Project Life CycleProject Life Cycle

Framework Programme VIFramework Programme VI

Training SeminarTraining Seminar

BratislavaBratislava

27 – 28 January 200527 – 28 January 2005

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OverviewOverview

Introduction

Negotiations – input to the contract

The contract - Consortium Agreement -

Signature of the contract

Project reporting (interim and non-financial)

- Project reviews

Evolution of the consortium / Contract

amendments

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IntroductionIntroduction

Efforts towards simplification in FP6 look at project life cycle aspects

Move from ex ante to ex post control and from micro- to macro management by the Commission

Greater autonomy and flexibility in the management of projects by the participants

e.g. transfer of budget between activities

Greater management responsibility to consortiae.g. financial collective responsibility

Simpler financial and administrative rules reliance and audit certificatesno cost categories

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IntroductionIntroduction

Call for Proposals

Submission of a proposal

Evaluation of proposals

Negotiation of a project

Award of a contract

Running of a project

Finalisation of a project

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Negotiations – input in the contractNegotiations – input in the contract

Annex I – Description of work

Contract Preparation Forms

Contract Parameters

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Annnex IAnnnex IOverview – StructureOverview – Structure

Project objectives

Potential impact

Outline implementation plan for full duration of project

Detailed implementation plan for first 18 months

Project management

Project resources and budget overview

Ethical and other Issues

Appendix A

Example

IPs

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Annex IAnnex I“2. Project objectives” - “2. Project objectives” - see IPsee IP

Objectives must be measurable, verifiable, specific, realistic and timed

Results and progress of the project will be measured against these objectives

It must be possible to assess the progress of work during project

Annex 1 should give a description of “the current situation” – benchmark data/description – on which they aim to improve.

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Annex IAnnex I“5. Potential impact” - “5. Potential impact” - see IPsee IP

Strategic impact in terms of e.g. reinforcing competitiveness and/or solving societal problems and/or addressing specific problems

Innovation related activities exploitation/further research dissemination - awareness also with the public at large

Added value from doing work at European level, how build on other national or international research

To include, if applicable,5.1 contribution to standards

5.2 contribution to policy developments

5.3 risk assessment and related communication strategy

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Annex IAnnex I“6. Outline implementation plan for “6. Outline implementation plan for full duration of the project” - full duration of the project” - see IPsee IP

6.A Activities

6.1 Research, technological development and innovation activities

6.2 Demonstration activities

6.3 Training activities

6.4 Consortium Management activities

6.B Plans

6.5 Plan for using and disseminating knowledge

6.6 Gender Action Plan

6.7 Raising public participation and awareness

6.C Milestones

6.8 Major Milestones over full project duration

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Annex I: “8. Detailed implementation plan for Annex I: “8. Detailed implementation plan for first 18 months” - first 18 months” - see IPsee IP

8.1 Introduction - general description and milestones

8.2 Planning & Timetable (Gannt chart or similar)

8.3 Graphical presentation of WPs (e.g. PERT chart)

8.4 Workpackage list

8.5 Deliverable list

8.6 Workpackage descriptions

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Annex IAnnex I“9. Project resources and budget overview” - “9. Project resources and budget overview” - see IPsee IP

9.1 Efforts for full duration of the project

9.2 Efforts for the first 18 months

9.3 Overall budget for the full duration of the project

9.4 Budget for the first 18 months

9.5 Management level description of resources and budget

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Annex IAnnex I“Appendix A - Consortium description” - “Appendix A - Consortium description” - see IPsee IP

A.1 Participants and consortium

A.2 Sub-contracting

A.3 Third parties

A.4 Competitive calls

A.5 Funding of third country participants

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Contract Preparation FormsContract Preparation Forms

A1 General information on the project - per project

A2 Information on participants - per participantA2a legal information/statistics + impact cost reporting model

A2b authorised representatives - contact details

A2c certified declaration

A3 Detailed financial information - per projectdepending type of instrument

A4 Co-ordinator’s banking information - per project

A5 Confirmation of additional financial information annexed to the CPFs - per project

