Modalities and Procedures of Interaction

Transcription

1 Ref. Ares(2016) /02/2016 Memorandum of Understanding between the Research Executive Agency and DG Research and Innovation, DG Education and Culture, DG Communication Networks, Content and Technology, DG Agriculture and Rural Development, DG Internal Market, Industry, Entrepreneurship and SMEs, DG Migration and Home Affairs Modalities and Procedures of Interaction Development - Modalities and Procedures of Interaction Page 1 / 34

2 0. INTRODUCTION This document stems from Article 7 of the Instrument of Delegation of the Research Executive Agency (the Agency) and supplements its provisions by specifying the modalities and procedures of interaction between the Agency and DG Research and Innovation (RTD), DG Education and Culture (EAC), DG Communication Networks, Content and Technology (CNECT), DG Agriculture and Rural Development (AGRI), DG Internal Market, Industry, Entrepreneurship and SMEs (GROW) and DG Migration and Home Affairs (HOME). This document does not replicate provisions already described in the Instrument of Delegation or any other legal documents that regulate the functioning of the Agency. In accordance with the above statements, this Memorandum of Understanding is structured as follows: Part I General provisions Part II Specific provisions for the implementation of Horizon 2020 and FP7. The administrative and logistical support services provided by REA are regulated by the Rules for the Administrative and Logistical Support Services provided by the REA for Horizon 2020 and Certain Other Programmes. It is commonly understood and accepted that not all relations between the parent DGs and the Agency can be settled by formal, pre-set rules. Both the Commission and the Agency will strive to solve any arising issues in accordance with the principle of loyal cooperation in the interests of the Union. This document replaces the previous MoU version signed on 4 September 2014 (Ares(2014) ). Development - Modalities and Procedures of Interaction Page 2 / 34

3 Table of Contents 0. INTRODUCTION... 2 PART I GENERAL PROVISIONS MEETINGS BETWEEN THE AGENCY AND THE PARENT DGS Steering Committee meetings Parent DG s management meetings Meetings related to programmes/activities ADMINISTRATIVE ACTIVITIES Budgetary and financial issues Annual budgetary procedure Union financial contribution Waiver of recovery of entitlements and enforcement of recoveries Waiving of recovery orders where the amount is greater or equal to 1,000,000 or where it is greater or equal to 100,000, where this represents 25% or more of the established amount receivable Waiving of recovery orders for reason of proportionality under the thresholds mentioned in Adoption of enforceable recovery orders according to Article 299 of the TFEU The recovery of funds through judicial proceedings Human resources Legal review under Article 22 of Council Regulation (EC) No 58/ Code of Good Administrative Behaviour complaints IT governance and resources Housing Security and Business Continuity policy, management of and access to documents Security and Business Continuity policy Management of and access to documents Data Protection COOPERATION BETWEEN THE AGENCY AND THE PARENT DGS IN RELATION WITH OTHER ACTORS AND INSTITUTIONS The Agency, its parent DGs and services of the Commission Designated Contact Points The Legal Service of the Commission The Internal Audit Service of the Commission The Agency, its parent DGs and institutions, bodies and offices of the Union The European Parliament The European Court of Auditors The European Ombudsman The European Data Protection Supervisor The European Anti-Fraud Office (OLAF) PLANNING AND REPORTING Annual Work Programme Interim reporting to the parent DGs and the Steering Committee Annual Activity Report General provision of data and information SUPERVISION AND EVALUATIONS Supervision Avoiding gaps or duplication of tasks by means of coordination between the Commission and the Agency Appropriate monitoring of the activities Analysis of information Reporting on the supervision Review of supervision Evaluations Development - Modalities and Procedures of Interaction Page 3 / 34

