This section describes the conditions of participation in activities within the Fifth Framework Programme, the process whereby the Commission selects among the proposals submitted to it, and the manner in which selected projects should be carried out. It is based on the Annex IV of the decision on the Fifth Framework Programme [10], the decision on the rules of participation [11], and other subsequent texts or documents [12].

III.1. The participants

III.1.1. Who ?

The Framework Programme, with its corresponding financial support, is open to all legal entities established in the Member States of the European Union – e.g. individuals, industrial and commercial firms, universities, research organisations, etc. including SMEs. The Programme is also open to all legal entities established in any of the other States associated to the Programme (see box 4). Participation and financing for legal entities established in other countries (‘third countries') is governed by common conditions which are applied throughout the Fifth Framework Programme (see boxes 3 and 4), with the exception of the Programme ‘Confirming the international role of Community research’ under which some entities are entitled to receive Community funding depending on their country of origin [13].

III.1.2. How many?

Proposals submitted to the Commission should demonstrate a Community dimension. As a general rule, this means that they should involve at least two legal entities, independent of each other, and established in two different Member States, or one Member State and one Associated State. (The Joint Research Centre of the European Commission is considered as a participant of a Member State). However, certain actions may vary from this general rule - either by requiring more participants or by permitting a single one (see box 6).

III.1.3. Role of the participants

Participants in a proposal fall into a number of different legal categories, according to the type of activity proposed and the nature of a participant’s role in it (see box 6 and III.5.3.).

III.2. Proposal submission

III.2.1. call for proposals

Calls for Proposals published in the Official Journal will open certain parts of a Specific Programme’s Work Programmes for proposals, indicating what types of actions (RTD projects, Accompanying measures etc.) are expected. In addition to those with a fixed closing date, the Commission will open certain Calls on a longer ‘open’ basis, with periodic evaluation of received proposals. A provisional timetable for the Calls of a Specific Programme is included in each Work Programme. A Call may address the full programme, a key action, one or several research themes, areas, sectors, action lines, objectives, topics. In order to ensure co-ordination among the Specific Programmes, common Calls may be published. The objectives to be achieved may also be fully detailed, for example in the case of key actions or dedicated calls[14]. Proposals submitted under a Call shall be subject to a selection process presented in section III.4. Certain Accompanying Measures may however be based on spontaneous applications or on a call for tender, and shall therefore be subject to a different process[15].

III.2.2. Submission

Participants should complete the appropriate Proposal Submission Form corresponding to the type of action involved, preferably using the software tool that the Commission supplies: The Proposal Preparation Tool or ‘ProTool’, available at the following address: http://www.cordis.lu/fp5/protool. Proposals must be completed in full as detailed in the Guide for Proposers Part 2. In addition, experience in previous Calls shows that a number of general recommendations, provided in box 9, may be helpful. Participants have the choice to submit proposals either electronically or on paper. Submission takes place in the following steps, which are detailed in Part 2 of this Guide.

The co-ordinator may request a pre-proposal check from the Commission, if this service is offered for the call concerned.

The proposer may be required in the Call for Proposals to submit a request for a proposal number. This form (Notification of Intention to Propose) is sent to the Commission services via fax or electronic mail.
The requested proposal number is sent back to the proposer by fax or electronic mail from the Commission.
The proposal is prepared either in electronic or paper form, preferably using ProTool.
The co-ordinator checks the proposal against the key recommendations (Box 9)
*Electronic submission* The submitting partner in the consortium seeks certification for the Programme.	*Paper submission* The proposal is sent to the Commission in the form of five bound paper copies and one unbound original.
The proposal is submitted electronically following the instructions given with ProTool.

III.3. Proposal evaluation

III.3.1. General principles

The evaluation of proposals will be based on the fundamental principles of transparency and equality of treatment. The entire selection process and the description of the criteria by which the proposals will be evaluated are presented in the Evaluation Manual (see also box 5 and Appendix 6 of Part 2 of this Guide). In general, and in order to help the Commission, panels of independent, external experts[16] will be constituted covering a wide range of relevant expertise, without linguistic or geographic bias. Proposers’ confidentiality will be fully respected, both to avoid conflicts of interest and to preserve the impartiality of the independent experts.

