European Commission FROM THE PROPOSAL TO THE PROJECT ESSEN - 25-26 February 1999 1 Megan Richards - DG XII - European Commission CONFERENCE TO LAUNCH.

European Commission

FROM THE PROPOSAL TO THE PROJECT ESSEN - 25-26 February 19991

Megan Richards - DG XII - European Commission

CONFERENCE TO LAUNCH THE FIFTH FRAMEWORK

PROGRAMME 25-26 February 1999 ESSEN

From the Proposal to the Project Negotiating and following up the

ContractMegan RICHARDS

European Commission



I - Procedure after evaluation II - Negotiation III - Contractual aspects

a) Responsibilities of participants b) Allowable costs c) Other contractual aspects d) Special Clauses e) Reporting f) Follow - up

IV - Intellectual property rights V - Consortium agreement VI - Other types of action

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• I - Procedure after evaluation

“quick no”

negotiation

I -Procedure I -Procedure

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contract preparation form – same basis as proposal form

cost adjustments as per evaluation recommendations and contractual requirements

technical adjustments to work programme / clusters

financial and legal information - on the basis of financial and legal information Commission may request security - bank guarantees, blocked accounts, reduced / no advance

II - Negotiation

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a) Responsibilities of participants Coordinator

contact with Commission/submission of reports administration and financial aspects new : additional responsibilities

scientific coordination - editing of reportsgeneral supervisioninform Commission of budget transfersreport use of financial resources

No subcontracting of coordination (except CRAFT)

III Contractual aspects

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a) Responsibilities of participants (cont.) Principal Contractor

signatory joint and several liability to Commission for

carrying out the project full rights to own results they generate and to use

all project results obligation to protect and use results full rights of access on best conditions

(Affiliates - no more rights as contractors)


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a) Responsibilities of participants ( cont. .) Assistant Contractor

signatory (new) no joint and several liability right to own their results obligation to protect and use their results technical link to principal contractor(s) access rights less favourable

(subcontractors) not participants


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b) Allowable costs Cost basis

Full cost (50% EC contribution) or Additional cost (100% of additional costs)

OR Full direct costs with fixed overhead

new cost basis (EC pays 50% of all direct costs – overheads determined as flat rate of 80% of personnel costs)


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b) Allowable costs ( cont..) Personnel

Scientific and technical personnel onlyCoordinator can claim direct personnel costs of

coordination by administrative personnel

(new cost category) Additional personnel only for additional cost

participants (no permanent staff) Equipment

depreciated cost of equipment: depreciated over 60 months except for data processing equipment € 25,000 (36 months)


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b) Allowable costs (cont..) Travel

travel outside EU requires EC prior approval

Consumables Computing

External services <20% or € 100,000 - minor subcontract/ >20% -

major/EC approval


internal computing services/consumables not already included in overheads (for full cost participants)

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b) Allowable costs (cont..) Other specific costs

Require approval of Commission usually for prototypes, seminars, etc.

Overheads Actual overheads for full cost participants Limit of 20% on direct costs (excluding external

services) for additional cost participants Fixed rate of 80% of personnel for FFC (new)


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new : coordination costs now eligible per se, separate cost statement, administrative staff as direct cost – all other coordination costs identified in direct cost categories(if coordination split then only administrative/financial coordinator can claim costs of coordination)

new : IPR protection costs allowable for results generated during project and costs of protection arise during project – limited by budget availability (accompanying measure possible for other cases)

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c) Other contractual aspects start date of project - first day of month

after signature or fixed date (costs can be incurred only during life of project)

contract is valid upon signature by all contracting parties / terminates upon last payment by Commission or earlier according to provisions of contract

advance payment – limited to 40% (new) - reduced if not needed during first year/Commission financial interests

retention of 15% until final report approved (new)


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d) Special Clauses

delegation of signature to Coordinator

scientific coordination and administrative and financial coordination are separated

associated states

JRC participation

complementary contract – exploitation and access determined by parties


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e) Reporting periodic reports (usually annual) and final

reportcost statements associated with periodic

reports and final report in national currency/€report on actual disbursements

Technology Implementation Plan


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f) Follow-up after project/contract finishes exploitation review (up to x years after end of

project)

audit (up to x years after end of contract)

access rights (up to x years after end of contract)


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New definitions Knowledge = results (foreground) Pre-existing know how = background and

sideground Use = exploitation and further research

Role determines rights and obligations Principal contractor – full rights and obligations Assistant contractor – limited rights and

obligations

IV Intellectual property rights

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exclusive rights possible but exceptional if economically indispensable given market and risks

prior notice to other participants/where already exploited by others no exclusivity

right to refuse access possible if contractor exploiting himself

economically indispensable given market, risks and investment

if no use then dissemination ownership to one generating except where EC pays all costs

(exception some accompanying measures) complementary contract clause - access determined by

contractors

IV Intellectual property rights

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V - Consortium agreement

in conformity with EC contract identification of background for project links between assistant contractors and principal

contractors details of IPR use and access confidentiality agreement (non-disclosure) proposed action where defaulting contractor(s) recuperation of advance payment

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demonstration project : demonstration contract 35% of costs financed/IPR regime different - exploitation

cooperative research : cooperative research contract 50% of total project costs/RTD performers are subcontractors /SMEs own results

coordination projects : coordination of research projects 100% of eligible costs (thematic networks, concerted actions, research networks)

accompanying measures : up to 100% of costs (ownership of results)

VI- Other types of actions

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The Role of the IPR Helpdesk

To give guidance & advise to RTD participants on: Contractual aspects

Help in interpreting the Commission RTD Contracts

Guidance in preparing Consortium Contracts Sharing of ‘foreground’ IPR arising from the

project Advise on protecting existing ‘background’ IPR Also on protection, exploitation of joint IPR results Suggestions on finding partners (patent searches, etc.)

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Support for 5th RTD Framework

Supports participants during proposal phase : advice on the interpretation of RTD and

consortium contracts, especially IPR issues guidance on novelty searches - links to

professionals help on patent strategies, licensing issues, etc.

Position papers on IPR, patent and related issues on-line tutorials and newsletter in preparation Co-operation with Innovation Relay Centres

European Commission



Contact Points

The IPR-Helpdesk can be reached at: Internet: www.cordis.lu/ipr-helpdesk Telephone: +352-4711-11-1

Fax: +352-4711-11-60 E-mail: [email protected] 64-66 avenue Victor Hugo

L-1750 Luxembourg

European Commission FROM THE PROPOSAL TO THE PROJECT ESSEN - 25-26 February 1999 1 Megan Richards - DG XII - European Commission CONFERENCE TO LAUNCH.

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