4 PART II SPECIFIC PROVISIONS FOR THE IMPLEMENTATION OF HORIZON 2020 AND THE LEGACY OF FP PART II(A) HORIZON COORDINATION BETWEEN RESEARCH AND INNOVATION FAMILY DGS AND THE AGENCY Horizon 2020 management coordination meetings Day to day Horizon 2020 coordination Agency and Research and Innovation DGs relevant services Agency and Research and Innovation DGs budget services Secretariat of the different configurations of the Horizon 2020 Programme Committee, participation of the Agency in Programme Committee meetings The Common Support Centre (CSC) for Horizon The Horizon 2020 IT applications suite CALL FOR PROPOSALS EVALUATION OF PROPOSALS Selecting, contracting and briefing expert evaluators and observers Selection of expert evaluators and observers Contracting expert evaluators and observers Briefing of expert evaluators and observers Observers report Admissibility and Eligibility Review Committee and Evaluation Review Committee Admissibility and Eligibility Review Committee Evaluation Review Committee The Ethics Review Selection and briefing of ethics experts Ethics review Ethics checks and audits during the Grant Management Security scrutiny Consultation of the Commission services by Agencies on the main list and reserve list Consultation on the draft main lists Consultation on the use of the reserve list Double funding Providing data and information SELECTION PROCEDURE Selection and rejection procedure Providing data and information Communication to beneficiaries After experts evaluation After ethics evaluation Security scrutiny IMPLEMENTATION OF INDIRECT ACTIONS Monitors Providing data and information Feedback of results into policy making as part of the strategy for the dissemination and exploitation of Horizon 2020 research results Participant Guarantee Fund waiver of entitlements Ex-post audits on beneficiaries OTHER ISSUES Cross-cutting issues Calls including more than one budget line (e.g. Focus Areas) Contractual Public-Private Partnerships EXTERNAL COMMUNICATION National Contact Points Communication on Horizon PROGRAMME EVALUATION Development - Modalities and Procedures of Interaction Page 4 / 34

5 ANNEX HORIZON 2020 PROGRAMME COMMITTEE CONFIGURATIONS PART II(B) FP COORDINATION BETWEEN RESEARCH AND INNOVATION FAMILY DGS AND THE AGENCY FP7 management coordination meetings Day to day FP7 legacy coordination Agency and Research and Innovation DGs relevant services Agency and Research and Innovation DGs budget services LEGAL SUPPORT, BUSINESS PROCESSES, THE IT APPLICATIONS SUITE, PROGRAMME INFORMATION AND DATA, AND PROVISION OF RELEVANT TRAINING IMPLEMENTATION OF INDIRECT ACTIONS Monitors Providing data and information Dissemination, use and exploitation of results Participant Guarantee Fund waiver of entitlements Ex-post audits NATIONAL CONTACT POINTS INFORMATION AND COMMUNICATION PROGRAMME EVALUATION SIGNATURES FOR PARTS I AND II(A) OF THE MOU Development - Modalities and Procedures of Interaction Page 5 / 34

6 PART I GENERAL PROVISIONS Part I of the Memorandum of Understanding (MoU) is common to all Executive Agencies and covers issues which are not related to the programmes in the management of which these Executive Agencies are involved. It aims to harmonise the modalities and procedures of interaction between Directorates-General (DGs) and Executive Agencies in circumstances where many DGs must interact with several Executive Agencies and where the latter have several parent DGs. Furthermore, the content of this document may be adapted to reflect the specificities of smaller and less complex Executive Agencies. This common part is followed by a specific part which covers the specificities of the programmes in the implementation of which the Agency is involved (Part II). In case of conflicting provisions, the modalities and procedures of interaction set out in Part II of this Memorandum of Understanding shall take precedence over those described in Part I for the programmes concerned. Development - Modalities and Procedures of Interaction Page 6 / 34

7 1. MEETINGS BETWEEN THE AGENCY AND THE PARENT DGS Close contacts between the Agency and its parent DGs are essential for achievement of their respective goals. These contacts take place at different levels: through the Steering Committee meetings with the parent DGs, through participation in the parent DGs management meetings, through regular programme-specific meetings, and through further contacts at unit and working level Steering Committee meetings The Steering Committee ensures that the work of the Agency is in line with the Agency s Annual Work Programme. The day-to-day management of the Agency is the task of its Director and the management team. The Steering Committee meetings are organised at least four times a year. Usually, these meetings are scheduled in late February, May/June, September/October and mid- December. At each meeting the Director reports on key issues relevant to the work of the Agency, among which, on the performance of the Agency against the key performance indicators set out in the Agency s Annual Work Programme and on the implementation of the administrative budget and any issue that could have a significant negative impact on his/her assurance. As a general rule, the documents for each Steering Committee meeting should be sent to its members and observers, not later than the deadline established in the rules of procedures of the Steering Committee. In particular, the Director of the Agency must ensure that all documents relevant to the Strategic Planning and Programming (SPP) cycle are presented to the Steering Committee for discussion and later for decision in good time and in accordance with the relevant deadlines Parent DG s management meetings The Director of the Agency takes part in the weekly Directors meetings of DG RTD. He/she is invited to attend the Directors meetings of DG EAC, DG CNECT, DG AGRI, DG GROW and DG HOME on an ad-hoc basis Meetings related to programmes/activities Meetings related to the implementation of the tasks entrusted to the Agency are defined in the Memorandum of Understanding which covers the specificities of the programmes in the implementation of which the Agency is involved. 2. ADMINISTRATIVE ACTIVITIES 2.1. Budgetary and financial issues In order to enable the Agency to fulfil its accounting, budgetary and financial obligations, the Agency should be invited to take part in its parent DGs relevant meetings Annual budgetary procedure The Agency submits its contributions to the annual budgetary procedure of the Commission on the basis of the instructions provided by DG BUDG to: DG RTD for the parts that relate to its administrative budget, including the human resources; Each parent DG for the parts that relate to their respective operational budgets delegated to the Agency. Development - Modalities and Procedures of Interaction Page 7 / 34

