each requires a co-initiative by national programmes and
the Commission to generate a proposal– long and complex decision-making, as long as co-
decisions of Council and Parliament taken case-by-case– so far untried
the Commission has presented a pilot proposal
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Objectives and Activities of STREPs
Designed to generate the knowledge required to improve European competitiveness and to meet the needs of society or Community policies:– by improving existing or developing new products,
processes or services and/or – by proving the viability of new technologies offering
potential economic advantage May combine any of the following types of
activities:– Targeted, well defined and precisely focused research
and technological development– Demonstration component(s) as appropriate– Project management
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
STREPs main characteristics(1)
STREPs compared to IPs:
– The STREP scale of ambition is much more
limited than that of IPs, consequently :
– Different: Value of activities, Duration, Size of
the consortium, Types of activities, Types of
Calls (EOI-Calls), Evaluation process/key
issues (partly), Negotiation, Consortium
agreement, Implementation (partly), Follow-up
(partly)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
STREPs main characteristics(2)
STREPs compared to FP5 RTD projects :
– Similar: Objectives, Scale of ambition, Value,
Duration, Size of consortium, Types of
participants, Calls, Evaluation, Negotiation,
Follow-up, Audits
– Different: Financial regime, Simplified Proposals, Contractual aspects, Consortium
agreement, Collective responsibility,
Implementation, IPR
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Objectives and activities of CAs
Designed to promote and support the networking and co-ordination of research and innovation activities at national, regional and European level.– by establishing in a coherent way co-ordinated
initiatives of a range of research and innovation operators, in order to achieve improved integration of the European research.
May combine the following two types of activities – Co-ordination activities– Project management activities
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Types of co-ordination Activities
Each CA shall consist of a programme of work, incorporating all or some of the following types of mid/long term collaborative activities:
Organisation of conferences, of meetings; Performance of studies, analysis; Exchanges of personnel; Exchange and dissemination of good practice; Setting up of common information systems Setting up of expert groups; Definition, organisation and management of joint
or common initiatives.
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
CAs main characteristics
CAs compared to NoE:– Instrument for ad hoc co-operation between
organisations for a specific purpose - no requirement for durable integration of all activities
– A networking instrument for research funded from other sources (EC/national/regional)
CAs compared to SSAs:– Instrument for more longer term co-operation and
networking compared to the more stand alone activities to be funded by SSAs
CAs compared to IPs and STREPs:– CA is not an instrument to fund research
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Objectives and activities of SSAs
Designed to– complement the other FP6 instruments, – help in preparations for future Community research
and technological development policy activities and – stimulate, encourage and facilitate the participation of
SMEs, small research teams, newly developed and remote research centres, as well as those organisations from the Candidate Countries in the activities of the priority thematic areas.
May combine the following two types of activities – Support activities– Project management activities
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Types of support activities
Each SSA shall have an action plan, which may consist of one or more (as appropriate on a case by case basis) of the following activities:
Conferences, seminars, working groups and expert groups;
Studies, analysis; Fact findings and monitoring; Trans-national technology transfer and
take-up related services; Development of research or innovation
strategies; High level scientific awards and
competitions; Operational support and dissemination,
information and communication activities.
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
SSAs main characteristics
SSAs compared to CAs:– Instrument to support the implementation of the
programme, priority or research objective - in most cases - stand alone events (meetings, conferences, studies etc.)
– Instrument for future oriented activities: research roadmaps, identification of future research objectives
– Instrument for dissemination and uptake of programme results
SSAs compared to IPs and STREPs:– SSA is not an instrument to fund research activities
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 Not legally binding
Instruments to be used in priority
Calls for proposals will identify which instruments are to be used, which have priority, and for what
From the outset, IPs and NoEs will be the priority means – for implementing those themes where it is already
deemed appropriate– while maintaining the use of specific targeted
research projects, co-ordination actions and specific support actions
In 2004, the Commission will arrange an independent evaluation of the use of the instruments– may lead to an adjustment of their relative weightings
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
EvaluationCore 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
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
New Manuals on evaluation and on negotiation and selection procedures
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 Not legally binding
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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 (cost models)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Financing
Cost Models: application New Organisation based, not according to accounting
capacities; mandatory or optional; no change allowed during FP6
International organisations, physical persons: ACF Public non-profit - Pending issue
Solution 1: FC or FCF or ACF (optional)solution 2: ACF (optional)
SMEs: FC or FCF (optional)
Other organisations: FC
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
FinancingType 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 - 100% (100% AC)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 Not legally binding
Reporting and payments schedule for IPs
Advance payment: equal to 85% of the Community contribution anticipated for the first 18 months
The consortium submits annual report containing:– an outline of previous 12 months’ activities– financial documents on the costs incurred (including cost certificates and
management-level justification)– a detailed implementation plan and associated financial plan for the following
18 months
Upon acceptance of above by the Commission: final settlement of payment for period concerned (subject to any ex-post
audit) outstanding advance supplemented up to 85% of the anticipated
Community contribution for following 18 months
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Payments and reporting schedule for
an IP(example of a 4 year
contract)
Activity report
Reported costs
Activity report Detailed work plan
Reported costs Adjusted advance
Activity report Detailed work plan
Reported costs Adjusted advance
Activity report
Reported costs
Detailed work plan
Adjusted advance
Detailed work plan
Initial advance
0 6 12 18 24 30 36 42 48
Months
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Advance payment: equal to 85% of the Community contribution anticipated for the first 18 months
The consortium will submit to the Commission for its approval an annual report containing:– an outline of previous 12 months’ activities
– financial documents on the costs incurred in implementing the JPA (including cost certificates and management-level justification)
– a detailed joint programme of activities for the following 18 months
Upon acceptance of above, the outstanding advance will be supplemented up to 85% of the anticipated Community contribution for following 18 months
Reporting and payments schedule for NOEs
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Advance payment: equal to 85% of the Community contribution anticipated for the first 18+6 months
The consortium submits annual (e.g. 18 month) report containing:– an outline of previous scientific activities reporting period– financial documents on the costs incurred (including cost certificates and
management-level justification)
Upon acceptance of above by the Commission: final settlement of payment for period concerned (subject to any ex-
post audit) outstanding advance supplemented up to 85% of the anticipated
Community contribution for remaining period
Reporting and payments schedule for STREPS
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 Not legally binding
Payments and reporting schedule for a STREP, CA or SSA
(example of a 3 year contract)
Final activity report
Reported costs + audit certificate (mandatory)
Final payment
Periodic activity report (mid-term review : optional)
Reported costs+ (audit certificate if required)
Intermediate payment/
settlement
Detailed work plan
Initial advance
0 6 12 14 18 20 24 26 30 36 38
Months
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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 Roma12 12 02 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)