III.3.2. Conformity check and eligibility

On receipt, all proposals will be subject to a validation process, to ensure they conform to the requirements of the Call, of the submission procedure and of the rules for participation. Only proposals that conform to these requirements will be subject to evaluation.

III.3.3. Evaluation

Proposals will be evaluated according to criteria grouped into five categories, as laid down in the Work Programme applicable to the relevant call. The content and the respective weighting of the criteria are described in the Evaluation Manual. Programme specific information on evaluation may also be explained, if appropriate, in Part 2 of this Guide. Ethical aspects and safety aspects have to be taken into account in the process. The experts examine proposals individually, then meet as a panel to agree a ranking. At this stage, they may recommend that certain proposals should be combined into larger projects or linked together as clusters (see section I.3.3). Following the evaluation, and according to the interest of Community, the Commission will establish a list of proposals in order of priority. This list will take into account the budget available (which has been set out in the call for proposals) plus, if necessary, a percentage of the call budget to allow for withdrawal of proposals and/or savings to be made during contract finalisation. Late or ineligible proposals, those of inadequate quality or for which there is not adequate budget will be subject to a “non-retained” decision by the Commission. This information, with the main reason for non- retention, will be communicated to the proposers concerned.

III.4. Proposal selection

The co-ordinators of proposals, which have been retained, will be notified in writing. This notification however does not ultimately commit the Commission to fund the project concerned. A brief report on the evaluation prepared by the Commission will be sent to the proposers via the proposal co-ordinator. Further administrative and financial information will be required to assess the viability of the proposed project. Hence, participants will have to demonstrate that they have all the necessary resources[17] needed for carrying out the project. The Commission will check these, and may seek to safeguard its interest by asking for a bank guarantee or by other measures. The Commission may also propose modifications to the original proposal based on the result of the evaluation, or in terms of grouping or combination with others. On successful conclusion of these negotiations, the Commission will then offer contracts for the commencement of work, based on a timetable determined by the needs of the Specific Programme concerned. Any proposal, which is finally not taken up, due to a lack of available funding for example, will be subject to a “non-retained” decision by the Commission. This information, with the main reason for non-retention, will be communicated to the proposers concerned.

III.5. The contract

Contracts are issued to proposals successful in the procedure of selection.

III.5.1. The various types of contracts

Research contracts from the Commission fall into five main groups. They each have their own detailed conditions, appropriate to the types of action and the activities to which they refer. (see boxes 6, 7 and 8).

III.5.2. The subject of the contract

The main obligation of the participants is to carry out the project to completion in a pre-arranged period, and to make use of or disseminate its results. In return, the Commission undertakes to contribute financially to the realisation of the project, normally by reimbursing a certain percentage of the project costs[18].

III.5.3. Rights and obligations of participants

These may vary according to the nature of the action or the category of participant: · For Research and Technological Development (R&D) projects, Demonstration projects and Combined projects, a participant who has a wide-ranging role in the project throughout its lifetime is normally a principal contractor. A participant whose role is largely in support of one or several of these principal contractors is termed an assistant contractor . Principal contractors are distinguished from assistant contractors in two main ways: - all the principal contractors are collectively responsible to the Commission for the execution of the project and shall use reasonable endeavours to obtain the expected results; - principal contractors have rights of access to the results of the project and any pre-existing know how. Assistant contractors have limited rights. (see Box 8) · For support for access to research infrastructure, the host infrastructure is a principal contractor [19], who is responsible for the implementation of the action. · For SME co-operative research projects, SMEs benefiting from the project are principal contractors. Organisations performing the research, named RTD performers, are subcontractors and, as such, are not considered to be "participants"[20]. · For Exploratory awards, SMEs are principal contractors. For both SME Co-operative research projects and SME Exploratory awards, principal contractors share responsibility and have the same access to intellectual property rights. It should be noted that RTD performers, although they are not considered to be "participants", can have access to the know-how necessary to perform the research, and, in specific cases, to the knowledge resulting from the projects (see Box 8). · Concerted Actions, Research Training Networks and Thematic Networks distinguish between the principal contractor(s) [21] who lead the action, and the members who are associated with them. Principal contractor(s)[22] sign a membership contract with their members, with the prior agreement of the Commission and in conformity to their own Commission contract, and share with them joint and several responsibility, in relation to the carrying out of the project.. This distinction does not affect intellectual property rights. · For Accompanying Measures, the participants role shall vary according to the nature of the action (see Box 6). Principal contractors share joint and several responsibility. In Accompanying Measures specific to technology take-up members can participate. · For Fellowships, the Commission’s contract is normally offered to the host institution, which then signs an agreement with the Fellow, conforming to the terms of the Commission’s contract. Exceptionally, in the case of bursaries for Community Researchers (INCO 2), the Commission contract may be with the individual personally. In general, intellectual property rights shall be addressed in the agreement signed with the individual and according to the national legislation of the host institution. Participants in an action may conclude between themselves any agreements necessary to the completion of the work, provided these do not infringe on their obligations as stated in the contract they sign with the Commission.