8 Union financial contribution The Union financial contribution to the administrative budget of the Agency is paid by DG RTD, preferably in three instalments Waiver of recovery of entitlements and enforcement of recoveries In accordance with the provisions of Article 5 of the Instrument of Delegation, the Commission remains responsible for a number of tasks linked to the waiver of entitlements of the Agency or linked to the adoption of an enforced recovery decision. These tasks are inter alia: The waiving of recovery orders where the amount is greater or equal to 1,000,000; The waiving of recovery orders where the amount is 100,000 or more where this represents 25% or more of the established amount receivable; The waiving of recovery orders for the reason of proportionality; And enforcing recovery through the adoption of a decision that is enforceable within the meaning of Article 299 Treaty on the Functioning of the European Union (TFEU) Waiving of recovery orders where the amount is greater or equal to 1,000,000 or where it is greater or equal to 100,000, where this represents 25% or more of the established amount receivable Waiving recovery orders for an amount greater or equal to 1,000,000 or to 100,000 where this represents 25% or more of the established amount receivable, is subject to a Commission decision. In practice, all the waivers for amounts exceeding 100,000 are subject to a Commission decision as partial waivers representing 25% or more of the debt rarely occurs and the 25% are difficult to identify. The Agency prepares the file, including the draft Commission decision, and transmits it to the relevant parent DGs which will process it further. Once the Commission decision is adopted, it is implemented by the Agency Waiving of recovery orders for reason of proportionality under the thresholds mentioned in Waiving recovery orders for the reason of proportionality for an amount under the threshold mentioned in must be preceded by an inter-service consultation where DG BUDG and the Legal Service (and when appropriate OLAF) are consulted (for amounts exceeding the thresholds under there must be an inter-service consultation before taking the Commission decision in any case). The Agency prepares the file, including all the relevant documents for the inter-service consultation, and transmits it to the relevant parent DG which will process it further. Once the services consulted give their positive opinion on the intended waiver, it is implemented by the Agency Adoption of enforceable recovery orders according to Article 299 of the TFEU The adoption of enforceable recovery orders according to Article 299 TFEU is subject to a Commission decision. The Agency prepares the file, including the draft Commission decision, and transmits it to the relevant parent DG which will process it further. Once the Commission Decision is adopted, the enforced recovery is implemented by the Commission services in collaboration with the relevant national authorities. Development - Modalities and Procedures of Interaction Page 8 / 34

9 2.1.4 The recovery of funds through judicial proceedings The recovery of funds through judicial proceedings is to be decided by the Agency. The agency will seek to obtain an enforcement order before the competent court and will implement the enforcement measures. In the course of the proceedings, the Agency may consult the Common Legal Support Service (only for Horizon 2020) for the purpose of ensuring coherence across the Research and Innovation family. For non-horizon 2020 programmes, the Agency may consult, through its parent DG, the Legal Service and/or DG BUDG for additional information, opinion or instructions regarding any issues arising in the proceedings Human resources The parent DGs are responsible for the selection process of Commission officials to be seconded in executive agencies to occupy positions of responsibility. The parent DGs associate closely the Agency in such process. The parent DGs are also in charge of the career management of the seconded officials; it includes appraisal, promotion, career development, mobility or end of secondment. The parent DGs maintain a close contact with seconded officials by associating them to the work and life of the parent DG. The Agency is responsible for the recruitment and the career of the other category of staff: Contract Agents and Temporary Agents in the meaning of Article 2(f) of the Conditions of Employment of the Other Servants of the EU. In such cases, the parent DGs support the Agency where appropriate (for example by advertising the Agency's vacancies on their respective intranet or by bringing in their specific expertise on the tasks delegated to the Agency while the Agency set up the selection panels. The staff of the Agency will have access to the specific trainings organised by the parent DGs for the programmes delegated to the Agency. Human resources management in the Agency should be aligned as much as possible with HR management practices in the parent DGs. The HR community in the parent DGs works in close collaboration with HR colleagues in the Agency. More generally, as far as human resources are concerned, the role and the cooperation between parent DGs and the Agency are described in the Guidelines for the establishment and operation of executive agencies and particularly the section on human resources Legal review under Article 22 of Council Regulation (EC) No 58/2003 Complaints against an Agency's decision lodged under Article 22 of Council Regulation (EC) No 58/2003 are processed by the relevant parent DG 1 within the two months deadline to take a decision, after hearing the arguments adduced by the complainant and those by the Executive Agency. As soon as possible after the receipt of the complaint, the parent DG forwards the complaint and any supporting documents to the Agency and sets a time limit for the Agency s submission of arguments and supporting documents, taking into account the complexity of the case and the tight timeframe to be respected. 1 Each DG responsible for the policy field (Directorates/Units in charge of the delegated activities) related to the complaint has to handle the file Development - Modalities and Procedures of Interaction Page 9 / 34

