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Characteristics of projects in EU research programmes Kai Tullius DG Information Society and Media Unit E2 Kai Tullius DG Information Society and Media.

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Presentation on theme: "Characteristics of projects in EU research programmes Kai Tullius DG Information Society and Media Unit E2 Kai Tullius DG Information Society and Media."— Presentation transcript:

1 Characteristics of projects in EU research programmes Kai Tullius DG Information Society and Media Unit E2 Kai Tullius DG Information Society and Media Unit E2

2 Outline of Presentation Project Selection Process Project Selection Process Contract overview Contract overview Overview of reporting & financing Overview of reporting & financing Reporting Review Costs / Receipts Payment Audit certificates Amendments Collective Responsibility Conclusions Conclusions

3 Procedure Procedure Call for proposals Submission Evaluation by external experts Hearing for IPs Negotiation Project Selection Process

4 Contract Overview Contract – between whom? Between EC and co-ordinator (the legal representative of the consortium) Between EC and co-ordinator (the legal representative of the consortium) All contractors must accede within time limit specified in contract (30 days) from the date of the signature All contractors must accede within time limit specified in contract (30 days) from the date of the signature

5 Contract Overview Consortium agreement in place, EC contract takes precedence in case of conflicts Should cover issues: Decision-making process and dispute settling Decision-making process and dispute settling IPR IPR Payment modalities between partners Payment modalities between partners Global Risk Management Global Risk Management

6 Months Reporting Accepted costs Reporting Detailed work plan Accepted costs Adjusted pre-financing Reporting Accepted costs Detailed work plan Adjusted pre-financing Detailed work plan Initial pre-financing Contract Overview Payment & Reporting Schedule (IP)

7 Reporting 45 days after end of each reporting period 45 days after end of each reporting period Annual Activity Report Annual Activity Report Annual Management Report Annual Management Report Report on the distribution between contractors of the Community financial contribution Report on the distribution between contractors of the Community financial contribution Any additional report defined in Annexes Any additional report defined in Annexes Updated Implementation Plan (IP only) Updated Implementation Plan (IP only) Financial Statements (Form C) and Audit Certificates (if applicable) Financial Statements (Form C) and Audit Certificates (if applicable) Final period: Final period: all + all + Final Activity Report covering the full duration Final Activity Report covering the full duration Final management report covering the full duration. Final management report covering the full duration. Any additional report defined in annexes. Any additional report defined in annexes. Report on the final financial distribution (60 days after receiving it) Report on the final financial distribution (60 days after receiving it)

8 Annual Review Review is a contractual requirement to be carried out after each reporting period - successful outcome required for payment Review is a contractual requirement to be carried out after each reporting period - successful outcome required for payment Review is based on: Review is based on: Reports and Deliverables (technical objectives timely achieved with adequate quality?) Reports and Deliverables (technical objectives timely achieved with adequate quality?) Resources deployed appropriate? Resources deployed appropriate? Annual Management Report Annual Management Report proposal for update to Implementation Plan (IP) proposal for update to Implementation Plan (IP)

9 Costs / Receipts Cost basis FC/FCF/AC Cost basis FC/FCF/AC AC participants cannot charge costs of permanent staff (except for management) AC participants cannot charge costs of permanent staff (except for management) Direct/indirect Costs Direct/indirect Costs Eligible/ineligible Eligible/ineligible eligible = economic and necessary eligible = economic and necessary No reckless expenditure No reckless expenditure no sub-contracting unless specified in Technical Annex, except for minor tasks (services, brochures, audit certificates) no sub-contracting unless specified in Technical Annex, except for minor tasks (services, brochures, audit certificates) ineligible costs include bank interest, losses etc. ineligible costs include bank interest, losses etc. in general, follow your internal rules and practices in general, follow your internal rules and practices must be auditable -> document carefully must be auditable -> document carefully Receipts have to be declared Receipts have to be declared

10 Payment Pre-financing max. 80% of estimated cost of first 18 months Pre-financing max. 80% of estimated cost of first 18 months Next payment within 45 days of approval of annual activity reports Next payment within 45 days of approval of annual activity reports Payment for a period normally combined with pre- financing for next period Payment for a period normally combined with pre- financing for next period Usual provisions concerning suspension of payment terms due to missing/incomplete information etc. Usual provisions concerning suspension of payment terms due to missing/incomplete information etc. Receipts reduce grant and must be declared in cost claims. Receipts reduce grant and must be declared in cost claims.

