ESSnet Training Part 2 – Administrative Matters

ESSnet TrainingPart 2 – Administrative Matters P. Jacques / V. Radermacher ESSnet Training Bucharest

General ESSnet process Financial instruments FPA procedure Roles and responsibilities of the partners Follow-up & evaluation of ESSnet projects Changes in 2011 & useful reminders Contents 26-27.05.2011 ESSnet Training Bucharest 2

General ESSnet process Step 1: Preparation of the project Choice of project at Eurostat level Discuss the subject and content of the ESSnet project with Member States in the different WGs and TFs and get interest and partnership including co-ordination from involved Member States Eurostat develops the yearly ESSnet plan of activities Indicative calendar ESSnet Training Bucharest 3

New ESSnet selection procedure for 2011 onwards ESSnet Training Bucharest

General ESSnet process Step 2: Programming: Eurostat prepares the annual work programme Eurostat presents the ESSnet annual plan to the ESSC in May for discussion Eurostat includes ESSnet projects in the Financing Decision (FD) Adoption of the FD by the Commission ESSnet restricted invitation to submit proposals to be launched once FD adopted. Indicative calendar ESSnet Training Bucharest 5

General ESSnet process Step 3: Invitation to submit proposals Restricted invitations to submit proposals: Invitation letter to ESS organisations, with technical specifications (including evaluation criteria), templates and model contract and deadline for submission of proposal. No informal contacts between MS and Eurostat once the restricted call is launched. Reception of proposals: Detailed projects proposal sent by coordinators to Eurostat (at least 3 weeks for preparation of the proposal – at the discretion of Eurostat unit) Advise to set up a mailbox for exchange of information and documents between partners Indicative calendar ESSnet Training Bucharest 6

General ESSnet process Restricted invitation to submit proposalssent to 27 NSIs + Iceland, Liechtenstein and Norway + Switzerland In case of SGA, invitation letter only to FPA partnership members Annexes : Technical Specifications (Annex I, including award criteria) ESSnet grant application form (MBGA/FPA/SGA) Budgetary details – excel sheet (Annex III) Template of respective grant agreement Guidelines Template for technical implementation reports and financial statements (if applicable) Template of audit certificate (if applicable) ESSnet Training Bucharest 7

General ESSnet process Step 4: Grant award procedure Evaluation: Evaluation of proposals and selection of partners/ beneficiaries according to the eligibility and exclusion, selection and award criteria, followed by grant award decision Technical proposal evaluated by Eurostat (positive, negative or request improvements) Use of thresholds. Award decision: Taken by Authorising officer and documented ESSnet Training Bucharest 8

Award Criteria (Annex I, Part B): will be defined in order to assess the quality of proposals and to maximise the overall effectiveness. Eurostat has improved the evaluation process to ensure that the award criteria maximises the overall effectiveness of the Community actions by means of the specifications in the invitations to submit proposals: The application will be evaluated and marked against a number of award criteria. The grand total of the marks for all award criteria should be equal to or greater than 60 points (out of a maximum of 100 points). The funding decision will be taken on the basis of these rules and within the limits of the available budget. General ESSnet process – Grant award procedure ESSnet Training Bucharest

Some award criteria are proposed below as an example – they could change according to the characteristics of the action. General ESSnet process – Grant award procedure ESSnet Training Bucharest

Eligibility criteria Must be a national statistical authority or another national authority responsible for the development, production and dissemination of European statistics. Exclusion criteria Grants may not be awarded to applicants who are, at the time of a grant award procedure, in one of the situations referred to in Articles 93 (1), 94 and 96(2)(a) of the Financial Regulation. Accordingly, a declaration of the applicant is to be included in the application. Selection criteria A brief description of the relevant competences and previous experiences of the partners (in addition to the CVs) Justification on subcontracting, if any. … (other criteria could be added depending on the action) General ESSnet process – Grant award procedure ESSnet Training Bucharest

General ESSnet process Step 5: Commitment Eurostat prepares the grant agreement: depending on the characteristics of the action Multi-Beneficiary Grant Agreement (or) Framework Partnership Agreement with multiple partners. ESSnet Training Bucharest 12

General ESSnet process Step 6: Implementation Pre-financing: if contractually agreed Monitoring technical and financial report: On-going monitoring of grant actions Step 7: Closure Final payment: Approval of the final payment. Ex-post evaluation: Feedback: collection of information about issues and process weaknesses identified during the process ESSnet Training Bucharest 13

General ESSnet process Financial instruments FPA procedure Roles and responsibilities of the partners Follow-up & evaluation of ESSnet projects Changes in 2011 & useful reminders 26-27.05.2011 ESSnet training Bucharest ESSnet Training Bucharest 14