10 On the basis of the relevant documents and taking into account the submission by the Agency, the relevant parent DG prepares a draft answer to the complainant regarding complaints on programmes delegated to the Executive Agency. In case of complaints related to Horizon 2020, the relevant parent DGs prepares the draft answer with the assistance of the Common Legal Support Service of the Common Support Centre. The draft answer examines the legality of the Agency s decision in light of the available documents. If additional documents are necessary for the response, the relevant parent DG will request the Agency or the complainant to provide them. Following the consultation of the Legal Service and other relevant services, the relevant parent DG prepares and handles the draft response, which has to be adopted as a Commission Decision. When the Commission Decision is finally adopted, the relevant parent DG replies on the Commission's behalf and informs the Agency Code of Good Administrative Behaviour complaints Complaints against the Agency concerning a breach of the Code of Good Administrative Behaviour may be lodged directly with the Secretariat-General. The Secretariat-General forwards the complaint directly to the Agency, which replies to the complainant within 2 months. The complainant may apply to the Secretary-General to review the outcome of the complaint within one month after receiving the reply from the Agency. If additional documents are necessary for the response, the Secretary-General requests the Agency or the complainant to provide them. The Agency must inform the relevant parent DGs of all the correspondence related to the complaint IT governance and resources The Informatics Resources Manager of the parent DGs must be consulted on the Agency s IT strategy documents developed in compliance with the standards, architecture, development methodologies, IT security, and specific IT requirements for the delegated programmes and governance of the Commission and its parent DGs. In order to enable the Agency to fulfil its IT obligations, the Agency is invited to take part in its parent DGs (and Commission s) relevant meetings. Further issues related to IT governance 2 and resources are defined in the Memorandum of Understanding which covers the specificities of the programmes in the implementation of which the Agency is involved Housing In accordance with the Communication to the Commission on the delegation of the management of the programmes to Executive Agencies of September 2013, OIB will need to consider housing the Agency in accordance with the Commission's middle-term and long-term real estate planning Security and Business Continuity policy, management of and access to documents Security and Business Continuity policy The Agency establishes security related procedures and processes, including Business Continuity Planning, in accordance with the Internal Control Standards and the security 2 For Horizon 2020: the involvement of the agency is established through the CSC and its operating rules. Development - Modalities and Procedures of Interaction Page 10 / 34