III.5.4. The co-ordination of the project

Within a consortium, participants shall designate one of the principal contractors to carry out the co-ordination function [23]. The co-ordinator is the liaison between the participants and the Commission, responsible for collecting, integrating and submitting project deliverables, and for distributing the funds received from the Commission. The costs incurred by the co-ordinator in the fulfilment of his responsibilities can be claimed as direct or indirect costs (see boxes 6 and 7). It should be noted that the successful management of the project is a joint commitment of all the participants. They may however agree amongst themselves to confer upon the co-ordinator additional responsibilities, provided this does not infringe on their obligations as stated in the contract they sign with the Commission.

III.5.5. Subcontractors

Sub-contractors are not participants in a project. Their function is only as service providers to a principal contractor, an assistant contractor or a member, who fully funds their activity. The costs are then reimbursable by the Commission according to the rules of the contract in force. Sub-contractors make no financial investment in the project, and they therefore do not benefit from any intellectual property rights arising from its achievements (see boxes 6 and 7).

III.6. Project follow-up

In order for the Commission to verify the execution of the contract, participants are required to submit, via the co-ordinator interim and final reports as well as reports of costs incurred. These reports will be analysed by Commission services in the light of the criteria, which led to the original selection of the proposal This will ensure the project conforms to the conditions associated with the Community financial contribution, and that the progress foreseen actually takes place. The reports are also used to assess whether and in what manner the project should continue to be supported. In addition, and conforming to objectives stated in the Fifth Framework Programme decision concerning the use and dissemination of results, the Commission will follow-up the implementation of the results of the project. Therefore participants are in general required to produce a “Technology Implementation Plan” indicating how the knowledge gained will be used. The Commission will ensure, where necessary, the confidentiality of these data.

III.7. Financial contribution of the Community

The Commission undertakes a financial contribution to the work. With the exception of those cases where the Commission's contribution takes the form of a lump sum payment, the Commission reimburses eligible costs incurred by participants as the project progresses. Payment is made in instalments at regular intervals.

III.7.1. Incurred eligible costs

Participants are required to identify and declare their eligible costs by the submission of interim and final cost statements based on the actual costs incurred for the execution of the project. Participants must retain supporting documents, which justify these costs, for at least 5 years from the end of each payment, to permit auditing by Commission services or other institutions, e.g. the European Court of Auditors. The different categories of costs that are eligible for Commission funding differ according to type of contract (see Boxes 6 and 7).

III.7.2. Calculation methods

A number of different methods are used to calculate the Commission funding, depending on the type of action involved and on the participant’s capacity to identify his incurred costs (see boxes 6 and 7). For Research and Technological Development projects, Demonstration and Combined Research and Demonstration projects, three calculation methods are used: full cost actual overhead (FC), full cost flat rate (FF) and additional cost (AC). For Accompanying Measures, one calculation method is used for all participants. The overhead may be calculated as a flat rate of the personnel costs and in some cases no overheads may be allowed. For technology take-up measures not all cost categories may be allowable. For Concerted Actions and Thematic Networks, all participants use the additional cost model (AC), so overheads are calculated as 20% of all direct costs (except subcontracting). Use of permanent staff is allowed for all types of organisations if accurate time records are kept.

III.7.3. Payment of the contribution

The Community contribution is paid in Euro, in a number of regular instalments based on cost claims submitted by participants with their interim and final reports. The Commission may make advance payments at the beginning of the project, contingent on verification of the participants’ financial standing. In certain circumstances the Commission may request financial or other guarantees to ensure the security of any advance payment made. This is particularly necessary for those shared-cost actions where the participants themselves are expected to support part of the cost.

