Project Management. Project Management. Project Management. Information flow between partners. Information flow between partners

Transcription

1 ERAENV Training Session Sofia, June 2005 Project Management Being a coordinator - Management of EU Manfred Schütze ifak e. V. Magdeburg Steinfeldstr. 3 D Barleben, Germany manfred.schuetze@ifak-md.de Now that you have got your EU project, you have to work on it... Project Management Work within the project Dissemination (Contact with the outside world) Finances Knowledge ( Intellectual Property Rights ) Commercialisation 1 2 Project Management Management of the consortium Coordination of technical activities of the project Overall legal, contractual, ethical, financial and administrative management, including communication with Commission and reporting Coordination of knowledge management and other innovation-related activities Overseeing the promotion of gender equality in the project (if relevant) Overseeing science and society issues related to the research activities Obtaining audit certificates by each of the participants Maintenance of any consortium agreement Obtaining any financial security when requested by the Commission Project Management Work within the project Two important aspects: Information flow between partners Conflict resolution 3 4 Information flow between partners Information flow between partners Example: A project with 7 partners 5 6 1

2 Information flow between partners Information flow between partners All-to-all information flow Example: A project with 7 partners: 21 information links! A project with 15 partners: 105 information links! All-to-one information flow (Coordinator model) Example: A project with 7 partners: only 6 information links One partner has a lot of (probably unnecessary) communication Super-power? 7 8 Information flow between partners Information flow between partners Ring model Example: A project with 7 partners: only 6 information links a lot of information overhead slow Sub-group model Example: A project with 7 partners: One coodinator Sub-group (e.g. Work Package) leaders 9 10 Information flow Conflict resolution All communication with the Commission should go through the Coordinator (unless agreed otherwise or in very exceptional circumstances)

3 Conflict resolution Conflict resolution Prudent document setup: Define information flow and procedures in the proposal / Consortium Agreement documents This will also help in conflict resolution Clearly define the work to be carried out Deliverables!!! Voting procedures: e.g.: Majority voting vs Uniamimous voting Communication procedures: way of day-to-day communication Check draft consensus reports / Model contracts of EU Try to avoid conflicts Maintain good communication Observe deadlines Notify partners / Work package leader / Coordinator early in case of problems or delays Mutual help doing a favour to someone may result in being given a favour lateron Discuss and resolve problems amicably, if possible Keep notes and minutes of meetings and important phone discussions Get partners to approve minutes Conflict resolution Step-by-step procedure: In case of problems with a project partner: Try to resolve by direct communication If unsuccesful, get Work Package leader involved If unsuccesful, get Coordinator involved Read contract documents, including annexes Reports: to be sent electronically But also by registered mail with Acknowledgement of receipt Periodic Reports Within 45 days after end of reporting period: Periodic activity report Periodic management report Form C (Financial statement per activity) + possibly audit certificate Report on distribution of funds between partners during period Any other report as required by the Annexes of the Contract Final Reports Within 45 days after end of last reporting period: Final activity (all work, objectives, results, use of knowledge etc.) Final management report (covering full duration of project, including a summary financial report consolidating costs claimed by each partner) Any other report as required by the Annexes of the Contract

4 Final Reports (continued) Additionally: summary final report suitable for publication (work, objectives, results and conclusion) (If appropriate:) Final Plan for using and disseminating knowledge Some more details about Periodic Reports Within 60 days after end of last reporting period: Report on distribution of funds between partners Periodic Reports Periodic activity report Activities of the consortium Progress towards the objectives of the project Progress towards the deliverables and milestones foreseen Problems encountered, measures taken Updated plan for use and dissemination of knowledge Periodic management report Justification of resources deployed by each contractor (linked to activities and justifying their necessity) AC partners: identify all (not just the additional) resources Cost Statement (Example: Cost Statement for a STREP) To be filled in by each partner Information in EURO Cost Statement Part 2: Declaration of eligible costs Cost Statement Parts on: Request from EU; Audit certificate; Conversion rates