Financial instruments Partnership Agreements Partnership is an arrangement for 'long‑term cooperation' that the Commission establishes with certain beneficiaries called 'partners'. Partnerships involve: mutual interest and common general objectives shared by the Commission and its partner in pursuing a Community policy; actions that have been defined and agreed jointly between the Commission and its partner, on the basis of common general objectives; an ongoing and formalised arrangement between the Commission and its partner to implement the envisaged actions ESSnet Training Bucharest 15

Financial instruments Partnerships are implemented by particularlegal /financial instruments: According to the characteristics: Multi-Beneficiary Grant Agreement(MBGA): action clearly defined and with a duration of less than 2 years. Framework Partnership Agreement with multiple partners. This financial instrument is used for long term projects of about 4 years. Supplemented by Specific Grant Agreements (SGA) ESSnet Training Bucharest 16

Financial instruments: FPA Duration: For ESSnets longer than 2 years, but not exceeding 4 years, (only in exceptional cases). Contents: Preamble, which justifies establishment of the partnership and the nature of the actions envisaged. Special and General Conditions, which define the respective roles and responsibilities of the Commission and the partner. Annexes: Actions planned under the partnership, Model of Specific Grant Agreement Mandates Management arrangements (organisation of the team) ESSnet Training Bucharest 17

Financial instruments: SGA Technical and financial arrangements for a given action are described in the Specific Grant Agreements SGA are lighter documents containing: the duration of the action the detailed description of work to be achieved during the period the financial details (funding, distribution between partners, payments details) ESSnet Training Bucharest 18

Financial instruments: FPA-SGA SGA Action 1 FPA Preambule Special & General conditions Roles & responsibilities Annexes SGA Action 2 SGA Action … Technical & financial provisions for the action 26-27.05.2011 ESSnet training Bucharest ESSnet Training Bucharest

Financial instruments – FPA/SGA characteristics Role of the beneficiaries: A group of multiple partners / beneficiaries must always have a coordinator, who has certain responsibilities Signature: All partners must provide a power of attorney for the coordinator to sign the agreement. The mandates are then attached to the agreement. Organisation of the team: All partners must agree upon appropriate arrangements between themselves for the proper performance of the action. Financial responsibility: An article (special conditions) provides the possibility to reduce the financial responsibility of each beneficiary of the agreement to the amount of the contribution it is entitled to receive. ESSnet Training Bucharest 20

FPA Procedure Preparation of the FPA (once for 4 years) Discuss the general subject, the duration and elaborate the activities to be covered by annual ESSnet projects with Member States in the different WGs and TFs and get interest and partnership including co-ordination. Start already to discuss the content of the first year of activity of the annual ESSnet project with Member States in the different WGs and TFs Eurostat develops the yearly ESSnet plan of activities. Eurostat prepares the annual work programme. Eurostat presents the ESSnet annual plan to ESSC in May for discussion ESSnet Training Bucharest 22

FPA Procedure How are the FPA awarded? Eurostat launches an ESS restricted call for proposals for an FPA. Coordinator sends on behalf of partnership, a proposal including the general implementation of the activities and the general administrative arrangements, partnership and resources devoted to the action Eurostat evaluates the proposal, negotiates points and generates the contract to be signed by the coordinator on behalf of the partnership. ESSnet Training Bucharest 23

Preparation of the SGA (Specific Grant Agreement) Procedure for selection of the proposal and start of the project: Yearly programme of activity developed and elaborated with MS in WGs or TFs Invitation letter only to FPA partners, with technical specifications, templates and model contract and deadline for submission of proposal. Detailed project proposal sent by coordinators to Eurostat (at least 3 weeks for preparation of the proposal – at the discretion of Eurostat unit) Technical Proposal evaluated by Eurostat (positive, negative or request improvements) Eurostat to prepare the contract (Specific Grant Agreement) and start the project ESSnet Training Bucharest 24

Role of the coordinator (1) There is only one coordinator per FPA or MBGA; The coordinator is the contractual representative of the partnership The coordinator(main partner) has full responsibility to ensure that the project is implemented according to the grant agreement. the technical and financial management of the action, except where specifically stated otherwise in the grant agreement; All communication between the co-partners and the awarding authority is done through the coordinator. The coordinator is responsible for supplying all documents and information to the Commission which may be required under the agreement, in particular in relation to the requests for payment. gather scientific, technical, administrative, financial info from partners and send them to Eurostat The coordinator is responsible for receiving the funds and transferring them to the partners (optional) The co-ordinator shall not delegate any part of this task to the co-beneficiaries or to any other party ESSnet Training Bucharest 26

