1. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Rules for Participation and contractual issues for Integrated Projects in the Sixth Framework Programme Megan RICHARDS European Commission

2. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Rules for Participation Contractual Provisions Financial Provisions Intellectual Property Rights Outline

3. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002   Rules for Participation Contractual Provisions Financial Provisions Intellectual Property Rights Presentation Outline

4. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Legal entities in Member States, Associated States, JRC and international European interest organisation on same footing All instruments need at least three independent legal entities from three different MS or AS (at least two MS or Associated Candidate States) except for SSA, HR mobility (not research training networks) European Economic Interest Groups (EEIG) or other legal entities may be the sole participant if their composition is in accordance with these requirements Legal entities from third countries and international organisations may participate under certain circumstances without EC funding (some special cases with EC funding) Participants

5. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Entities established in third countries and International organisations SPECIFIC PROGRAMME I - INTEGRATING PART Participation open for all Funding FOR INCO COUNTRIES : like Member States with a budgetary limit FOR OTHERS : if essential to carry out the project or if foreseen by the Work Programme and the call

6. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Work Programme and Calls for Proposals determine : Minimum number of participants and place of establishment beyond Rules limits Additional evaluation criteria Whether consortium agreement is not required (unlikely for IP) Possibility of two-stage evaluation Irregularities in implementation are grounds for exclusion from evaluation and selection Fundamental ethical principles must be ensured, if not entity can be excluded from evaluation or selection procedure

7. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Rules for Participation   Contractual Provisions Financial Provisions Intellectual Property Rights Presentation Outline

8. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Simplification : Reduction of the number of contracts Collective approach Greater flexibility Greater autonomy for participants General Contractual Principles

9. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Core contract standard text (completed with project data) Annex I the “project” (technical tasks - work to be carried out) Annex II general conditions (standard, applicable to every instrument) Annex III instrument specific provisions (variable per instrument) Contract Structure

10. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Supplemented by guidelines when necessary   Financial (including auditing, cost methodologies)   Negotiation (including technical annex)   Consortium agreement (including IPR)   Project management (including reporting) Guidelines

11. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Contractual link of all contractors with the Commission (equal status) New - Contract enters into force upon signature of coordinator and Commission Coordinator must ensure other contractors sign within delays Distribution of advance to other contractors possible after minimum requirements met Project begins on date established in the contract Signature and Entry into Force

12. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Technical Responsibility (applicable to all instruments) Financial Responsibility - New Used as a last resort Limited in proportion to the participant’s share to the project, up to the total amount they are entitled to receive Exceptions:   International Organisations, public bodies or entities guaranteed by MS/AS: solely responsible for their own debts   for specific actions for SME’s and fellowships and, when duly justified, specific support actions Collective Responsibility of Participants

13. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Regulates internal organisation and management of consortium (Commission is not a party) New - Compulsory unless exempted by the call for proposals Non binding guidelines provided by the Commission After or (preferably) before signing the contract - some decisions must be made by the participants before signature of contract (e.g. exclusion of pre-existing know-how) Consortium Agreement

14. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Rules for participation Contractual Provisions   Financial Provisions Intellectual Property Rights Presentation Outline

15. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 New - Cost categories not required Costs must be : actual, economic and necessary for the project incurred during the duration of the project recorded in the accounts (or third parties) follow contractors own accounting rules and must exclude indirect taxes, duties, interests, costs reimbursed in respect of another Community project, and not give rise to profit Audit certificates by external auditor for each partner, each year for IP/NoE for public bodies - competent public auditor Costs

16. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 FC: actual direct and indirect costs New - FCF (variant of FC): actual direct costs + flat rate for indirect costs ACF: actual additional direct costs + flat rate for indirect costs Cost Models

17. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Grant for integration Grant to the budget Grant as a lump sum Networks of Excellence Integrated Projects Targeted research projects Specific Research activities for SMEs Integrated initiatives for Infrastructure Actions to promote human resources and mobility Coordination actions Specific support actions Financing Schemes

18. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Periodic advances yearly for IP and NoE (specified in the contract for other instruments) up to 85% (80% for instruments without collective liability)   EC contribution depends on : contractor’s cost model (FC, FCF, ACF) type of activity (research, demonstration, management, training, etc) submission of audit certificate   Distribution depends on Consortium’s decisions Payments

19. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 1 ) Contractors working on the additional cost model may also charge the cost of permanent personnel to their contractors, to the extend that they can be identified and have not been covered by other public sources of funding INTEGRATED PROJECTS Reimbursement Rates

20. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Controls Reports Periodic activity reports (including plan for dissemination and use) Periodic financial reports Supplementary reports if foreseen (in Annex I or III) Audits Scientific, technological, and financial audits New - annual monitoring by Commission with external experts (particularly for IP and NoE) Ethical or other reviews Contractors right to refuse particular expert Audits and Controls

21. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Financial irregularity - exclusion from evaluation/selection: Recovery decisions (article 256 EC Treaty) Other sanctions in contract (overclaims) Sanctions

22. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002  Force Majeure  Prolongation and suspension of the Project  Amendments  Termination Other Provisions in General Conditions

23. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Rules for Participation Contractual Provisions Financial Provisions   Intellectual Property Rights Presentation Outline

24. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Ownership Knowledge created under indirect actions = contractors Joint ownership where joint generation Any transfer of ownership must comply with contractual obligations (access rights, etc) Protection Knowledge capable of industrial or commercial application to be protected Commission may protect (where not envisaged by contractors) Owner of knowledge may publish as long as no impact on protection Prior notice of publication to Commission and other contractors Rules for Dissemination and Use

25. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Use and Dissemination Contractors shall use their knowledge Dissemination required if not adversely affecting protection or use, Commission may disseminate if contractors do not Rules for Dissemination and Use

26. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Access Rights Basic Principles Granted on request and may be conditioned by specific agreements regarding confidentiality and purpose Commission may object to grant of access to third party, particularly if not established in MS or AS NEW - Pre-existing know-how may be specifically excluded Rules for Dissemination and Use

27. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Access Rights Access for Execution of Action Access granted to knowledge and pre-existing know-how when needed to carry out their own work on the project (royalty-free unless other terms agreed prior to contract signature) Rules for Dissemination and Use

28. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 Access Rights Access for Use Access granted to knowledge and pre-existing know-how when needed to use their own knowledge (royalty-free unless other terms agreed prior to contract signature) Access may be requested for 2 years after end of project or after termination of contractor’s participation Rules for Dissemination and Use

29. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 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 contract’s signature Possibility to exclude specific pre- existing know-how before EC contract’s signature (or before entry of a new participant)

30. Megan RichardsHeysel 6FP launch conference 11,12, 13 November 2002 11/11/2002 General FP6 Site : http://europa.eu.int/comm/research/fp6/index_en.html Instruments : http://europa.eu.int/comm/research/fp6/networks-ip.html Contracts : http://europa.eu.int/comm/research/fp6/working - groups/model-contract/index_en.html Visit the information stands on participation rules, contracts and IPR For further information