5 Cost Statement Part 8: Declarations and signature of the contractor Commission evaluates the reports (up to 45 to 90 days) If reports and financial statements are approved: Commission pays financial contribution (within 45 days) Approval also means: Pre-financing is requalified as definite payment (settled payment) Review meetings Review meetings During period of the project, periodic or mid-term reviews assistance of independent experts to decide if Community financial support for the project should be continued Options, if negative: Changes of the Work Plan Suspension of the project until corrective action has been taken Termination of the contract At proposal stage cost models project budget At project stage Advance payments etc. Handling of payments Cost Statements Annex II

6 Financial guidelines for FP6: Any questions? Check FAQ document from this website Community financial contributions in FP6 Public procurement (call for tenders) Grant (call for proposals) Lump sum payment Reimbursement of eligible costs Instruments vs Types of Community contributions Cost models Each organisation participating in an FP6 project has to opt for a cost model: FC Full cost with actual indirect cost FCF Full cost with indirect flat rate costs AC Additional cost with indirect flat rate costs Many EU instruments pay 50 % of costs for FC partners 100 % of costs for AC partners FC Full cost with actual indirect cost FC and FCF: Typical cost models for companies, SMEs etc. FC model can be used by any entity (except physical persons) All eligible direct and indirect costs are charged to the project FC and FCF: Accounting system of the partner allows to distinguish between direct and indirect costs FCF Full cost with indirect flat rate costs FC and FCF: Typical cost models for companies, SMEs etc. FCF: easier accounting procedures than FC All eligible direct costs and a flat rate for indirect costs are charged to the project Flat rate = 20% of direct eligible costs minus subcontracts

7 AC Additional cost with indirect flat rate costs AC: Typical cost model for universities etc. All eligible direct additional costs and a flat rate for indirect costs are charged to the project Flat rate = 20% of direct additional costs costs minus subcontracts Non-commercial or non-profit organisations established under public or private law and international organisations: Only those which do not have an accounting system allowing to distinguish between direct and indirect costs may opt for the AC model. SMEs: FC or FCF model Direct costs Eligible costs associated directly to the project Determined by usual accouting practices of the contractor Direct additional costs Eligible costs additional to the normal recurring costs of the contractor that are associated directly to the project and not covered by other sources E.g. Personell with a temporary contract (for the project / for PhD) Personell whose contract depends on external funding (costs covered by normal recurring financing may not be charged) Indirect costs (FC:) all eligible costs, which are not directly attributable to the project but are incurred in relation to the direct costs of the project. (FCF, AC): flat rate applied is deemed to cover such costs. Instruments vs activity types Eligible costs Actual, economic, necessary for the project Actual: real (not fictitious) Economic: reasonable, complying with normal behaviour of the participant Necessary: necessary for and linked to the project Determined according to the usual accounting principles of the contractor Must be incurred during the duration of the project (Exceptions for preparation of Final Report) Interest, exchange losses etc. are not eligible! Indirect eligible costs E.g. General administration and management Office and lab space (rent, depreciation) Electricity, water, maintenance,... Office supplies, telephone charges, communication Common office equipment FC partners: have to justifiy their costs in the audit certificates FCF, AC partners: these costs are deemed to be covered by flat rate

8 Certain rules about cost models need to be observed Once you have chosen a cost model, you have to use it for all your FP6 projects Only the following changes are permitted: AC -> FCF or FC FCF -> FC Exception: RTD performers in CRAFT project may use FC model, even when using AC model usually Audit Certificate Required from each contractor Certification of the costs claimed Provided by the contractor s own external auditor (for public bodies: by a competent public officer) Costs: reimbursed via Management activity of the project (100%) IP, NoE: annual Audit Certificates Commission still has the right to carry out ist own audits (up to five years after end of the project) List of independent auditors: Price for audit certificate: direct eligible costs under Management See Annex 7 of Financial Guidelines for a template Financial contribution of the Community depends on Activity (research/demonstration/training/management/...) Cost model (FC, FCF, AC) Receipts ( income ) from the project Community framework for State aid for R&D Community+State support must not exceed certain thresholds (applies not to public non-profit education or research establishments). Receipts ( income ) from the project Financial transfers to the contractor Contributions in-kind If not used only at the discretion of the contractor Income generated by the project (e.g. sale of equipment bought for the project, admission fees to conferences organised in the project,...) Managing money Managing money Community never pays more than the maximum amount (Exception: increase of the consortium) The Coordinator receives the Community financial contribution on behalf of the partners The coordinator forwards the money to the partners without unjustified delay Exception: Initial-prefinanicing distributed only when minimum number of participants have acceeded the contract. Advance payment: Initial payment: transmitted to coordinator within 45 days of date of entry into force of the project / accession to the contract Any interest gained by the coordinator counts towards the project. Later payments: Usually based on approval of periodic reports Final payment: Also requires Final reports to be submitted Suspension of payment Commission may suspend payment in case of missing/unsatisfactory report or suspicion of irregularity

