1. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Participation & Dissemination Rules for 6th Framework Programme 2002-2006 (EC) NICOLAS SABATIER European Commission RDT - Directorate A - Unit 3

2. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

3. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

4. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding General Issues Drafted 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

5. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

6. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Principles guiding their design l Simplification and streamlining –to minimise the overheads for all concerned –to speed up procedures, especially time-to-contract l Increased legal and financial security –to avoid weaknesses of FP5 instruments l Flexibility and adaptability –to enable instruments to adapt to changing circumstances, both in science and partnership l Increased management autonomy –to eliminate unnecessary micromanagement l While preserving public accountability and protecting interests of the Community

7. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Classification of the instruments

8. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Objectives of IPs l 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

9. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Types of activities in IPs l 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

10. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Expected scale of critical mass of an IP l 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) l Partnership: minimum of three participants from three different countries –but in practice likely to be substantially more uSME participation is strongly encouraged u‘Third country’ participants may be included, with a possibility of Community financial support for certain groups of countries l Duration: typically three to five years –but more if necessary to deliver the objectives

11. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Objectives of NoE l 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 l 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 l Each NoE has a mission to spread excellence beyond its partners

12. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding The joint programme of activities of a NoE (1) l A range of new or re-oriented activities –integrating activities ucoordinated programming of the partners’ activities usharing of research platforms/tools/facilities ujoint management of the knowledge portfolio ustaff mobility and exchanges urelocation of staff, teams and equipment ureinforced electronic communication systems

13. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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 u development of new research tools and platforms for common use u generating new knowledge to fill gaps in or to extend the collective knowledge portfolio

14. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding The joint programme of activities of a NoE(3) –Activities to spread excellence utraining researchers and other key staff udissemination and communication activities unetworking activities to help transfer knowledge to teams external to the network uwhere appropriate, promoting the exploitation of the results generated within the network uwhere 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)

15. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding The joint programme of activities of a NoE(4) –Network management: u overall coordination of the joint activities u communication with the Commission, reporting u activities linked to consortium-level financing and accounting management and legal issues u coordination of the knowledge management activities, and where appropriate, other innovation- related activities u promotion of gender equality u science and society issues related to the topics of the network u supporting the governing board and other network bodies All activities within a unified management structure

16. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Expected scale of critical mass of a NoE l 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 l Partnership: in general at least six (legal minimum: 3 from 3 different countries) l Duration of Community support: typically 5 years –more if necessary to create durable integration BUT no more than 7 years

17. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Objectives of Article 169 l Enables the Community to participate in research programmes carried out jointly by a number of MS l Potentially a most powerful instrument –IPs and NoEs integrate individual performers of research –169s integrate national programmes l 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 u the Commission has presented a pilot proposal

18. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Objectives and Activities of STREPs l 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 l 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

19. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding STREPs main characteristics(1) l 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)

20. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding STREPs main characteristics(2) l 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

21. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Objectives and activities of CAs l 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. l May combine the following two types of activities –Co-ordination activities –Project management activities

22. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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.

23. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding CAs main characteristics l 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) l 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 l CAs compared to IPs and STREPs: –CA is not an instrument to fund research

24. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Objectives and activities of SSAs l 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. l May combine the following two types of activities –Support activities –Project management activities

25. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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.

26. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding SSAs main characteristics l 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 l SSAs compared to IPs and STREPs: –SSA is not an instrument to fund research activities

27. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

28. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

29. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Participation Other countries and other International organisations INTEGRATING PART Participation for all Financing for INCO countries Financing for others if essential to carry out the project OTHER PARTS Participation 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.

30. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Instruments to be used in priority l Calls for proposals will identify which instruments are to be used, which have priority, and for what l 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 l In 2004, the Commission will arrange an independent evaluation of the use of the instruments –may lead to an adjustment of their relative weightings

31. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding 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)

32. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

33. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Key issues in the evaluation of IPs l Relevance to the objectives of the programme (S&T, S-E, policy objectives of WP) l S&T excellence (focus, progress beyond state-of-art, S&T approach) l Potential impact (ambition,competitiveness, societal problems, European dimension, optimal use of results) l Quality of the consortium (commitment, suitability, complementarity, SMEs) l Quality of the management (organisational structure, project, knowledge, IPR, innovation) l Mobilisation of resources (critical mass, coherence, financial

34. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Key issues in the evaluation of NoE l Relevance to the objectives of the programme (S&T, S-E, policy objectives of WP) l Participants excellence (R&D, suitability, critical mass) l Potential impact (strenghthening S&T excellence, ambition, spreading excellence, durable structuring) l Degree of integration & JPA (deep and durable integration, quality) l Organisation and management (organisational structure, network)

35. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

36. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Implementation How? 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

37. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Implementation How? 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

38. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Flexibility and autonomy in implementing IPs l 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 uboth need approval of the Commission to enter into force l For the Community contribution –the contract will not specify its distribution between participants nor between activities l For changes in the consortium –the consortium may itself decide to take in new participants (though without additional funding) uthe 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)

39. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Flexibility and autonomy for NoE l For the JPA, each year, the network –proposes a detailed JPA for the coming 18 months –and may propose to update the overall JPA uboth need approval of the Commission to enter into force l For the allocation of the Community grant –the partnership will have freedom to distribute it between partners and between activities l For changes in the network partnership –the partnership may itself decide to take in new partners (though without additional financing) uthe contract will specify when this must involve a competitive call –the Commission may decide to launch calls to add partners (with additional financing)

40. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Implementation of STREPs, CAs and SSAs l For the work plan, the consortium –proposes a detailed plan for the whole duration –and may propose to modify the detailed work plan ubut needs approval of the Commission to enter into force and uwithout modifying the overall objectives and deliverables l For the Community contribution –the contract will not specify its distribution between participants l For changes in the consortium –the consortium may modify its composition (subject to Commission approval, without additional funding, infrequent occurrence)

41. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

42. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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 è Premium for integration (fixed grant)

43. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Financial regime of NoE l The average annual grant to a network could vary with the number of researchers as follows: l 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)

44. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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)

45. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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)

46. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

47. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding 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 - 100% (100% AC)

48. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Financing Modalities 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)

49. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Reporting and payments schedule for IPs l Advance payment: equal to 85% of the Community contribution anticipated for the first 18 months l 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 l Upon acceptance of above by the Commission: ufinal settlement of payment for period concerned (subject to any ex-post audit) uoutstanding advance supplemented up to 85% of the anticipated Community contribution for following 18 months

50. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Payments and reporting schedule for an IP (example of a 4 year contract) Activity report Reported costs Activity reportDetailed work plan Reported costsAdjusted advance Activity reportDetailed work plan Reported costsAdjusted 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

51. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding l Advance payment: equal to 85% of the Community contribution anticipated for the first 18 months l 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 l 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

52. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding l Advance payment: equal to 85% of the Community contribution anticipated for the first 18+6 months l 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: ufinal settlement of payment for period concerned (subject to any ex- post audit) uoutstanding advance supplemented up to 85% of the anticipated Community contribution for remaining period Reporting and payments schedule for STREPS

53. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

54. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

55. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

56. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Liability New 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

57. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding 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

58. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

59. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Monitoring and audits for IPs l Robust output monitoring by the Commission, involving external experts at all stages uannual review u mid-term or milestone review,and ufinal review l Commission may also carry out audits ufinancial (at least one per IP) utechnical utechnological uethical

60. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Governance and monitoring for NoE (1) l A network’s governance must ensure institutional engagement by the partner organisations –through e.g. a “governing board” of senior representatives from the partners uto oversee integration of the partners’ activities

61. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Governance and monitoring for NoE (2) Robust output monitoring by the Commission, involving external experts at all stages –annual reviews ubasis for payment by results utriggering a yellow flag/red flag, if a review is failed –end-of-term review uto assess impact of network on strengthening and spreading excellence l Audits carried out by the Commission: financial (at least one for each NoE, technical, technological, ethical.

62. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding Monitoring of STREPs, CAs and SSAs l 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

63. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

64. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

65. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

66. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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)

67. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

68. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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

69. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not 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)

70. RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 Roma12 12 02Not legally binding FP6 System of Access Rights Access rights to pre-existing know-how Access 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 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)