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Alpine Space Program Contractual Arrangements & Financial Control Guide

This guide outlines contractual agreements, reporting obligations, financial control, and partnership responsibilities within the INTERREG IIIB Programme "Alpine Space." It covers key regulations, reporting procedures, funding, audits, and implementing Information and Publicity measures for project partners. The document provides a comprehensive overview of the European Commission guidelines and the managing authorities' roles in ensuring transparency and accountability in project management.

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Alpine Space Program Contractual Arrangements & Financial Control Guide

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  1. INTERREG IIIB PROGRAMME “ALPINE SPACE“ FORALPS kick-off meeting March 10th & 11th, 2005 Trento (I)

  2. AGENDA CONTRACTUAL ARRANGEMENTS • Partnership Agreement • Subsidy Contract REPORTING OBLIGATIONS AND FINANCIAL CONTROL • Activity Report • Financial Report • I&P Report • First Level Control • Second Level Control

  3. Contractual arrangements

  4. Contractual arrangements European Commission Regulations Managing Authority/Paying Authority JTS

  5. Regulations • 1260/1999: General Provisions • 1685/2000 in the version of No. 448/2004: Eligibility • 1159/2000: Information and Publicity • 438/2001: Management and Control Systems • 448/2001: Financial Corrections

  6. Project Partner Contractual arrangements European Commission Regulations Managing Authority/Paying Authority Agreement JTS Partner State Lead Partner Partnership Agreement

  7. Partnership Agreement • Contributions to the project • Obligations of Lead Partner and Project Partners • Responsibilities of Lead Partner and Project Partners • Request for Payments • Audit • Change/Loss of Partners

  8. Project Partner Contractual arrangements European Commission Regulations Managing Authority/Paying Authority Agreement JTS Partner State Subsidy Contract Lead Partner Partnership Agreement

  9. Subsidy Contract • Funding • Request for Payments • Changes in the project partnership • Obligations of Lead Partner • Audit rights • MA‘s right of withdrawal

  10. Subcontract Subcontract Subcontractor Subcontractor Contractual arrangements European Commission Regulations Managing Authority/Paying Authority Agreement JTS Partner State Subsidy Contract Lead Partner Partnership Agreement Project Partner

  11. Financial flows and reporting obligations MA/JTS

  12. reportsincl. certifications of expenditure Project Partner Financial flows and reporting obligations European Commission Managing Authority/Paying Authority JTS progress reports (activity and financial report) Partner State Lead Partner 1st level control services, invoices payment =ERDF-funding = national funding Subcontractor

  13. 2.: certifiesexpenditure 1st level control Project Partner Periodical and Final Progress Reports Managing Authority/Paying Authority 5.: JTS verifies the plausibility of the reported activities and expenditure 6.: MA checks and approves the progress report Joint Technical Secretariat/MA 4.: LP submits aggregated activity, financial and I&P report 7.: PA releases ERDF funds Lead Partner 3.: PPs submit activity and financial report 1.: LP and PP report expenditure

  14. Documents to besubmitted • Activity,financial and I&P report (incl. certifications of expenditure) originals per post to MA per E-Mail to MA and JTS • One copy of eachpublicationproduced (brochures, leaflets, articles, CD-ROM) per post to the JTS

  15. Some hints for reporting • Use the provided forms! Please do not change the lay out of the documents. • Check your subsidy contract for reporting obligations! • Be short and precise! • Refer to your approved application! • Don‘t hesitate to report problems, and failures (in time!)! • In case of doubt consult the manual, JTS, NCP or MA!

  16. Information and Publicity

  17. Why to implement I&P measures • To ensure greater transparency in the use of public funds. • To increase awareness of the joint action of the European Union in partnership with the Member States in supporting financially the project activities. • To inform on EU-funded project activities and disseminate results and best practices.

  18. Implementing and reporting of I&P measures I&P measures Information events Publications Description in the I&P report Description in the I&P report and delivery I&P officer check Submission to MA/PA Recommendations to the LP

  19. I&P officer check Congruency: • AF PR I&P Report • I&P Report supporting documents • I&P measures Reg.(EC)1159/2000

  20. Hints for implementing I&P measures • If you don‘t use the Joint AS/EU logo, the regulation requests always the mention of the co-funding (through ERDF) to finance the project actions. • The presence of the EU logo is always mandatory when the national/local emblem is portrayed. • The languages used in the publication must be the ones related to the partnership; in any case use the principle of “target-tailored communication“ and “good sense“. • Indicate in the publication the contact references where to get information on the Programme.

  21. Financial Control - First Level Control

  22. The first level control Any expenditure related to a project will be certified by a responsible national authority or private institution authorised to do so. The certification of expenditure / the first level control shall confirm • the delivery of the products and services co-financed, • the reality and eligibility of expenditure claimed and • that national and community rules, especially Commission Regulation (EC) 1685/2000, have been respected.

  23. The first level control in the single Member States • Austria:depending on the type of national co-funding different rules for first level control • France:the public authority that is responsible for the evaluation of the project carries out the first level control • Germany:depending on the type of national co-funding different rules for first level control • Italy: the first level control is carried out by an independent external auditor selected by the Italian Ministry of Infrastructures and Transport • Slovenia: the first level control is carried out by the Ministry of the Environment, Spatial Planning and Energy, depending on the type of national co-funding different rules for first level control

  24. Implementation of the first level control Which documents have to be submitted? • Receipted invoices • accounting documents of equivalent probative value • What has to be checked? • 100% of the project costs indicated for the respective Project Partner in table 8.2 of the application form independent from the co-funding rate • What kind of expenditure is eligible? • Regulated by Commission Regulation (EC) No 1685/2000

  25. Content of the first level control manual • Basic documents • Process of ERDF-Cofunding • First level control (certification of expenditure) • Description of the organisation of the first level control in the single member states • Implementation of the first level control • Which documents have to be submitted? • What has to be checked? • What kind of expenditure is eligible? • How to handle revenues? • What has to be done after finishing the control?

  26. Some hints • For Austrian and German project participants a confirmation of the reliability of the first level control has to be provided (an agreement between the flc body and the responsible national authority) • Time management (coordination with the FLC body) is very important! • Cooperate with the FLC bodies!

  27. Financial Control - Second Level Control

  28. The second level control - Sample checks Art. 10 Commission Regulation (EC) No 438/2001: • Member States shall organise checks on operations on an appropriate sampling basis, designed in particular to • verify the effectiveness of the management and controlsystems in place • verify selectively, on the basis of risk analysis, expenditure declarations made at the various levels concerned. • The checks carried out before the winding-up of each assistance shall cover at least 5% of the total eligible expenditure and be based on a representative sample of the operations approved.

  29. THANKS FOR YOUR KIND ATTENTION

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