9 Subcontracting in FP6 Subcontracting in FP6 Contractors should do the work described in Annex I (Description of Work) by themselves. However, where it is necessary to subcontract certain elements of the work to be carried out, this should be clearly identified in Annex I. During the implementation of the project, contractors may subcontract other minor services, which do not represent core elements of the project work, which cannot be directly assumed by them and where this proves necessary for the performance of their work under the project Project Management and Coordination cannot be subcontracted in FP6. Usually no subcontracting between contractors. If the tasks to be subcontracted cannot be realised by the contractors concern the production of a service necessary for the good implementation of the project do not constitute a core element of the project they can be subcontracted. The rules for selecting subcontractors must be applied Subcontracting in FP6 Subcontracting in FP6 Choice of subcontractors: to the bid offering best value for money (best price-quality ratio), under conditions of transparency and equal treatment. Public entities: Consider national legislation For large amounts: Directive on public procurement of services and Call for Tender For smaller amounts: follow your own internal procedures (as long as compliant with EC contract) Private legal entities their internal rules for the normal selection of procurement contracts (typically a minimum of three offers), no Call for Tender Work by a subcontractor belongs to the contractor in the EC contract. Subcontractor has no rights or obligations vis-à-vis the Commission or the other contractors to the EC contract as it is a third party. contractor must ensure that the subcontractor can be audited by the Commission or the Court of Auditors Cost of audit certificates (excl. VAT) may be charged as an eligible cost under the management of the consortium activity even if it may be subcontracted to an external body. See also: Annex II (Model Contract) Subcontracting = direct costs Knowledge Any results of an FP6 project (NoE: of JPA) Pre-existing know-how : information held by the contractors independently of the project (developed before the project or in parallel during the project) Access rights : Licenses and other rights to knowledge or pre-existing know-how Help: Guide to Intellectual Property Rights for FP6 projects IPR Helpdesk: Some changes within FP6 as compared to FP

10 Protection of knowledge: If knowledge is capable of industrial or commercial application, it should be protected (e.g. filing of patents etc.) If a project results in the discovery of something that could be protected by IPRs, it is important to keep it confidential Importance of Consortium Agreement Minimum requirements: Access rights to preexisting know-how Access rights to knowledge If a participant needs them for carrying out its own work under the project For carrying out the project Royalty-free unless Royalty-free otherwise agreed before signing the contract If a participant needs them for using its own knowledge For use (exploitation and/or further research) Non-discriminatory conditions to be agreed Possibility for participants to agree on exclusion of specific pre-existing know-how before signature of the contract (or before entry of a new participant) Royalty-free unless otherwise agreed before signature of the contract Possibility to exclude specific pre-existing know-how Must be done before signing the contract Other partners must agree unless they can demonstrate that project implementatoin or their legitimate interests would be significantly impaired Joint ownership : Contractors have jointly generated the knowledge CRAFT and Collective Research projects Transfer of ownership : Advance notification needs to be given to Commission and to contractors Sublicense: Grant of access rights does not include the right to sublicense CRAFT/Collective Research: CRAFT: Owners = SME Collective Research: Owners = Industrial Associations or Groupings RTD performers shall grant access rights to pre-existing know-how necessary for the execution of the project on a royalty-free basis Some terms: Joint Reseach Unit : structure having no legal personality (e.g. to organisations running a joint laboratory) Common legal structure : entity set up solely for the project Consortium Agreement: Usually mandatory for FP6 projects (unless exempted in the call) Strongly recommended NoE, IP, SME-specific actions: always need Consortium Agreement Should be concluded before the contract Cannot conflict with provisions of the EC contract Checklist for a Consortium Agreement available on website Thank you! Any questions?