Role of the coordinator (2) The coordinator shall inform the co-partners of any event which could be affect the implementation of the action; inform the awarding authority of transfers between items of eligible costs; establish the payment requests on behalf of the partners, detailing the exact share and amount assigned to each partner; where designated the sole recipient of payments on behalf of the beneficiaries, ensure that all the appropriate payments are made to the co-partners without unjustified delay shall inform the awarding authority of the distribution of the EU financial contribution among co-partners and of the date of transfer of funds to its associates The coordinator is responsible, in the event of audits, checks or evaluations, for providing all the necessary documents, including the accounts of the co-partners, originals or certified copies of the original accounting documents and certified and signed copies of sub-contracts. ESSnet Training Bucharest 27

Role of co-partner/co-beneficiaries The co-partners shall participate in the project to which they contribute financially; shall agree upon appropriate arrangements between themselves for the proper performance of the action. The partners are encouraged to conclude an internal co-operation agreement regarding their internal operation, financial responsibilities and co-ordination. The co-operation agreement shall include all aspects necessary for the management of the partners and the implementation of the action; forward to the co-ordinator the data needed to draw up the reports, financial statements and other documents provided for in the agreement including its annexes; ensure that all information is provided to the awarding authorities via the co-ordinator, except where the agreement specifically stipulates otherwise; inform the co-ordinator immediately of any event liable to substantially affect or delay the implementation of the action; inform the co-ordinator of transfers between items of eligible costs; provide the co-ordinator with all the necessary documents in the event of audits, checks or evaluations. ESSnet Training Bucharest 28

Role of EUROSTAT in ESSnets Project Manager/Officer Are the interface between the project (Coordinator) and the Commission (Eurostat) Ensure administrative and technical follow-up of the project Check project on schedule, should be informed of all problems, admin and technical Validate technically the deliverables and ensure they are relevant Responsible for the Commission of the project achievements Report achievements, problems, delays to governance structure Is responsible for the final evaluation of the project (May be helped by colleagues or external experts) Sign the final payment Steering Group monitor the main achievements help the Eurostat project manager to validate key results and options or developments Directors Group Validation of the results DIME (Directors of Methodology) annually on the achievements of all the ongoing ESSnet projects. validates of annual ESSnet achievements before presentation to the ESSC in May ESSnet Training Bucharest

Follow-up of ESSnet projects: reporting Contractual reports Intermediate (template available) and final report (template available) Quarterly reports (template available) Cost statement Manuals, web site, etc. Project Officer (Eurostat) Evaluation criteria Steering committee Network of methodologist Final Review Audits Evaluation by Directors Group in charge (BSDG, SDG, CPSA, ITDG, DIME…) Annual evaluation of results and screening by DIME Reporting to ESSC ESSnet Training Bucharest 31

Follow-up of ESSnet projects • Depending on the importance and duration of the project • Steering group: • Eurostat staff members from the interested units + one member of the ESSnet (preferably the coordinator) at least one member of the ESS not participating in the project (+ eventually, external experts) • For continuous monitoring + mid-term and final evaluation. • To assure knowledge transfer and dissemination • A responsible staff member from Eurostat unit in charge to be designated for follow-up and good execution of the project. • Continuous information and involvement of the network of methodologists for validation/support/advice and transfer of results to other domains/areas. • General report to ESSC on proposals retained, agreements signed and results (preliminary/final) ESSnet Training Bucharest 32

Follow-up - Evaluation criteria (1) Criteria to be used for: Ex ante documentation Evaluation of the interest to launch the project Continuous monitoring Final evaluation Ex post assessment Quality of the project proposal Interest from ESS members in the outcomes. (Does the project answer a need that is shared by the ESS?); Clarity of the objectives, the approach and the definition of operational results. (Are the objectives, approach and methodology defined in such a way that they give a sufficient assurance on the added value for the ESS? Is the output product clearly identified?); Complementing not duplicating ongoing or planned actions (research, ESTAT work, other ESSnets). (Is the project compatible with other existing actions in the same area of GSBPM?). ESSnet Training Bucharest

Follow-up - Evaluation criteria (2) Potential impact of the project proposal Potential impact for the improvement of a GSBPM step in the ESS (GSBPM step(s) involved should be identified. An assessment will be made on the potential gain in the GSBPM assessing whether the project can be generalised in the GSBPM step, it is innovative and it contributes to integration, harmonisation and comparability of outputs) Compliance with the "vision". (Is the project in line with the "vision"?) Compliance with Code of Practice (CoP). (Does the project improve compliance with the CoP?) ESSnet Training Bucharest

