IST in FP6 Context, rationale, Content and instruments
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Transcript IST in FP6 Context, rationale, Content and instruments
Sixth Framework Programme
Rules and legal aspects
FP6 CONTRACTS
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
PRESENTATION
OUTLINE
I- Legal Framework
II- Participation
III- Contract structure
IV- Collective Approach
V- Financial provisions
VI- Controls
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
I- Legal Framework
INTERNATIONAL
AGREEMENTS
EC
TREATY
PARTICIPATION AND
DISSEMINATION RULES
FRAMEWORK
PROGRAMME
SPECIFIC PROGRAMMES
WORK PROGRAMMES
&
Calls
for proposals
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
CONTRACTS
Other relevant
EC Regulations
FINANCIAL
REGULATION
GUIDELINES ON
EVALUATION AND
SELECTION
PROCEDURES
Not legally binding
II- Participation
At least 3 independent legal entities established in 3
different Member States or Associated States, of
which at least 2 in Member States or Associated
Candidate Countries
Can be increased by work-programmes
1 single legal entity for specific support actions
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
II- Participation
Every legal entity that contributes to the project
(incl. Project Managers)
General Rule: Participant = contractor
Every legal entity contributing to a project must
have a contractual link with the Community
Exceptional cases: subject to very restrictive rules
– Subcontractors
– Third parties identified in Annex I
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
III- Contract Structure
Core contract
(standard with specifics of project
+ special clauses)
Annex I
(technical tasks - the “project”)
Annex II
General Conditions
(applicable to every instrument)
Annex III
Instrument specific provisions
(specific to some instruments)
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
III- Contract Structure
Annex IV - Form A
Consent of contractors identified in the core-contract
(article 1.2) to accede to the contract. To be signed by
the contractor concerned and by the coordinator.
Annex V - Form B
Accession of new legal entities to the contract. To be
signed by the new contractor concerned and by the
coordinator
Annex VI - Form C
Financial statement per activity. Specific to each
Instrument and/or type of action. To be filled
periodically by each contractor
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
IV- Collective Approach
LIABILITY
Depending on the nature of the breach, the
consortium will be invited to find the appropriate
solution (technical responsibility)
If no solution is found, the defaulting contractor is
excluded and the consortium is requested to
continue the project (technical responsibility with
financial consequences)
Implementation: applied as a last resort
Breach of contract
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
IV- Collective Approach
Consortium agreement
Regulates internal organisation and
management of consortium
New Compulsory unless otherwise
mentioned in the call for proposal
Between contractors - NOT signed nor
approved by the Commission
Non binding guidelines provided by the
Commission
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
V- Financial Provisions
Cost Reporting Models
FC: actual direct and indirect costs (Indirect
cost limited in Coordination Actions and
Specific Support Actions)
FCF: (variant of FC): actual direct costs +
flat rate for indirect costs (New 20% of total
actual direct costs, except costs of
subcontracts - all instruments
AC: actual additional direct costs + flat rate
for indirect costs (20% of total actual
additional direct costs, except costs of
subcontracts - all instruments)
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
V- Financial Provisions
Type of activity
* Research and technological development
(including innovation related activity)
* Demonstration
* Training
* Other specific support activities
* New Consortium Management : costs
reimbursed up to 100% within the limit of 7%
of Community contribution (AC contractors
can use permanent personnel)
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
V- Financial Provisions
Identification of costs
To be eligible costs must be :
actual, economic and necessary for the
project
incurred during the duration of the project
recorded in the contractor’s accounts
follow contractors own accounting rules
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
VI-Controls & Audits
Objective:
To simplify and streamline ex-ante controls
To reinforce ex-post controls
As a counterbalance to increased autonomy
for participants
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
VI-Controls & Audits
Audit certificates
Each contractor
for each period for which the contract
so requires (IPs and NoEs)
Always for each contractor requesting
a Community financial contribution
exceeding 750.000€.
prepared and certified by an external
auditor
for public bodies - competent public
officer
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
VI-Controls & Audits
Audit certificates
for public bodies using AC model - costs
of permanent officials preparing audit
certificate may be charged
costs claimed when they are incurred
(usually in next reporting period but
posssible that part or all charged in this
period)
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
VI-Controls & Audits
Audit certificates
submitted according to contract
requirements
submitted
each year for IP/NoE
* special clause 32 permits submission of
audit certificate on basis other than annual
for IP/NoE
* new special clause 39 only contractors
with EC contribution over €150,000 must
submit audit certificate before end of project
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
Guidelines
Provide explanations and guidance notes:
Financial guidelines
Negotiation guidelines
Consortium agreement guidelines
Reporting guidelines
Amendments guidelines
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding
For more information
Legal framework within FP6
– Model contract and related issues:
http://europa.eu.int/comm/research/f
p6/index_en.html
Helpdesk
– http://www.ipr-helpdesk.org
– [email protected]
General information on FP6
– http://europa.eu.int/comm/research/f
p6/index_en.html
RTD-A.3 Legal Unit – Myriam Gómez-Martelo
13/05/2005- University of Naples
Not legally binding