megan richardsheysel 6fp launch conference 11,12, 13 november 2002 11/11/2002 rules for...

Megan Richards Heysel 6FP launch conference 11,12, 13 November 200211/11/2002

Rules for Participation and contractual issues for Integrated Projects

in the Sixth Framework Programme

Megan RICHARDSEuropean Commission


Rules for Participation

Contractual Provisions

Financial Provisions

Intellectual Property Rights

Outline


Rules for Participation Contractual ProvisionsFinancial ProvisionsIntellectual Property Rights

Presentation Outline


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


Entities established in third Entities established in third countries and International countries and International organisationsorganisations

SPECIFIC PROGRAMME I - INTEGRATING PARTParticipation 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


Work Programme and Calls for Proposals determine :Minimum number of participants and place of

establishment beyond Rules limitsAdditional evaluation criteriaWhether 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


Rules for Participation Contractual ProvisionsFinancial ProvisionsIntellectual Property Rights



Simplification : Reduction of the number of contracts Collective approach Greater flexibility Greater autonomy for participants

General Contractual Principles


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


Supplemented by guidelines when necessary

Financial (including auditing, cost methodologies) Negotiation (including technical annex) Consortium agreement (including IPR) Project management (including reporting)

Guidelines


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


Technical Responsibility (applicable to all instruments) Financial Responsibility - New

Used as a last resortLimited 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 debtsfor specific actions for SME’s and fellowships and, when duly justified, specific support actions

Collective Responsibility of Participants


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


Rules for participationContractual Provisions Financial ProvisionsIntellectual Property Rights



New - Cost categories not requiredCosts must be :

actual, economic and necessary for the project

incurred during the duration of the projectrecorded 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


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


Grant for integration

Grant to thebudget

Grant as a lump sum

Networks of Excellence Integrated ProjectsTargeted research projectsSpecific Research activities for SMEsIntegrated initiatives for InfrastructureActions to promote human resources and mobilityCoordination actionsSpecific support actions

Financing Schemes


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


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

Maximum Reimbursement rates of Costs

Research & technological development /

Innovation

Demonstration TrainingManagement

of the consortium

FCCONTRACTORS 50% 35% 100%

100%up to 7% of the contribution

FCF CONTRACTORS 50% 35% 100%100%

up to 7% of the contribution

ACFCONTRACTORS 100% 100% 100%

100%up to 7% of the contribution

(1)


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


Financial irregularity - exclusion from evaluation/selection:

Recovery decisions (article 256 EC Treaty)

Other sanctions in contract (overclaims)

Sanctions


Force Majeure

Prolongation and suspensionof the Project

Amendments

Termination

Other Provisions in General Conditions


Rules for ParticipationContractual ProvisionsFinancial Provisions Intellectual Property Rights



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


Use and Dissemination Contractors shall use their knowledge Dissemination required if not adversely

affecting protection or use, Commission may disseminate if contractors do not



Access RightsBasic 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



Access Rights

Access for Execution of ActionAccess 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)



Access Rights

Access for UseAccess 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



System of Access System of Access RightsRights

Access rights to pre-existing know-how

Access rights to knowledge

If a participant needs them for carrying out its own work under the projectFor carrying

out the projectRoyalty-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)


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.htmlVisit the information stands on participation rules, contracts and IPR

For further information

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