A6 Simplified balance sheet & profit and loss account - for co-ordinator and other participant(s), depending risk and take

account of collective financial responsibility

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General information on the proposal General information on the proposal Form A1Form A1

Abstract will be used for publicity on the project and

for communications with the programme

management Committee - often a major re-work of

abstract is needed

Abstract should provide the reader with a clear

understanding of

the objectives of the proposal

+ the relevance of the project to the specific

programme and the work programme

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Information on participants Information on participants Form A2cForm A2c

To be signed by official authorised to sign the contract or to commit the organisation

Participant certifies

has stable and sufficient resources

reference to Art. 93 of the Financial Regulation

reference possibility to be excluded from participation in any future contract

Minimum requirements on provision of legal document

Only for non-public bodies: Legal documents establishing the organisation are attached YES/NOIf NO, date (dd/mm/yyyy) and Commission programme name fordelivery of legal documents during last six months or confirmationthat the information provided more than six months ago has notchanged (and the date and name of Commission programme towhich information was provided)

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Form A3 for instrumentsForm A3 for instruments

IP

A3.1 financial information - whole duration projectA3.2 estimated breakdown of the EC contribution

per reporting periodA3.3 financial information – first 18 months project

NoE

A3.1 estimated breakdown of the requested EC contribution per reporting period

A3.2 number of researchers and doctoral students to be integrated. Maximum allowable EC contribution

STReP – CA – SSA

A3.1 financial information – whole duration projectA3.2 estimated breakdown of the EC contribution

per reporting period

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Detailed financial informationDetailed financial informationForm A3.1 for IPForm A3.1 for IP

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Detailed financial informationDetailed financial informationForm A3.2 for IPForm A3.2 for IP

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Contract ParametersContract Parameters

Time allocated for the contractors to accede to the contract

Duration of the project

Start date of the project

Community financial contribution

Reporting periods

Frequency of submitting audit certificates

Pre-financing

Time for the Commission to pay pre-financing

Any special clauses

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The contractThe contract

Legal Framework

Principles

Structure

General conditions

Contractors and Coordinator

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EC

TREATY

FRAMEWORK PROGRAMME

SPECIFIC PROGRAMMES

PARTICIPATION AND DISSEMINATION RULES

CONTRACTSOther relevant EC Regulations

FINANCIAL REGULATION

INTERNATIONAL AGREEMENTS

WORK PROGRAMMES &

Calls for proposals

GUIDELINES ON EVALUATION AND

SELECTION PROCEDURES

The contractThe contractLegal FrameworkLegal Framework

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Reflect requirements of the Legal Framework

Simplification (compared to Framework Programme V)

No different categories of contractors

Reduction of the number of contracts

Greater flexibility

Evolution of the project

Composition and changes to consortium

Greater autonomy for participants = Collective approach

The contractThe contractprinciplesprinciples

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Core contract (standard with specifics of project)(possibly including special clauses)

Annex I (technical tasks - the “project”)

Annex II General Conditions(applicable to every instrument)

Annex III Instrument specific provisions (specific to instrument)

The contractThe contractStructureStructure

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Annex IV - Form A

Consent of contractors identified in the core-contract

(article 1.2) to accede to the contract. To be signed by

the contractor concerned and by the coordinator.

Annex V - Form B

Accession of new legal entities to the contract. To be

signed by the new contractor concerned and by the

co-ordinator

Annex VI - Form C

Financial statement per activity. Specific to each

Instrument and/or type of action. To be filled

periodically by each contractor

The contractThe contractStructureStructure

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The contractThe contractstructure & instrumentsstructure & instruments

Core contract Annex II Annex III

IP Yes

NoE Yes

STReP

CA Common Common None

SSA

SME Yes

I3 Yes

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The contractThe contractAnnex II – General conditionsAnnex II – General conditions