III.8. Assistance available to proposers

The EC carries out a range of activities in support of potential proposers. These vary as appropriate according to the nature of the Call and the Specific Programme concerned. Therefore, they are detailed in the Guide Part 2. For each programme there is a network of National Contact Points in Member and Associated States. The National Contact Points can be helpful to organisations from their country in finding partners from other countries, and in assisting in procedural or administrative matters. There are a number of other networks such as Innovation Relay Centres, Euro Info Centres etc., which potential proposers may also consult. The European Commission maintains an Infodesk for each programme of the Fifth Framework Programme for the duration of their Calls. Any questions concerning the Call not covered in this document nor in the material available at the programme web site may be directed to the Infodesk, whose address is included in the Call specific information in the Guide Part 2. The Infodesk will post any last-minute information concerning the Call on the programme website, which potential proposers should check periodically for this reason. The certification service provider has established an EU-wide support network for proposers in the national languages. Details are given on the web page relating to this service (http://www.fp5.csp.org). The Commission may organise “Info-days”, to disseminate information about the Fifth Framework or a particular Call, and also to provide an occasion for proposers to meet potential consortium partners. The Commission’s CORDIS server in Luxembourg (http://www.cordis.lu/fp5/) offers a number of services and information sources which may be useful in particular to support partner search activities. It also contains details of organisations which have already expressed an interest in participating to the different programmes under the Fifth Framework Programme. In addition, the CORDIS website offers targeted information concerning both implementation modalities of the specific programmes as well as financial and administrative management aspects.

Box 3 - Co-operation with non-EU Countries and International Organisations

Opportunities for participation in proposal consortia In planning a RTD proposal for submission to one of the programmes or to the key action ‘Improving the socio-economic knowledge base’, researchers should be aware that it is also open to participation by entities from non-EU countries and to international organisations. The opening falls into three categories and in all cases, the third country/international organisation participant must be included as a participant in the original proposal submitted: (i) Countries associated to FP-5: For each of these countries, institutions may participate and be funded, with similar rights and responsibilities to EU Member State participants, once the Association Agreements come into force (see box 4). (ii) Project by project participation: This participation will be on a self-financing basis and this option is open to all non-associated European countries, to Mediterranean partner countries, to countries with which the EU has an S&T Agreement, and to international organisations, as long as the participation is in conformity with the interest of the Community. (iii) All other countries: For countries not covered by the above categories, participation in FP-5 projects on a self-financing basis will be possible if the participation is in conformity with the interest of the Community and is of substantial added value for implementing all or part of the specific programme. The interest of the Community and the substantial added value must be clearly indicated in the proposal. The conformity with the interests of the Community will be assessed with particular regard to the contribution to one or more of the following (as laid down in Council Decision): the needs of other Community policies in support of which the RTD actions are carried out; providing appropriate incentives for maintaining and creating jobs in the Community; promoting sustainable development and improving the quality of life in the Community; strengthening the international competitiveness of Community industry; the existence of S&T co-operation agreements between the Community and third countries or international organisations. Substantial added value may refer for example to cases where the third country participant is a generally recognised, top-level specialist in the field of the proposal or has access to unique resources which are of great importance to the project but which are not available in Europe, or where third country participant offers the prospect of opening new markets for the European participants. In exceptional cases, Community financing for the third country participant or international organisation may be provided by the programme if it is essential for achieving the objectives of the project1, i.e. if the contribution of the participant cannot be provided by any other means and the project cannot be carried out without that participant. For country groupings, see box 4 1 Additional rules are foreseen in the Specific Programme “Energy, environment and sustainable development” which provide for financial support to those entities where their participation is beneficial and offers added value for achieving the objectives of the Programme.

Box 4 - Participation from non-EU countries in FP5 1

For latest information on entry into force of these agreements, please consult: www.cordis.lu/fp5/src/3rdcountries.htm or contact the Programmes' Information Desk

Associated States

may participate

with

Community

funding

CANDIDATES

FOR EU-

MEMBERSHIP

BULGARIA, REPUBLIC OF CYPRUS, CZECH REPUBLIC, ESTONIA, HUNGARY, LATVIA, LITHUANIA, POLAND, ROMANIA, SLOVAKIA, SLOVENIA : in force.

For MaltaandTurkey, please see footnote 3 and 4

EFTA-EEA

ICELAND, LIECHTENSTEIN, NORWAY: in force.

