Participation and dissemination Rules and Contracts FP6.
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Transcript of Participation and dissemination Rules and Contracts FP6.
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