11 Audit Certificates Audit certificates (depending on contract) Audit certificates (depending on contract) Free to chose auditor (no need for tendering…) Free to chose auditor (no need for tendering…) Independent, external auditor, qualified to national regulations – exception: “Competent public officer” for public bodies Independent, external auditor, qualified to national regulations – exception: “Competent public officer” for public bodies Certify that costs incurred during period meet the conditions required by the contract, should expressly state amounts verified Certify that costs incurred during period meet the conditions required by the contract, should expressly state amounts verified make early contract with your external auditor make early contract with your external auditor establish with him how to submit cost claims/certificates 45 days after end of period - continuous assessment process? establish with him how to submit cost claims/certificates 45 days after end of period - continuous assessment process? Payments supported by audit certificates are final Payments supported by audit certificates are final except in case of fraud, over-charging etc. except in case of fraud, over-charging etc. Cost of audit certificates is an eligible cost (if economic!) Cost of audit certificates is an eligible cost (if economic!)

12 AmendmentsAmendments Amendments: no tacit approval Amendments: no tacit approval To be submitted by registered mail by an AUTHORISED signatory of the COORDINATOR with all supporting documents To be submitted by registered mail by an AUTHORISED signatory of the COORDINATOR with all supporting documents Request must adhere strictly to template (amendment guidelines on Cordis) Request must adhere strictly to template (amendment guidelines on Cordis) May include 1 or many modifications May include 1 or many modifications Binary processing: everything acceptable or everything rejected Binary processing: everything acceptable or everything rejected

13 Collective Responsibility 1.Technical Collective Responsibility Each contractor obliged to take all necessary measures to attain the objectives of the project and to carry out the work incumbent on the defaulting contractor 2.Financial Collective Responsibility Should either the contract or participation of a contractor be terminated and any contractor does not honour the reimbursement of the amount due by that contractor, the Consortium is responsible to reimburse that amount to the Commission Amount to be recovered to be allocated between the remaining contractors in accordance with their pro rata share in the project

14 Conclusion FP6 very different to FP5! FP6 very different to FP5! Increased responsibility for consortium Increased responsibility for consortium all aspects - management, budget, technical work…... all aspects - management, budget, technical work…... Expenditure/accounting according to your own, normal rules and practices Expenditure/accounting according to your own, normal rules and practices no more permission requests - but you may have to justify your actions/expenditure later! no more permission requests - but you may have to justify your actions/expenditure later! Bigger projects, greater opportunity, greater risk Bigger projects, greater opportunity, greater risk Greater visibility and higher expectations Greater visibility and higher expectations Expect more scrutiny from tax-payer and politicians Expect more scrutiny from tax-payer and politicians More than ever, need strong management in all areas, clear focus, effective implementation! More than ever, need strong management in all areas, clear focus, effective implementation! you must deliver!! you must deliver!!

15 Conclusion New financial regulations require strict compliance with contract and deadlines New financial regulations require strict compliance with contract and deadlines EC must also demonstrate that it has implemented contracts correctly and ensure proper use of public money EC must also demonstrate that it has implemented contracts correctly and ensure proper use of public money especially important for annual activity reports, cost claims, audit certificates especially important for annual activity reports, cost claims, audit certificates avoid delays with review and approval of programme of work/amendment for following period avoid delays with review and approval of programme of work/amendment for following period


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