Participation and dissemination Rules

and Contracts

FP6

PRESENTATION OUTLINE

Legal Framework & General Principles

Participation

Contract Structure

Collective Approach

signature and entry into force collective Responsibility consortium Agreement

Provisions of general conditions, special reference to:

financial provisions controls and sanctions

Legal Framework

EC

TREATY

FRAMEWORK PROGRAMME

SPECIFIC PROGRAMMES

PARTICIPATION AND DISSEMINATION RULES

CONTRACTS

Other relevant EC Regulations

FINANCIAL REGULATION

INTERNATIONAL AGREEMENTS

WORK PROGRAMMES

GUIDELINES ON EVALUATION AND

SELECTION PROCEDURES

General Principles Reflect requirements of the Legal Framework

Simplification

No different categories of contractors

Reduction of the number of contracts

Collective approach

Greater flexibility

Greater autonomy for participants

Minimum number of participants

Can be increased by work-programmes

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

1 single legal entity for specific support actions

New Legal entities established in the Associated Candidate Countries and International European Interest Organisations = legal entities from

Member States

Entities established in third countries and

International organisations

INTEGRATING PART

Participation open for all over the minimum number

FundingFOR INCO COUNTRIES like Member States

with a budgetary limit

FOR OTHERS if essential to carry out the project or if foreseen by the Work Programme or the call

Entities established in other countries and International

organisationsSTRUCTURING & REINFORCING PARTS

Participation COUNTRIES WITH CO-OPERATION AGREEMENT under

the Agreement’s conditions

COUNTRIES WITHOUT CO-OPERATION AGREEMENT if necessary to carry out the project or if foreseen by the Work Programme or the call

Funding if essential to carry out the project or if foressen by the Work Programme or the call

Contract Structure Core contract (standard with specifics of project)

Annex I (technical tasks - the “project”)

Annex II - general conditions

(standard, applicable to every instrument)

Annex III - instrument specific provisions (variable per instrument)

Signature and entry into force

Contractual link of all contractors with the Commission - New Contract enters into force upon signature of

coordinator and Commission

Coordinator must ensure other contractors sign within delays

Distribution of advance possible after minimum requirements met

Project begins in the date established in the contract (this can be before the contract enters into force but usually later)

Changes in consortium membership

– New at the request of the coordinator, deemed to act on behalf of the consortium

– New with implicit agreement of the Commission within 6 weeks

– New in IP/NoE, enlargement of the consortium to new participants and new activities may be foreseen. This enlargement follows then a call launched by the consortium with evaluation of proposals by external experts

NewCollective responsibility

Technical Responsibility

Financial ResponsibilityUsed as a last resort

Limited in proportion to the participant’s share to the project, up to the total amount they are entitled to receive

International Organisations, public bodies or entities guaranteed by MS/AS solely responsible for their own debts

Exceptions for specific actions for SME’s and fellowships, and when duly justified for specific support actions

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

After or (preferably) before signing the contract (some decisions must be made by the participants before signature of contract, e.g. exclusion of pre-existing know-how)

Non binding guidelines provided by the Commission

Financial Provisions

Grant for integration

Grant to the budget

Flat-rate

Networks of excellence

Integrated Projects

Specific targeted research projects

Specific research projects for SMEs

Integrated initiatives relating to infrastructure

Actions to promote human resources & mobility

Coordination actions

Specific support actions

Financial Provisions

Grant for integration (NoE) New mechanism Calculation basis: number of researchers to be

integrated

not as a %age of the budget for the JPA Payment basis: completion of the JPA + costs

certificates mentioning that the costs incurred are greater than the grant itself

Financial Provisions

Grant to the budget Calculation basis: %age of the preliminary budget of

the execution plan

Payment basis: covers a share of the expenditure incurred, necessary for the execution of the indirect action

%age depends on: type of activity participant involved (cost models)

Financial ProvisionsCost Models and maximum reimbursement

rates FC: 50% of actual direct and indirect costs

For Specific Support Actions and Coordination Actions the Indirect cost are limited to % of total actual direct costs, except subcontracting

New FCF : 50% of actual direct costs + flat rate for indirect costs (% of total actual direct costs, except subcontracting)

ACF: 100% of actual additional direct costs + flat rate for indirect costs (% of total actual direct costs, except subcontracting)

Financial ProvisionsType of activity

Research and technological development (including innovation related activity) - 50% (100% AC)

Demonstration - 35% (100% AC)

Training - 100% (100% AC)

New Consortium Management - reimbursed up to 100% within the limit of 7% of community contribution

Other activities specific to an instrument - 100% (100% AC)

Financial Provisions Identification of costs

New No cost categories but list of ineligible costs

To be eligible costs must be :

actual, economic and necessary for the project incurred during the duration of the project recorded in the accounts follow contractors own accounting rules Not give rise to profit

Audit certificates by external auditor (For public bodies - competent public auditor)

Controls and Audits

Objective to reinforce ex-post controls

To simplify and streamline ex-ante controls

As a counterbalance to increased autonomy for participants

Controls and Audits

Reports

Periodic activity and financial reports

Supplementary reports if foreseen

(in Annex I or III)

Audit certificates

New monitoring by Commission with external experts

Other reviews

Scientific, technological, and financial audits

Ethical audits

Sanctions

Financial irregularity: exclusion criterion

Recovery decisions (art. 256 EC Treaty)

Other sanctions in contracts (overclaims)

Thank YouFor more information

http://europa.eu.int/comm/research/fp6/working-groups/model-contract/index_en.html