Part A Implementation of the Project

Implementation and deliverables

Performance obligations

Termination of the contract and responsibility

Financial and technical collective responsibility

Part B Financial Provisions

General financial provisions

Controls, recoveries and sanctions

Part C Intellectual Property Rights

Ownership and protection of knowledge

Use of dissemination

Access rights

Incompatible or restrictive commitments

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Every legal entity that contributes to the project (incl. Project

Managers)

General Rule: Participant = contractor

Every legal entity contributing to a project must have a

contractual link with the Community

Exceptional cases: subject to restrictive rules

Third parties identified in Annex I

Subcontractors

The contractThe contractContractorsContractors

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A contractor among other contractors

No additional rights

BUT

Additional obligations

Administrative tasks: single entry point for

communication, payments, reporting etc.

The contractThe contractCo-ordinatorCo-ordinator

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Consortium AgreementConsortium Agreement

• Private contract between the contractors.

• Provides for internal operation and management of the consortium

• Mandatory unless excluded by the call for proposals.

• Should be concluded before the signature of EC contract.

• Commission does not review it or approve it.

• Provisions must not conflict with provisions of EC contract.

• May be modified/amended after entry into force.

• Non-binding guidelines published by Commission.

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Consortium AgreementConsortium Agreement

Issues to be addressed (Art.12.5 Rules for participation) Internal organisation of the consortium

Designation of the co-ordinator Management structure Technical implementation Allocation of funds paid to the consortium

Changes in consortium membership

Intellectual property arrangements Rules for dissemination and use

Agreement on exclusion of pre-existing know-how from access, agreement on royalty-bearing access-rights

Settlement of internal disputes Applicable law Arbitration procedure Penalties

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Signature of the contract

• The contract is concluded between the Commission and all participants.

• It enters into force on date of signature by the Commission and the co-ordinator

• The other participants identified in the contract shall accede to the contract within a maximum of 60 days.

• They will assume the rights and obligations retroactively from the date of entry into force of the contract (date of signature by the Commission and the co-ordinator - Article 4.1 of the contract).

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Signature of the ContractSignature of the ContractFormalitiesFormalities

The co-ordinator has the obligation to ensure that the contractors will complete the formalities needed to accede to the contract in a timely manner (Article 2.1 and Article II.3.3(a))

The Forms A have to be completed and signed in 3 originals by each contractor identified in Article 1.2.

Forms A : to be sent to the Commission at the latest 30, 45 or 60 calendar days (as indicated in Article 2.1) after the entry into force of the contract.

1 original of Form A for the contractor, 1 original for the co-ordinator (to be made available for consultation by any other contractor)

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Signature of the Contract Signature of the Contract Characteristics of Form ACharacteristics of Form A

"Form A- Accession to the contract".

By signing this form, countersigned by the co-ordinator, the contractor consents to become a contractor in the identified contract and accepts all the rights and obligations established by this contract.

The Forms A constitute a part of the contract and are attached to it in its Annex IV

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Periodic reportingPeriodic reporting

At the end of each reporting period

1. Periodic activity report

2. Periodic management report1.Justification of resources and costs

2.Form C Financial statement from each contractor (plus audit certificates, if required)

3.Summary financial report

3. Periodic report on the distribution of the Community contribution

4. Draft planning for next 18 months (IPs and NoEs only)

5. Supplementary reports

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Periodic reportingPeriodic reporting

At the end of the 1st reporting period only

6. Interim Science & Society questionnaire (all)

7. Interim questionnaire on the implementation of

the Gender Action Plan (IPs and NoEs only)

8. Interim questionnaire on Workforce statistics

(all except IPs and NoEs)

9. Interim Socio-economic questionnaire (all)

As specified in Annex I10.Interim activity reports

11.Deliverables

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Periodic activity reportPeriodic activity report

Publishable executive summary

Objectives, contractors, coordinator details, work, results, intentions for use, publishable results of the plan for using and disseminating the knowledge

Section 1 - Project objectives and major achievements

Section 2 - Workpackage progress

Objectives, progress, deviations, deliverables, milestones

Section 3 - Consortium management

Management tasks, contractors, timetable, coordination

Section 4 - Other issues

Ethical, competitive calls

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Periodic activity reportPeriodic activity report