OTHERS

ISRAEL : in force.

SWITZERLAND 2 : entry into force expected on the 1.1.2001.

Third States 6

may participate

without

Community

funding

(exceptionally with Community funding

when duly justified as being essential for achieving the objectives

of the project)

OTHER EUROPEAN

ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV REPUBLIC OF MACEDONIA, SWITZERLAND 2

MALTA 3 and TURKEY4 are also shown under Mediterranean Partnership.

MICROSTATES AND TERRITORIES IN EUROPE5

EUROPEAN

NIS

ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, MOLDOVA, RUSSIA, UKRAINE.

MEDITERRANEAN PARTNERSHIP

ALGERIA, EGYPT, JORDAN, LEBANON, MALTA3, MOROCCO, PALESTINE AUTHORITY, SYRIA, TUNISIA, TURKEY4.

All above countries may participate project by project if in conformity with the interests of the Community and on a self financing basis.

COUNTRIES

WITH

CO-OPERATION

AGREEMENT

ARGENTINA (1st activity of FP5), AUSTRALIA (1st activity of FP5), CANADA (1st activity of FP5), CHINA (1st activity of FP5), SOUTH AFRICA (FP5), USA (FP5) : in force.

RUSSIA (1st activity of FP5):

Agreement signed.

The above countries may participate in the fields covered by the Co-operation Agreement, once in force, and on a self financing basis (until then, Russia may participate as an European NIS).

ANY OTHER COUNTRY

May participate project by project if in conformity with the interests of the Community and on a self financing basis, only if its participation is also of substantial added value for implementing all or part of the specific programmes in accordance with its objectives..

INTERNATIONAL ORGANISATIONS 7

May participate project by project if in conformity with the interests of the Community and on a self financing basis.

Participation from third States and of International Organisations must take place together with the minimum number of legal entities from the Community and any Associated States. 1 Different rules apply for the specific programme ‘Confirming the international role of Community research’ (except for Associated States) and the EURATOM Framework Programme 2 According to Swiss authorities, this association agreement could enter into force on the 1st of January 2001 at the earliest. Meanwhile, Swiss legal entities shall be considered as those of any other third European country. 3 An association agreement with Malta is foreseen to be negotiated in 2000. Should this agreement be concluded, the status of Associated State shall take precedence over any other. Meanwhile, Maltese research entities participate to the activities of FP5 as “other European”. They are also shown under Mediterranean Partnership. For latest news, www.cordis.lu/fp5/src/3rdcountries.htm. 4 Turkish research entities participate to the activities of FP5 as “other European”. They are also shown under Mediterranean Partnership. For latest news, www.cordis.lu/fp5/src/3rdcountries.htm. 5 Andorra, Monaco, San Marino, Vatican City State (Holy See), Faeroe Islands (DK), Channel Islands (GB), Isle of Man (GB), Svalbard and Jan Mayen Islands (NO). 6 In the case of a country becoming associated to FP-5, that status takes precedence over any other 7 Community funding may also be granted if it is foreseen to use the facilities of an international organisation that are based in a third country, should this use be essential for achieving the objectives of the project.

Box 5 - Main milestones of the selection process

Реферат: Quality of life and management of living resources

BOX 6 – Indicative Typology of Contracts

PARTICIPANT

CONTRIBUTION

DIRECT COSTS

INDIRECT COSTS

Principal Contractor

Assistant contractor

Member

Calculation Method *

Percentage funding

Personnel

Durable equipment

Subcontracting

Travel and subsistence

Consumables

Computing

Protection of knowledge

Other specific costs

Co-ordination costs

Access

RTD performer

Overheads

SHARED COST ACTIONS7

R&D project

min 2

yes

FC, FF

and AC

FC, FF: 50%

AC: 100%

Yes

yes

FC: (actual rate)x(personnel)

FF: 80%x(personnel)

AC: 20%1

Combined project

FC, FF: 35 or 50%

AC: 100%

Demonstration project

FC, FF: 35%

AC: 100%

Support for access to research infrastructures

Up to 100%

yes

20%1

Up to 100%

yes

SME co-operative (CRAFT)

min 3 SME

FC, FF

50%

yes

(actual rate)x(personnel)

