Transcript - FishPopTrace
Slide 1
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 26
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
mail
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26
Slide 26
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
The 6th Framework Programme
2002 - 2006
Project: “COBECOS”
Contract N°044153
SSP Kick-off meeting
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Contract
Core of contract
Annex I – Workprogramme (TA)
Annex II – General conditions
Annex III – Not applicable
Annex IV – Form A (accession to the contract)
Annex V – Form B (new contractors)
Annex VI – Form C (financial statement)
2
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Participants
Total EC contribution
Duration
Reporting periods and payments
Audit certificates period
Special conditions
Amendments
3
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Reports and Deliverables
• The project is divided into 2 reporting periods
• For each period : a payment (2 pre-financing + final)
• Payments to the coordinator who should transfer to the
contractors ASAP
• The consortium decides on the allocation between the
contractors (consortium agreement)
4
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Example for COBECOS (based on the estimated breakdown)
Total EU grant: EUR 1,400,000
months
18
0
30
periods
1
Total EC grant
1,400,000 €
840,000
2
280,000
560,000
Pre-financing
I pre-financing: 85% (840,400+280,000) = 952,000 (92,000 for JRC)
II pre-financing: 85% (560,000-280,000) = 238,000
Total pre-financing < 80% of total => max total pre-financing 1,120,000
=> max II pre-financing 168,000 (1,120,000 – initial prefinancing)
20% = 280,000
5
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Core of the contract
Amendments
• The request shall be submitted by the coordinator on
behalf of the consortium (-> agreement of the consortium)
• and should be submitted in writing by means of registered
-> SEE GUIDELINES of AMENDMENTS !!!!
6
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex I – Workprogramme (TA)
Technical content
Workplanning and timetable
Participants and subcontractors
Budget per
participant
and activity
(Research and
Management)
7
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
A. Implementation of the project
Implementation and Deliverables
Termination of the contract and
responsibilities
B. Financial provisions
General financial provisions
Controls and audits
C. Intellectual property rights
8
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Obligations
Reports and
deliverables
Subcontractor
Confidentiality
9
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and
Deliverables
Commission
Obligations
Coordinator
Contractors
10
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Reports & Deliverables
Within 45 days after each reporting period the consortium will submit
the following reports to the Commission:
a periodic activity report (+ 3 questionnaires)
a periodic management report (justification of the costs and resources,
Forms C, summary financial report)
periodic report on the financial distribution between contractors
suppl. report required by any Annex to the contract
an audit certificate (final period)
a final report covering the contract period (additional to the activity
report for the last period)
11
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Subcontractors
• Tasks clearly identified in Annex I
• Must be awarded to the bid offering best value for money
(price/quality) under conditions of transparency and equal
treatment
• If not in Annex I : can only be minor services, non-core elements
• The subcontractor must be a legal entity
• A subcontract can only cover a limited part of the project & must
be justified
• The contractor maintains full responsibility for carrying out the
project, and retains the intellectual property generated (if any).
12
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Implementation and Deliverables
Confidentiality
During the life of the project, unless other agreements
are made between the consortium
13
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Termination of the contract and
responsibilities
COLLECTIVE Technical and financial
responsibility
The rule of the financial responsibility of the
consortium shall be applied as a last resort and will
be in proportion to the contractors share and may
not exceed the value of the contribution.
14
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
B. Financial provisions
Eligible costs
1. actual, economic and necessary for the
project
2. incurred during the duration of the project
3. recorded in the contractor’s accounts
4. Must be determined in accordance with the
usual accounting principles of the contractor
5. Costs of third parties’contributions subject to
the conditions set out in article II.19.1e –
Annex II
15
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Non-Eligible costs
1. VAT
2. Exchange losses
3. Provisions for possible future losses or
charges
4. ……
16
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Receipts
Financial transfers or their equivalent from third parties
Contributions in kind from third parties
Income generated by the project itself
! The EC contribution : eligible costs - receipts
17
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Interest yielded by pre-financing
When completing the form C the coordinator
should declare the interest generated by the
pre-financing it has received from the
Commission
! The EC contribution : eligible costs - interests
18
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
To be
submitted by
each contractor
Costs for the Audit
certificates under
subcontract included
in the Management
activity
Private bodies :
External auditor
independent &
qualified
Public bodies :
competent public
officer not involved in
the processing of the
Form C
19
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Audit certificate
should certify :
1.
Eligible costs
2.
3.
4.
5.
6.
Direct
ex. personnel (contract,
actual costs, working time records), equipment,
travel and subsistence, consumables
Indirect FC
Cost reporting model and its correct application
Interest
Receipts
Conversion rate used
The price of the audit certificate
20
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
ANNEX II – General conditions
Control and Audits
1.
2.
3.
On several aspects
– Scientific
– Financial
– Accounting and management principles
Arranged by and carried out by :
– External reviewers/auditors
– Commission services + European Court of
Auditors + OLAF (European Anti-Fraud Office)
Up to 5 years after the end of the project
21
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex II – General conditions
Intellectual property rights
Knowledge
Ownership
Access rights
Protection
Use and dissemination
22
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex IV – Form A
(accession to the contract)
To enter the contract
as contractor
3 signed copies
Signed by the
coordinator and
the contractor
23
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Annex V – Form B (new contractors)
New CPFs including the
new partner and the new
repartition of budget
New Technical Annex
Signed by the new
contractor and the
coordinator
24
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Form C – Financial Statement
Period
Resources
Declaration of eligible costs
Costs per Activity (Research
and Management
Receipts
Interest (coordinator)
Request of Financial
Contribution
Audit certificates
Conversion Rates
Certification and signatures
(Person responsible for the
work and Financial Officer)
25
European Commission
DG for Fisheries and Maritime Affairs
Research & scientific analysis
Sources of Information
FP6:
http://www.cordis.lu/fp6/find-doc.htm
Main documents
Financial Guidelines
Audit Certificate Guidance Notes
Project Reporting in FP6
Guide to IPR for FP6 projects
Guidelines on Amendments to FP6 contracts
DG Research:
http://europa.eu.int/comm/research/index_en.html
DG FISH:
http://europa.eu.int/comm/fisheries/
Scientific Officer:
[email protected]
Financial Officer:
[email protected]
26