Follow-up - Evaluation criteria (3) Operationalisation and cost-effectiveness Capacity and knowledge of the partnership to successfully achieve the proposed results. (Is the partnership identified? Does it have the knowledge in the domain?) Promotion of results and implementation facilities provided. (Is the promotion phase presented sufficient, taking into account that sharing of results is the main characteristic of an ESSnet?) Resources involved vs. expected results, cost-benefit analysis. (Is the project cost effective?) ESSnet Training Bucharest

Submission of paper version of proposals is no longer requested! The following supporting documents are required: Declaration by the applicant (coordinating beneficary) duly signed Annex III - Estimated budget duly filled in CVs as specified in the technical specifications Mandates conferring power of attorneys from the co-partners to the co-ordinator (including “declarations of honour”) If applicable: letters of commitment by external sponsors If applicable: Financial Identification Forms Changes in 2011 & useful reminders ESSnet Training Bucharest

I Information on the applicants: 1. Coordinator (C) 2. Co-partners (CP) II Eligibility, Exclusion and Selection Criteria (Operational Capacity) III Information on the action for which the grant is requested 1. Description of the action 2. Planning of the action 3. Description of tasks 4. Distribution of manpower for the duration of the action 5. Meetings 6. Budget (Annex III Excel File) IV Other sources of funding V Declaration by the applicant Annex 1: Mandate conferring powers of attorney from co-beneficiaries to the co-ordinator Annex 2: Checklist for Applicants Changes in 2011 & useful remindersApplication form ESSnet Training Bucharest 38

An application will be accepted only if it is: submitted on the correct form, fully completed and dated; signed by the person authorised to enter into legally binding commitments on behalf of the applicant; shows a budget in conformity with the funding rules; meets the submission arrangements set in the invitation letter and its annexes; submitted by the deadline. Changes in 2011 & useful reminders ESSnet Training Bucharest

3 options for estimating/declaring staff costs Option 1: Actual costs Option 2: Minimum rates Option 3: Scales of unit costs (SUC)(For 2011 only: DK, ES, HU, NO, LT, PL, SE) A single option to be chosen in a grant application Changes in 2011 & useful reminders ESSnet Training Bucharest

New single flat rate for indirect costs representing 30% of the total eligible direct personnel costs for grants signed as of 2011 - No retroactivity! May be applied to SGA (of earlier signed FPA) only through amendment of the respective FPA acceptance of all new (2011) provisions (VAT, transfer...) Changes in 2011 & useful reminders ESSnet Training Bucharest

EU funding possible up to 95% for collaborative networks Coordination tasks of the co-ordinatorin a given action can be financed up to 100% under the condition that the overall action does not exceed the maximum co-financing rate. all payments are directly made to the co-ordinator (i.e. option 1 of Article I.7.1 of the grant agreement was chosen). Specific sheet for the co-ordinator in estimated budget Adaptation of art I.4.3 of the grant agreement Changes in 2011 & useful reminders ESSnet Training Bucharest

Concluding/implementing contracts in order to carry out a limited part of the action only (subcontracting) -> no 20% threshold, but recourse to be duly justified;Applicants should not act as intermediaries! - > Entities according to Article 5 of regulation 223/2009 cannot be proposed as pre-identified subcontractor, (they may become subcontactor via procurement) Changes in 2011 & useful reminders Implementing actions with partners ESSnet Training Bucharest

Any recourse to the award of contracts while the action is under way, if not provided for in the initial grant agreement or amendment(s), shall be subject to prior written authorisation of Eurostat. Changes in 2011 & useful reminders Implementing actions with partners ESSnet Training Bucharest

Experts (physical persons) not belonging to the beneficiaries organisation are to be considered as subcontractors Changes in 2011 & useful reminders Implementing actions with partners ESSnet Training Bucharest

VAT: if paid by public bodies is not eligible (XLS sheet: “Non-eligible costs”) Transfers between the budgets of partners are not possible (unless specified in FPA signed before 2011 or via amendment) Transfers between budget items of individual budgets are possible up to 20% Changes in 2011 & useful reminders ESSnet Training Bucharest

Duration of the action and eligibility period Changes in 2011 & useful reminders ESSnet Training Bucharest

Eligibility period – preparatory work Changes in 2011 & useful reminders ESSnet Training Bucharest

Duration of the action - Changes in 2011 & useful reminders ESSnet Training Bucharest

Amendments If needed, any request, to be approved by the Commission, must be sent: in good time before it is due to take effect at all events one month before the closing date of the action Usually necessary for Changes in the core part of GA (specific conditions) Changes in implementation of the action (Annex I of GA) Transfer between headings > 20% Changes in 2011 & useful reminders ESSnet Training Bucharest

ESSnet Training Part 2 – Administrative Matters