Exploratory awards

min 2 SME

Fixed amount

75%2

TRAINING FELLOWSHIPS

Marie Curie Host Fellowships

institution

min 1 fellow

Fixed amount

Marie Curie Individual Fellowships

1 fellow

Developing countries Fellowships

1 fellow

Fellowships for Community Researchers

fellow

SUPPORT TO NETWORK

Thematic network

min 1

yes

Up to 100%

yes

Yes

20%1

Training network

min. 4

Up to 100%

Yes

20%1

CONCERTED ACTIONS

min 1

yes

Up to 100%

yes

20%1

ACCOMPANYING MEASURES

Accompanying measures 3

min 1

Up to 100%

yes

Yes

yes

yes5

Euro conference

Up to 100%

yes

yes4

yes

None

Technology Take-up

min 1

yes

Up to 100%

yes

yes6

* FC = Full Costs/ FF= Full costs Fixed rate/AC= Additional Costs/ UF = User Fee. For more information, see Box 7. 1 Direct costs, excluding subcontracting costs 2 Up to maximum of €22,500 3 For subsidies, see the Vademecum on grant management and com pv(98) 1395 4 Organisation costs (see specific Guide for Proposers Part 2) 5 Overhead is calculated as a lump sum of the personnel costs (not exceeding 80%). 6 The eligible cost categories for each of the types of technology take-up measures are referred to in the relevant Guide for Proposers, Part 2 7 Two alternative contracts are available respectively to the R&D and the Demonstration. One is the “Deliverables”, by which the contribution is paid in pre-set amounts and adjusted with the final payment on the basis of actual costs for the whole contract. The other is the “flat rate” (for projects estimated less than 100 000 euro) by which the contribution consists of a fixed amount based on the estimated costs for the work.

Box 7 - Methods for the calculation of EC funding

Full cost (FC) The participant can identify all the direct and indirect costs related to the project. He should be able to demonstrate that his accounting system enables the identification of those costs with sufficient precision. FC = total direct costs + actual overhead rate. Full costs Flat rate (FF) The participant who may participate on a full costs basis or who can identify his direct costs related to the project (temporary and permanent staff) but not the indirect costs linked to the project may elect the overhead to be charged on a flat rate basis, 80 % of the direct personnel cost. Additional cost (AC) - in R&D projects Subject to the specific contract terms, the Commission shall only take into account the project’s additional (non recurrent) costs. AC = total direct additional costs + x% overhead on direct costs (excluding subcontracting) (for x% see Box 6). Additional cost (AC) - in Concerted Actions/Thematic networks and Euroconferences The Community funding shall only cover the direct costs necessary for the action, however, costs for permanent staff are eligible if time records are kept. AC = total direct additional costs + x% overhead on direct costs (excluding subcontracting) (for x% see Box 6). User Fee (UF) This system is only used in the context of projects providing access to research infrastructure. It is based on a "unit cost", which is a fixed composite rate, for each access. Travel and subsistence costs and a flat rate contribution for general expenses are added. The participant should be able to demonstrate that his accounting system enables him to calculate with sufficient precision the "unit cost". UF = ((unit cost x quantity of access) + travel and subsistence costs) + 20% overhead. Costs categories A cost shall be considered as eligible only where it is necessary for and during the project and is provided for in the contract. It shall be reimbursed if the amount has actually been spent and recorded in the accounts. No profit may be included. Personnel costs: subject to the contract terms, scientific and technical personnel; time devoted to the project shall be recorded. Durable equipment: subject to the contract terms, equipment shall be reimbursed according to a depreciation period (for computer equipment that cost less than 25.000 Euro the depreciation period is 36 months, for all other equipment the depreciation period is 60 months) and its use on the project; equipment leased shall be reimbursed without exceeding the eligible cost if it were to be purchased. Subcontracting: external services. Travel and subsistence: travel outside the European Union or an Associated State needs the prior approval of the Commission, except for visiting a participant. Consumables: only project specific items. Computing: only project specific items. Protection of knowledge: subject to contract terms, only with prior approval of the Commission Other specific costs any cost necessary for the project, not falling within a defined category and having received the prior approval of the Commission Co-ordination costs: costs for the financial/administrative administration (personnel, travel and all other cost categories apart from subcontracting) incurred only by the co-ordinator - the financial/administrative co-ordinator in case of split between scientific and administrative co-ordinator - in order to fulfil his tasks. Access: only for Support for access to research infrastructure; user fee related to visiting scientist. RTD performer only for SME co-operative research project; cost of research performed by a non-participant. Overheads: subject to the contract terms, either an actual rate (FC), or a flat rate (FF) calculated on personnel costs or on the direct additional costs (AC) excluding subcontracting, or as a lump sum of personnel costs (Accompanying Measures).

