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
– RTD-A03-Questionsjuridiques@cec.eu.int

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