11 standards set by DG HR and the SG. The lead parent DG provides punctual assistance when needed to the Agencies as well as information about any changes that might affect them. To that end, the Agency has access to all relevant tools and services needed to be in full compliance with the Commission rules. The Agency s Local Security Officer (LSO), Local Information Security Officer (LISO) and Business Continuity Correspondent take part in the relevant meetings of DG HR and SG in order to ensure a high level of security and compliance with rules at the level of the Commission. In the case of activation of the Business Continuity Plan either by the Agency, or by the parent DGs or by both of them, the Agency and the parent DGs inform each other and coordinate their activities. Furthermore, the Agency and the parent DGs will cooperate where necessary, especially in relation to shared buildings and IT services Management of and access to documents The Agency s Document Management Officer is a member of the Inter-service Group of Documents Management Officers coordinated by the Secretariat-General. The Access to Documents Coordinator is a member of the Access to Documents Coordinators Network coordinated by the Secretariat-General. Following the delegation of new activities to the Agency, the requests for access to documents addressed either to the Agency or to its parent DGs may raise doubts about the origin or the location of the document. In such cases the parent DGs 3 and the Agency consult each other and by common agreement decide whether the parent DGs or the Agency is the main author (or in case of doubts about the location of the document which of them is in possession of it) and handle the request accordingly. If the requested document contains information that originates from both the Agency and its parent DGs, the Agency and its parent DGs by common agreement decide whether the parent DGs or the Agency is responsible to register and handle the request. In such case, the lead service handling the request will prepare the reply in cooperation with the other service Data Protection The Agency appoints a Data Protection Officer (DPO), who is in charge of implementing the Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Agency 4. The Agency informs the European Data Protection Supervisor (EDPS) of the appointment of the Agency's DPO. The Agency does not appoint a Data Protection Co-ordinator (DPC); the duties of the DPC are performed by the Agency's DPO, who operates in cooperation with the EDPS. 5 The DPO of the Agency and the DPC of the parent DGs establish regular contacts in order to exchange good practices in implementing the Regulation (EC) No 45/ For Horizon 2020, together with the Common Support Centre OJ L 8, , p. 1 For the business processes of Horizon 2020, the notifications and possible requests for prior-checking by the EDPS are coordinated with the Common Support Centre Development - Modalities and Procedures of Interaction Page 11 / 34

12 3. COOPERATION BETWEEN THE AGENCY AND THE PARENT DGS IN RELATION WITH OTHER ACTORS AND INSTITUTIONS 3.1. The Agency, its parent DGs and services of the Commission The parent DGs are responsible for all contacts and interactions with the Cabinet(s) and with the services of the Commission with the exception of specific cases as established in the present document. However, the Agency may interact on a day-to-day basis directly with the horizontal services of the Commission on matters relating to its administration Designated Contact Points Each parent DG shall nominate a contact point (person, unit, functional mailbox, ) responsible for coordinating within the DG and liaising with the Agency in relation to horizontal and Agency-wide issues (e.g. Agency's Work Programme, Annual Activity Report, Steering Committee). This contact point shall provide support to the Steering Committee where appropriate The Legal Service of the Commission The Legal Service of the Commission does not represent the Agency before a national court or the Court of Justice of the European Union. If however, the legal defence of the Agency's position involves issues of fundamental importance in terms of Union law and/or issues of fundamental importance in terms of interests of the Commission or the Union, then the Legal Service of the Commission can, via the relevant parent DGs, advise the Agency's Director on the position to defend 6. Where for its day-to-day operations the Agency has legal questions which it cannot solve, it may refer the questions to its parent DGs 7 which in turn will seek the advice of the Legal Service of the Commission if need be The Internal Audit Service of the Commission The Internal Audit Service of the Commission ensures the audit capability of the Agency The Agency, its parent DGs and institutions, bodies and offices of the Union The parent DGs are responsible for all contacts and interactions with institutions, bodies and offices of the Union with the exception of specific cases as established in the present document The European Parliament The Commission replies to all type of questions put forward by the European Parliament or by its Members. Therefore, any question related to the Agency, regardless of whether it concerns the management of the administrative or operational appropriations, is replied by the Commissioner responsible for the activity of the Agency to which the question relates. To that end the Director of the Agency sends all the relevant information to the concerned parent DGs and keeps the Steering Committee of the Agency informed The European Court of Auditors For the purposes of audits performed on the operational appropriations delegated to the Agency, the parent DGs are the contact point of the European Court of Auditors (ECA). 6 7 As regards the implementation of court litigation for Horizon 2020 and the legacy of FP7, assistance will be provided by the CSC For Horizon 2020 questions: directly to the CLSS Development - Modalities and Procedures of Interaction Page 12 / 34