BOX 8 - Intellectual Property Rights

The following table lists the access rights (license on a patent, other users rights) to knowledge (intellectual property created during the project) and know-how (pre-existing intellectual property) as a function of the different types of actions and participants.

		Knowledge		Pre-existing know-how necessary for the execution of the project or to use its Knowledge
		*Access rights for the execution of the project*	*Use**	*Access rights for the execution of project*	*Use*
Research and technological development Project	*Principal Contractor*	Royalty-free	Royalty-free (1) to all knowledge	Favourable conditions	Favourable conditions
	*Assistant Contractor (2)*	Royalty-free / Favourable Conditions	Favourable Conditions/ Market conditions (1)	Favourable Conditions/ Market conditions	/
	*Principal Contractor of the same specific programme*	Favourable Conditions	Market conditions
Demonstration Project	*Principal Contractor*	Royalty-free	Favourable Conditions for Exploitation only, to all knowledge	Favourable conditions	Favourable conditions for Exploitation only
Demonstration Project	*Assistant Contractor (2)*	Royalty-free / Favourable Conditions	Favourable Conditions/ Market conditions for Exploitation only	Favourable Conditions/ Market conditions	/
Combined R&D/ Demonstration Project	*Principal Contractor*	In general, IPR rules for R&D projects shall be applied to R&D workpackages, and IPR rules for Demonstration projects to Demonstration workpackages. If the identification of the various workpackages is impossible, IPR rules for R&D projects shall apply if the total EC contribution to the project as a whole is superior to 42,5% of its total cost. If the figure is equal or inferior to 42,5%, IPR rules for Demonstration projects shall then be applied.
Combined R&D/ Demonstration Project	*Assistant Contractor (2)*
SME co-operative Research Project	*Principal Contractor (SME)*	Co-ownership (3)	Co-ownership (3) for Exploitation only	Royalty-free	Favourable Conditions for Exploitation only
SME co-operative Research Project	*RTD* *performer* *(non- participant)*	Royalty-free		Royalty-free
Concerted Action	*Principal Contractor*	The knowledge which is suitable for dissemination will be disseminated
Concerted Action	*Member*
Networks	*Principal Contractor*	The knowledge which is suitable for dissemination will be disseminated
Networks	*Member*
Fellowships	*Host Institution*	The ownership of knowledge will be determined by the Host Institution according to the applicable law. The knowledge which is suitable for dissemination will be disseminated
Fellowships	*Grant holder*
Accompanying Measures	*Principal Contractor* *& in particular cases Members*	The ownership of knowledge will be determined regarding to the Community financing level. As the case may be, use or dissemination will prevail.

(*) Access rights to knowledge for the purpose of use are limited to knowledge generated under the project concerned. (1) Contractors and Assistant Contractors unable to exploit their own knowledge might grant access rights at reasonable financial or similar conditions, instead of royalty-free. (2) More favourable conditions when beneficiary requests access from its principal contractor or the other assistant contractors of the latter. (3) SME Contractors are the owners of all knowledge resulting from the research work carried out by the RTD performers.

