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Participation & Dissemination
Rules for
the 6th Framework Programme
2002-2006
(EC)
Jean-David MALO
DG RTD - Unit A3
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 1
Not legally binding
Legal Framework
INTERNATIONAL
AGREEMENTS
FRAMEWORK
PROGRAMME
SPECIFIC
PROGRAMS
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 2
EC
TREATY
Other relevant EC
Regulations:
e.g. EC Financial
Regulations
(Budgetary Law)
PARTICIPATION
AND
DISSEMINATION
RULES
CONTRACTS
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 20/07/2015 3
Not 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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 4
Not legally binding
Contract Structure
 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 5
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 20/07/2015 6
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 20/07/2015 7
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 20/07/2015 8
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 20/07/2015 9
Not 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.
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 10
Not legally binding
PARTICIPATION/FINANCING
PARTICIPATION 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 European Rightfully
interest
Rightfully
Russia, New Independent States,
Rightfully over and above Within the limits of the budget available for
Mediterranean Countries, Developing
the minimum threshold
international co-operation activities in the
countries (with or without a co-operation
context the thematic priorities
agreement)
Third countries having a co-operation Rightfully over and above If Community contribution is necessary and
agreement
the minimum threshold
foreseen by the Work Programme
Other third countries
Other international organisations
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 11
If participation is foreseen
or if it is necessary for
carrying out the project
Rightfully over and above
the minimum threshold
If Community contribution is foreseen or if it is
essential for carrying out the project
If Community contribution is foreseen in the
work programme or if it is essential for
carrying out the project
Not 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 12
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 20/07/2015 13
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 20/07/2015 14
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 20/07/2015 15
Not legally binding
Key issues in the
evaluation of STREPs
•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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 16
Not legally binding
Key issues in the
evaluation of CAs
•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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 17
Not legally binding
Key issues in the
evaluation of SSAs
•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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 18
Not 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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 19
Not legally binding
How?
Implementation
 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 20/07/2015 20
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 20/07/2015 21
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 20/07/2015 22
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 20/07/2015 23
Not legally binding
Financing
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 24
Not legally binding
Financing
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 25
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 20/07/2015 26
Not legally binding
Financial regime of NoE

The average annual grant to a network could vary with
the number of researchers as follows:
50 researchers
100 researchers
150 researchers
250 researchers
500 researchers
1000 researchers and above
€ 1 million/year
€ 2 million/year
€ 3 million/year
€ 4 million/year
€ 5 million/year
€ 6 million/year
(for intermediate numbers, the grant would be calculated
by linear interpolation)

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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 27
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 20/07/2015 28
Not legally binding
Financing
Where 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 20/07/2015 29
Not legally binding
Financing
For instruments with no R&TD and/or demonstration
activities
 100% of the supplementary costs whatever the
instrument and its activities, providing a real cofinancing 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 20/07/2015 30
Not legally binding
Financing
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 cofinancing 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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 31
Not legally binding
Financing
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 ;
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 32
Not legally binding
Financing
For 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 20/07/2015 33
Not legally binding
Financing
Type 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 20/07/2015 34
Not 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 35
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 20/07/2015 36
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 20/07/2015 37
Not 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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 38
Not 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
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 39
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 20/07/2015 40
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 20/07/2015 41
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 20/07/2015 42
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 20/07/2015 43
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 20/07/2015 44
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 20/07/2015 45
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 20/07/2015 46
Not legally binding
Principles
 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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 47
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 20/07/2015 48
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 20/07/2015 49
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 20/07/2015 50
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 20/07/2015 51
Not legally binding
FP6 System of Access Rights
Access rights to
pre-existing know-how
For carrying out
the project
Access rights to
knowledge
If a participant needs them for carrying out its own work
under the project
Royalty-free
Royalty-free
unless otherwise agreed
before signing the contract
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)
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 52
Not legally binding
For further information
General FP6 Site :
http://europa.eu.int/comm/research/fp6/index_en.ht
ml
Instruments :
http://europa.eu.int/comm/research/fp6/networksip.html
Contracts :
http://europa.eu.int/comm/research/fp6/working groups/model-contract/index_en.html
RTD-A.3 Legal Unit - Participation rules for FP 2002-2006 20/07/2015 53
Not legally binding