13 The parent DGs keep the Agency informed of any planned audit and related correspondence. The Agency ensures the co-operation with the ECA, including the requested preparation of audit visits. In the cases where ECA addresses parent DGs directly, the concerned parent DGs ensure the cooperation with the ECA. For the purposes of audits performed on the administrative appropriations, the Agency is the contact point of the ECA. The Agency keeps the parent DGs informed on any substantial issues raised by the ECA during the audit The European Ombudsman Complaints of maladministration by the Agency brought before the European Ombudsman are managed according to the Commission Guidelines for the establishment and operation of the Executive Agencies 8, laying down the relations between the parent DG(s), other Commission Services and the Agencies and according to the Vademecum for Handling Ombudsman Inquiries. In particular, upon the receipt of the complaint from the European Ombudsman, the Agency shall immediately send the Ombudsman s letter to the relevant parent DG(s) and to the Common Legal Support Service (for Horizon 2020) accompanied by any relevant information. Additionally, the members of the Steering Committee and the observers shall be equally notified. If the issue relates to an act coming under the management of the operational appropriations, the relevant parent DGs must consult the SG, the Legal Service, and in any case with a financial impact, DG BUDG and any other DG concerned, and obtain the agreement of the responsible Commissioner in accordance with the relevant arrangements. For Horizon 2020, this consultation is launched once there is agreement between the Common Legal Support Service, the parent DG and the Agency on the draft reply of the latter. After receiving the approval of the parent DGs on the draft final reply, the Director replies to the Ombudsman on the Agency s behalf. The same procedure applies if the parent DGs consider that the referral to the Ombudsman of a case involving management of the administrative appropriations or personnel management raises a question of general interest. After consulting the SG and, in case of doubt, the Members of the Commission responsible, the parent DG informs the agency of its decision. If the question only concerns the Agency, the Director replies to the Ombudsman on the Agency s behalf after receiving the approval of the Steering Committee The European Data Protection Supervisor The Data Protection Officer of the Agency ensures the interface and cooperates with the European Data Protection Supervisor, and notifies relevant processing operations. The Data Protection Officer of the Agency is a member of the Data Protection Officers Network The European Anti-Fraud Office (OLAF) The parent DGs inform the Agency about on-going OLAF investigations of beneficiaries that may also be beneficiaries of grants/contracts managed by the Agency. The Agency informs the parent DGs of any such cases. 8 Guidelines for the Establishment and Operation of Executive Agencies Financed from the Union Budget. (Link to NMM Wiki Guidelines Establishment and Operation EAs) Development - Modalities and Procedures of Interaction Page 13 / 34

14 The Agency and OLAF have direct contacts through designated contact points regarding any investigations. The Agency appoints contact points for internal and external investigations and keeps the parent DGs informed on any substantial issue raised with OLAF during its investigations. 4. PLANNING AND REPORTING 4.1. Annual Work Programme The Agency draws up its Annual Work Programme for year n on the basis of the instructions provided by the Secretariat-General during the autumn of the previous year, taking into consideration the specific indicators pertaining to Horizon 2020 and FP7 in the implementation of which the Agency is involved. Following the endorsement by the Steering Committee, the Agency sends to the designated contact point in DG RTD the draft Annual Work Programme. On that basis, DG RTD will launch the procedure in order to receive the Commission s approval of the draft Annual Work Programme of the Agency. DG RTD sends the final version of the Annual Work Programme of the Agency to the Secretariat-General and DG BUDG functional mailbox. The Agency shall upload its annual work programme (draft/final) in the dedicated collaborative workspace in accordance with the Annual Management Plan instructions Interim reporting to the parent DGs and the Steering Committee Without prejudice to the provisions of Article 19(3) of the Instrument of Delegation of the Agency, the parent DGs avoid introducing monitoring requirements that impose on the Agency unreasonable reporting obligations. The Agency submits to the parent DGs and the Steering Committee a report on the performance of the tasks assigned to the Agency covering an interim period (usually the first six months of the year). The report contains the main key performance indicators mentioned in the Annual Work Programme of the Agency. The report also includes all information needed by the parent DGs for the reporting to their Commissioners Annual Activity Report The Agency draws up its Annual Activity Report for year n on the basis of the instructions provided by Secretariat-General and DG BUDG in the autumn of year n and in cooperation with the Commission's departments of the same spending area. The Annual Activity Report (AAR) of the Agency, the accompanying declarations and any comments made by the Steering Committee are submitted to the central services of the Commission.The Commission sends all annual activity reports to the European Court of Auditors, the European Parliament and the Council General provision of data and information The Agency is responsible for ensuring the quality of data and information recorded in the information systems that the Agency uses, in particular the data and information related to the programmes in the implementation of which the Agency is involved. Development - Modalities and Procedures of Interaction Page 14 / 34