Box 9 - Key recommendations

ü Eligible partners: Check first that you and your partners are eligible for participation in the Programme (for example: your organisation must have a registered legal existence, there are minimum consortium conditions etc.) and also that you are eligible for the particular activity involved (some activities may be reserved e.g. for SMEs, organisations in particular sectors of industry..etc.) ü Specific actions and RTD objectives: Check that your proposed work does indeed address an activity included in the current Call . Ineligible proposals, or proposals not addressing activities open in the Call, will be excluded from evaluation. ü Selection criteria: Any proposal evaluated below the thresholds will not be considered for funding. ü Management: Clearly indicate ability for high quality management adapted to the size of the project. ü Content: Good proposals show consistency with the five selection criteria. ü Ethical issues: Clearly describe any potential ethical aspects and applicable regulatory aspects of the research to be carried out and the way they are dealt with according to national regulations. ü Presentation: Good proposals are drafted in a clear and easily understandable way. Good proposals are precise and concise, not “wordy” - evaluators judge on content, not on number of pages. ü Results: Good proposals clearly show the results that will be achieved, and how the participants intend to diffuse or exploit these results. ü Completeness: Proposals must be complete, as they are evaluated only on the basis of the written material submitted. Follow the format of the Proposal Submission Form. You are highly recommended to use the ProTool software supplied free of charge by the Commission to proposers. ü Partnership: Partners should discuss and agree beforehand their respective roles and responsibilities. ü Contract: Check that the model contract conditions for the type of work that you are proposing are acceptable for your organisations. ü Competition: There will be competition, and a weak element in an otherwise good proposal might make it lose out to others. Therefore edit your proposal tightly, strengthen or eliminate weak elements. Last but not least: Arrange for your draft proposal to be evaluated by experienced colleagues before sending it, using the evaluation criteria described in the Evaluation Manual and in Appendix 6 (PART 2). Use their advice to improve it before submission.

Notes – PART 1

[1] On the 22/12/98, the Council also decided on the Fifth Euratom Framework Programme for research and training (CORDIS : http://www.cordis.lu/fp5/src/decisions.htm) The specificity of the latter will be described in a separate information document. [2] It will also carry out research and development activities conducted by the Joint Research Centre [3] In the Decisions adopting the Specific Programmes, there can be no derogation from the financial participation rates set out here, with the exception of duly justified special cases [4][4] The rates may need to be adjusted in individual cases to comply with the Community framework for State aid for R&D (O.J. C 45, 17.2.1996) and with article 8 of the WTO Agreement on subsidies and countervailing measures (O.J. L 336, 23.12.1994). If the project is supported financially by a Member State or one of its public bodies, the cumulation rule applies, according to item 5.12 of the above mentioned Community framework. [5] In the special case of legal entities which do not keep analytical accounts, the additional eligible costs generated as a result of the research will be financed at the rate of 100 % [6] EC funding up to maximum of €22,500 [7] In the case of industrial host fellowships, this will normally approximate to 50 % of the total eligible costs [8] Mored detailed information on this area are given in an explanatory note, available from CORDIS at : http://www.cordis.lu/life/calls/199902.htm#refdocs [9] The implementation modality “Support for access to research infrastructure” should not be confused with “Support for research infrastructures”, which is part of the programme and supports various actions. The action “Support for access to research infrastructures” is supported by the horizontal programme “Improving human potential”. [10] European Parliament and Council Decision N° 1999/182/EC of 22 December 1998 concerning the Fifth Framework Programme of the European Community for research, technological development and demonstration activities (1998-2002) [11] Council Decision 1999/65/EC of 22 December 1998 concerning the rules for the participation of undertakings, research centres and universities and for the dissemination of research results for the implementation of the Fifth Framework Programme of the European Community (1998-2002) [12] Council Decisions on the specific programmes, Commission Regulation implementing the Council Decision 1999/65/EC concerning the rules of participation, Work Programmes of the specific programmes, model contracts, Evaluation Manual, . [13] See the Work Programme of the Specific Programme “Confirming the international role of Community research ” and its corresponding Guide for Proposers. [14] Such calls are based on Community need to support certain of its policies (standardisation, anti-fraud actions.) [15] See Vademecum on grant management and the rules for public procurement [16] Experts shall be selected following a Call for candidates. However, in exceptional cases, the evaluation process may be conducted without them. The Commission's services shall however follow the rules set out in the Evaluation Manual. [17] These include human resources, infrastructure, financial resources and, where appropriate, intangible property. [18] In certain exceptional cases by paying a fixed lump sum. [19] Anywhere where it is possible for easy reading, the word “contractor” may be used. [20] Specific rules related to their participation in this type of action can be found in the ad hoc information brochure devoted to SMEs. [21] A single contractor is possible in the case of Concerted Actions, Thematic and Training Networks [22] A single contractor is possible in the case of Concerted Actions, Thematic and Training Network Actions, where he carries out the co-ordinator role. [23] This role may in exceptional cases be carried by two contractors, with one responsible for the scientific co-ordination, and the other responsible for financial matters (e.g.: if the scientific co-ordinator is unable to receive Community funding due to his status, his location, his uncertain financial standing, or because he is unable to distribute funds to participants in due time).

Страницы: 1, 2