1. RTD-A.3 Legal Unit – Myriam Gómez-Martelo 13/05/2005- University of Naples Not legally binding Sixth Framework Programme Rules and legal aspects FP6 CONTRACTS

2. 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

3. RTD-A.3 Legal Unit – Myriam Gómez-Martelo 13/05/2005- University of Naples Not legally binding I- 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 & Calls for proposals

4. RTD-A.3 Legal Unit – Myriam Gómez-Martelo 13/05/2005- University of Naples 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

5. 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

6. 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 IIIInstrument specific provisions (specific to some instruments)

7. 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

8. 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

9. 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

10. 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)

11. 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)

12. 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

13. 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

14. 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

15. 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)

16. RTD-A.3 Legal Unit – Myriam Gómez-Martelo 13/05/2005- University of Naples Not legally binding 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 VI-Controls & Audits Audit certificates

17. 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

18. 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-Questions- juridiques@cec.eu.int General information on FP6 – – http://europa.eu.int/comm/research/f p6/index_en.html