15 5. SUPERVISION AND EVALUATIONS 5.1. Supervision Council Regulation (EC) No 58/2003 requires the Commission to supervise the implementation of the programmes entrusted to executive agencies. Furthermore, in accordance with Article 7(3) of the Instrument of Delegation of the Agency, the parent DGs are required to define a supervision strategy aiming at: avoiding gaps or duplication of tasks between the Commission and the Agency; ensuring an appropriate monitoring of the activities of the Agency. In case of serious concerns with respect to the operations of the Agency and if it is necessary, the parent DG(s) can make on-the-spot checks in the Agency in accordance with Article 21(1) of the Delegation Act Avoiding gaps or duplication of tasks by means of coordination between the Commission and the Agency The continuous coordination between the Commission 9 and the Agency of the procedures, tools and working arrangements ensures coherence and complementarities and helps to avoid gaps in responsibilities or duplication of efforts. To achieve this goal, the present document establishes a number of rules for interactions on horizontal issues that should take place at various levels between Agency's services and their Commission's counterparts. In addition, regular contacts take place between the Agency and the parent DGs services responsible for the programmes in the implementation of which the Agency is involved. These contacts take the form of coordination meetings at Directors level, HoD/HoU level and contacts at working level. These coordination arrangements are further detailed in the programme-specific Memorandum of Understanding Appropriate monitoring of the activities The appropriate monitoring of the activities of the Agency is achieved by the means of participation of the parent DGs in the Steering Committee of the Agency. The Agency s Director ensures that the members and observers of the Steering Committee receive all relevant information and reliable control results needed for the appropriate fulfilment of their mandates. The Steering Committee members and observers are also supported by their own DG s services. The annual planning and reporting cycle forms the basis of the monitoring of the Agency s activities by the Steering Committee. In particular, the Annual Work Programme contains an obligation of assessment of risks and risk exposure, and provides a number of key performance indicators. These constitute the benchmark against which the performance of the Agency is monitored through its interim reporting and Annual Activity Report as set out under section 4 of this document. It is complemented by other relevant sources of information such as the reports from the Discharge Authority, ECA, IAS and OLAF. 9 For Horizon 2020 in particular the Common Support Centre Development - Modalities and Procedures of Interaction Page 15 / 34

16 5.1.3 Analysis of information The parent DGs analyse the information received through their supervision tools and present synthesised information as background to the members and observers of the Steering Committee. The members and observers of the Steering Committee inform their respective responsible parent DG s Authorising Officer by Delegation (AOD) and Internal Control Coordinator (ICC) of any issue they find during their review of the control results reported by the Agency that may have a bearing on the Agency s and/or the parent DG s assurance building. If a critical risk arises or control weakness, the parent DG will take appropriate measures, e.g. review of documents or on-the-spot controls Reporting on the supervision The parent DGs report on their supervision of the Agency in their Annual Activity Reports and in other reports. This reporting contains key performance indicators as well as qualitative assessments Review of supervision The effectiveness and efficiency of the supervision arrangements is reviewed in the context of the triennial external evaluation of the Agency or more frequently if critical risks are identified by the means of the monitoring of activities Evaluations The Agency contributes to the evaluations of the programmes in the implementation of which it is involved. These are further described in the MoU that covers the Operational Activities. The Agency contributes to the triennial external evaluations referred to in Article 25 of Council Regulation (EC) No 58/2003. Under the multiannual financial framework, two external evaluations will take place covering respectively the period from mid-2012 to mid-2015 and from mid-2015 to mid These evaluations will be organised by DG RTD in close cooperation with the other parent DGs and the Agency in defining the terms of reference of the external evaluations. The parent DGs and the Agency will be part of the steering group that will oversee the work of the contractors performing the external evaluation. Development - Modalities and Procedures of Interaction Page 16 / 34

17 PART II SPECIFIC PROVISIONS FOR THE IMPLEMENTATION OF HORIZON 2020 AND THE LEGACY OF FP7 Part II of the Memorandum of Understanding (MoU) does not replicate provisions already described in the Agency s Instrument of Delegation or any other documents that regulate the functioning of the Agency and the implementation of the 7 th Framework Programme (FP7) and Horizon All relevant documents can be found on the Horizon 2020 Participant Portal 10 and/or on the Funding Procedures Guide (GoFund Wiki) 11. The aim is to determine the interactions between the Agency and the Research and Innovation parent DGs rather than define the business process for each part of the natural lifecycle of a research specific programme. This document focuses inter alia on the interactions related to the preparation of the Horizon 2020 work programme, the publication of calls for proposals, the submission of proposals and the related evaluation, selection and award procedures, grant management, etc. Common business processes are defined by the Commission Common Support Centre (CSC) following its operating rules 12. This document will be adapted as appropriate in consistency with future development and changes in the relevant legal and procedural framework. On the FP7, this Part II of the MoU includes specific provisions for the phasing out of the Framework Programme. Part II of the Memorandum of Understanding is structured as follows: Part II(A) Horizon 2020 Part II(B) FP Horizon 2020 Participant Portal: GoFund Wiki : C(2014)2656, Commission Decision of on the operating rules of the Common Support Centre for Horizon 2020, the Framework Programme for Research and Innovation ( ) Development - Modalities and Procedures of Interaction Page 17 / 34