Annex – Updated plan for using and disseminating the knowledge

Section 1 – Exploitable knowledge and its Use

Includes an overview table per exploitable result plus short description

Section 2 – Dissemination of knowledge

Includes an overview table per dissemination activity plus short description

Section 3 – Publishable results

Publishable summary of all exploitable results (for the CORDIS results database)

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Periodic project reviewsPeriodic project reviews

Assessment of project reports and deliverables by the Commission at the end of a reporting period, with the assistance of independent experts (reviewers)

The contractors may refuse one or several experts, on grounds of commercial confidentiality

The review can take place when all periodic reports and deliverables have been received by the Commission (incl financial forms)

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Subject of reviewsSubject of reviews

• Fulfilment of workplan / deliverables / objectives

• Planning for next period (18 months for IPs and NoEs)

• Plan for using and disseminating knowledge

• Management

• Necessity of resources

• Economy and necessity of costs

• Continued relevance

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Possible review outcomesPossible review outcomes

Approval of reports and deliverables and continuation of the project (with minor modifications, if any)

Request for resubmission of reports and completion of work or addition work, if needed

Re-negotiation of the work for next period (exceptionally combined with a suspension)

Termination

NoEs: the project may choose between 1-yr continuation w/o pre-financing, or termination

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Possible review outcomesPossible review outcomes

The Commission is not obliged to follow the recommendations of the independent experts

IPs and NoEs: As soon as the plan for the next 18 months is approved by the Commission, the coordinator shall submit in writing a request for amendment in order to update Annex I

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Evolution of the consortiumEvolution of the consortium

New partners

Partner withdrawals

Competitive calls in Integrated Projects and Network of Excellence

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New partnersNew partners

The request for the addition of a new contractor

must include

the form B, duly signed

together with the CPF, duly completed and signed the modified Annex I the justification for selecting this contractor

a letter explaining the proposed change, as appropriate

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Partner withdrawalsPartner withdrawals

Request from the contractorcontractor itself (Art.II.15.1) via the coordinator 60 days before the end of the project, including a letter of agreement to withdraw from the contractor concerned.

Request from the consortiumconsortium to terminate the participation of a contractor, including

Justification for doing so Proposal for reallocation of the tasks Letter of opinion from contractor concerned

N.B. Specific rules apply for the change of the coordinator

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Competitive calls in IP and NoECompetitive calls in IP and NoE

Article 15.2 of the Rules for Participation For some changes in the composition of the consortium,

requirement of prior publication of a competitive call (see Annex III)

Specifications of the changes in the joint programme of activities for a NoE and in the implementation plan for IP

The competitive call shall be published by the consortium and advertised widely using specific information support (Internet sites of FP6, specialist press and brochures, national contact points)

Offers shall be evaluated by the consortium according to the evaluation and selection criteria of the indirect action (Article 10.4 and 10.5 of RFP), and with the assistance of independent experts appointed by the consortium (procedure of Article 11.2(b) of RFP)

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Contract amendmentsContract amendments

An amendment to a contract is a contractual document that modifies some provisions of the initial contract.

An amendment is needed when the changes to provisions of the contract could affect the rights or obligations of one or more contractors, or of the Commission.

Amendments of FP6 contracts are normally implemented through an exchange of letters. The content of both letters must demonstrate the agreement between the parties.

Amendment guidelines including model requests are available on the EUROPA website.

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List of changesList of changessubject to amendmentsubject to amendment

• Change of start date of the project• Duration of the project• Community contribution• Reporting periods• Frequency of submission of the audit certificates• Complementary pre-financing• Intermediate pre-financing percentage• Addition or removal of one or more special clauses• Change of banking details• Modification of Annex I• Evolution of the consortium

• Addition• Withdrawal• Transfer of rights and obligations

• Change of coordinator• Removal of one or more legal entities from list of contractors

(Article 1.2.) due to their non-accession