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[xix], 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"[xx].

. 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)[xxi] who lead the

action, and the members who are associated with them. Principal

contractor(s)[xxii] 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[xxiii].

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

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