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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

| | | |
| |CANDIDATES |BULGARIA, REPUBLIC OF CYPRUS, CZECH |
|Associated | |REPUBLIC, ESTONIA, HUNGARY, LATVIA, |
|States |FOR EU- |LITHUANIA, POLAND, ROMANIA, SLOVAKIA, |
| | |SLOVENIA : in force. |
|may |MEMBERSHIP | |
|participate | |For Malta and Turkey, please see footnote 3 |
|with | |and 4 |
|Community | | |
|funding | | |
| |EFTA-EEA |ICELAND, LIECHTENSTEIN, NORWAY: in force. |
| |OTHERS |ISRAEL : in force. |
| | |SWITZERLAND 2 : entry into force expected on|
| | |the 1.1.2001. |
| |OTHER |ALBANIA, BOSNIA-HERZEGOVINA, FORMER YUGOSLAV|
| |EUROPEAN |REPUBLIC OF MACEDONIA, SWITZERLAND 2 |
|Third States 6| |MALTA 3 and TURKEY 4 are also shown under |
| | |Mediterranean Partnership. |
| | |MICROSTATES AND TERRITORIES IN EUROPE5 |
|may | | |
|participate | | |
| | | |
|without | | |
|Community | | |
|funding | | |
| | | |
|(exceptionally| | |
|with Community| | |
|funding | | |
|when duly | | |
|justified as | | |
|being | | |
|essential for | | |
|achieving the | | |
|objectives | | |
|of the | | |
|project) | | |
| |EUROPEAN |ARMENIA, AZERBAIJAN, BELARUS, GEORGIA, |
| |NIS |MOLDOVA, RUSSIA, UKRAINE. |
| | |ALGERIA, EGYPT, JORDAN, LEBANON, MALTA3, |
| |MEDITERRANEAN|MOROCCO, PALESTINE AUTHORITY, SYRIA, |
| |PARTNERSHIP |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. |
| | |ARGENTINA (1st activity of FP5), AUSTRALIA |
| | |(1st activity of FP5), CANADA (1st activity|
| |COUNTRIES |of FP5), CHINA (1st activity of FP5), SOUTH |
| |WITH |AFRICA (FP5), USA (FP5) : in force. |
| |CO-OPERATION |RUSSIA (1st activity of FP5): |
| |AGREEMENT |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 |May participate project by project if in |
| |COUNTRY |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|May participate project by project if in |
| |ORGANISATIONS|conformity with the interests of the |
| |7 |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

BOX 6 – Indicative Typology of Contracts

| | |PARTICIPA| |DIRECT COSTS |INDIRECT COSTS|
| | |NT |CONTRIBUTION | | |
| |Prin|Assi|Memb|Calcu|Percenta|Per|Dura| |Trav|Cons|Comp|Prot|Othe|Co-o|Acc|RTD |Overheads |
| |cipa|stan|er |latio|ge |son|ble |Subc|el |umab|utin|ecti|r |rdin|ess|perf| |
| |l |t | |n |funding |nel|equi|ontr|and |les |g |on |spec|atio| |orme| |
| |Cont|cont| |Metho| | |pmen|acti|subs| | |of |ific|n | |r | |
| |ract|ract| |d * | | |t |ng |iste| | |know|cost|cost| | | |
| |or |or | | | | | | |nce | | |ledg|s |s | | | |
| | | | | | | | | | | | |e | | | | | |
|SHARED COST | | | | | | | | | | | | | | | | | | |
|ACTIONS7 | | | | | | | | | | | | | | | | | | |
|R&D project |min |yes | |FC, |FC, FF: |Yes|yes |yes |yes |yes |yes |yes |yes |yes | | |FC: (actual |
| |2 | | |FF |50% | | | | | | | | | | | |rate)x(personn|
| | | | |and |AC: 100%| | | | | | | | | | | |el) |
| | | | |AC | | | | | | | | | | | | |FF: |
| | | | | | | | | | | | | | | | | |80%x(personnel|
| | | | | | | | | | | | | | | | | |) |
| | | | | | | | | | | | | | | | | |AC: 20%1 |
|Combined project | | | | |FC, FF: | | | | | | | | | | | | |
| | | | | |35 or | | | | | | | | | | | | |
| | | | | |50% | | | | | | | | | | | | |
| | | | | |AC: 100%| | | | | | | | | | | | |
|Demonstration | | | | |FC, FF: | | | | | | | | | | | | |
|project | | | | |35% | | | | | | | | | | | | |
| | | | | |AC: 100%| | | | | | | | | | | | |
|Support for |1 | | |AC |Up to |yes| |yes |yes |yes |yes | |yes | | | |20%1 |
|access to | | | | |100% | | | | | | | | | | | | |
|research | | | | | | | | | | | | | | | | | |
|infrastructures | | | | | | | | | | | | | | | | | |
| | | | | UF |Up to | | | |yes | | | | | |yes| | |
| | | | | |100% | | | | | | | | | | | | |
|SME co-operative |min | | |FC, |50% |yes|yes |yes |yes |yes |yes | |yes | | |yes |(actual |
|(CRAFT) |3 | | |FF | | | | | | | | | | | | |rate)x(personn|
| |SME | | | | | | | | | | | | | | | |el) |
|Exploratory |min | | |Fixed|75%2 | | | | | | | | | | | | |
|awards |2 | | |amoun| | | | | | | | | | | | | |
| |SME | | |t | | | | | | | | | | | | | |
|TRAINING | | | | | | | | | | | | | | | | | |
|FELLOWSHIPS | | | | | | | | | | | | | | | | | |
|Marie Curie Host |inst| |min |Fixed| | | | | | | | | | | | | |
|Fellowships |itut| |1 |amoun| | | | | | | | | | | | | |
| |ion | |fell|t | | | | | | | | | | | | | |
| | | |ow | | | | | | | | | | | | | | |
|Marie Curie | | |1 | | | | | | | | | | | | | | |
|Individual | | |fell| | | | | | | | | | | | | | |
|Fellowships | | |ow | | | | | | | | | | | | | | |
|Developing | | |1 | | | | | | | | | | | | | | |
|countries | | |fell| | | | | | | | | | | | | | |
|Fellowships | | |ow | | | | | | | | | | | | | | |
|Fellowships for |fell| | | | | | | | | | | | | | | | |
|Community |ow | | | | | | | | | | | | | | | | |
|Researchers | | | | | | | | | | | | | | | | | |
|SUPPORT TO | | | | | | | | | | | | | | | | | |
|NETWORK | | | | | | | | | | | | | | | | | |
|Thematic network|min | |yes |AC |Up to |yes| |yes |yes | |yes | |Yes | | | |20%1 |
| |1 | | | |100% | | | | | | | | | | | | |
|Training network |1 | |min.|AC |Up to | | | | | | |Yes | | | | |20%1 |
| | | |4 | |100% | | | | | | | | | | | | |
|CONCERTED ACTIONS|min | |yes |AC |Up to |yes| |yes |yes | |yes | |yes | | | |20%1 |
| |1 | | | |100% | | | | | | | | | | | | |
|ACCOMPANYING | | | | | | | | | | | | | | | | | |
|MEASURES | | | | | | | | | | | | | | | | | |
|Accompanying |min | | | |Up to |yes|yes |yes |yes |yes |yes |Yes |yes |yes | | |yes5 |
|measures 3 |1 | | | |100% | | | | | | | | | | | | |
|Euro conference |1 | | | |Up to |yes| |yes |yes |yes | | |yes4|yes | | |None |
| | | | | |100% | | | | | | | | | | | | |
|Technology |min | |yes | |Up to |yes|yes |yes |yes |yes |yes |yes |yes |yes | | |yes6 |
|Take-up |1 | | | |100% | | | | | | | | | | | | |

* 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 |Use* |Access |Use |
| |rights for | |rights for | |
| |the | |the | |
| |execution of| |execution | |
| |the project | |of project | |
|Research |Principal |Royalty-free|Royalty-free |Favourable |Favourable |
|and |Contractor| |(1) to all |conditions |conditions |
|technologi| | |knowledge | | |
|cal | | | | | |
|developmen| | | | | |
|t Project | | | | | |
| |Assistant |Royalty-free|Favourable |Favourable |/ |
| |Contractor|/ Favourable|Conditions/ |Conditions/| |
| |(2) |Conditions |Market |Market | |
| | | |conditions |conditions | |
| | | |(1) | | |
| |Principal |Favourable |Market | | |
| |Contractor|Conditions |conditions | | |
| |of the | | | | |
| |same | | | | |
| |specific | | | | |
| |programme | | | | |
|Demonstrat|Principal |Royalty-free|Favourable |Favourable |Favourable |
|ion |Contractor| |Conditions |conditions |conditions |
|Project | | |for | |for |
| | | |Exploitation | |Exploitation|
| | | |only, to all | |only |
| | | |knowledge | | |
| |Assistant |Royalty-free|Favourable |Favourable |/ |
| |Contractor|/ Favourable|Conditions/ |Conditions/| |
| |(2) |Conditions |Market |Market | |
| | | |conditions |conditions | |
| | | |for | | |
| | | |Exploitation | | |
| | | |only | | |
|Combined |Principal |In general, IPR rules for R&D projects shall be |
|R&D/ |Contractor|applied to R&D workpackages, and IPR rules for |
|Demonstrat| |Demonstration projects to Demonstration |
|ion | |workpackages. |
|Project | |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. |
| |Assistant | |
| |Contractor| |
| |(2) | |
|SME |Principal |Co-ownership|Co-ownership |Royalty-fre|Favourable |
|co-operati|Contractor|(3) |(3) |e |Conditions |
|ve |(SME) | |for | |for |
|Research | | |Exploitation | |Exploitation|
|Project | | |only | |only |
| |RTD |Royalty-free| |Royalty-fre| |
| |performer | | |e | |
| |(non- | | | | |
| |participan| | | | |
| |t) | | | | |
|Concerted |Principal |The knowledge which is suitable for dissemination |
|Action |Contractor|will be disseminated |
| |Member | |
|Networks |Principal |The knowledge which is suitable for dissemination |
| |Contractor|will be disseminated |
| |Member | |
|Fellowship|Host |The ownership of knowledge will be determined by the|
|s |Institutio|Host Institution according to the applicable law. |
| |n |The knowledge which is suitable for dissemination |
| | |will be disseminated |
| |Grant | |
| |holder | |
|Accompanyi|Principal |The ownership of knowledge will be determined |
|ng |Contractor|regarding to the Community financing level. As the |
|Measures | |case may be, use or dissemination will prevail. |
| |& in | |
| |particular| |
| |cases | |
| |Members | |

(*) 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

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