18 PART II(A) HORIZON COORDINATION BETWEEN RESEARCH AND INNOVATION FAMILY DGS AND THE AGENCY 1.1. Horizon 2020 management coordination meetings Regular operational coordination meetings, at management level, will be organised between the relevant Research and Innovation parent DGs and the Agency to ensure a proper implementation of the parts of Horizon 2020 delegated to the Agency Day to day Horizon 2020 coordination Agency and Research and Innovation DGs relevant services The Agency s relevant units maintain regular contacts with their counter parts in the relevant Research and Innovation parent DGs to ensure a permanent exchange of information and coordination in line with their respective roles in the implementation of Horizon Agency and Research and Innovation DGs budget services The Agency s budget unit maintains regular contacts with their counter parts in the relevant Research and Innovation parent DGs to ensure an optimal planning and implementation of the Horizon 2020 budget Secretariat of the different configurations of the Horizon 2020 Programme Committee, participation of the Agency in Programme Committee meetings In accordance with Article 5 of the Instrument of Delegation, the Commission is the sole interface with the Programme Committee defined in Article 10 of the Horizon 2020 Specific Programme. There are 14 configurations of the Horizon 2020 Programme Committee which are defined in Annex V of the Horizon 2020 Specific Programme. For each configuration, a relevant Research and Innovation parent DG is responsible for the Secretariat. The Secretariats relevant to the work of the Agency are listed in the Annex of this document. The Agency representatives may be invited to attend and contribute to the meetings of the relevant configurations of the Programme Committee as appropriate. In particular, the Agency will participate and report on the progress made in the programme implementation tasks delegated to it The Common Support Centre (CSC) for Horizon 2020 The Horizon 2020 Common Support Centre (CSC) provides services to the Agency in accordance with its operating rules 13. These services cover legal support, business processes, the Horizon 2020 IT applications suite, programme information and data, and ex-post audits and provision of relevant training. Where appropriate, reference will be made in this document to the specific role to be played by the CSC. The Director of the Agency is a member of the CSC Executive Committee in charge to prepare and implement the decisions of the CSC Governing Board. 13 C(2014)2656, Commission Decision of on the operating rules of the Common Support Centre for Horizon 2020, the Framework Programme for Research and Innovation ( ) Development - Modalities and Procedures of Interaction Page 18 / 34

19 Notifications to the European Data Protection Supervisor for Horizon 2020 common processes are coordinated by the CSC The Horizon 2020 IT applications suite For its daily operations for the implementation of Horizon 2020, the Agency uses the Horizon 2020 IT applications suite. The related IT and business documentation is made available to the Agency through the Funding Procedures Guide (GoFund Wiki) which also provides information on the business processes and corresponding training courses organised by the CSC. 2. CALL FOR PROPOSALS The relevant Research and Innovation parent DGs, under the lead of DG RTD, are responsible for the preparation of the Horizon 2020 work programmes which are adopted by the Commission. The Agency, at the request of the Commission, will contribute to the preparatory work of the Horizon 2020 work programmes on issues regarding the implementation aspects. A list of activities not delegated to an Agency as well as the delegated activities will be established in the context of the Horizon 2020 work programme. The detailed planning of the preparation and publication of the calls covered by the Horizon 2020 work programmes is prepared one year in advance. This exercise is steered by DG RTD with the assistance of REA s administrative and logistical support services in particular regarding the allocation of a time slot of the evaluation platform. The Agency takes part in the planning exercise in accordance with the Rules of Administrative and Logistical Support provided by REA. The relevant Research and Innovation parent DGs must reserve the operational budget that will be transferred to the REA to cover the costs of the expert evaluators, according to the Horizon 2020 Work Programme. 3. EVALUATION OF PROPOSALS 3.1 Selecting, contracting and briefing expert evaluators and observers Selection of expert evaluators and observers The general criteria for the selection of expert evaluators and observers are defined in the Horizon 2020 Vademecum 14. Specific related call criteria for the selection of expert evaluators and observers may be communicated by the relevant Research and Innovation parent DGs to the Agency before the launch of the call for proposals. The relevant Research and Innovation parent DG 15 informs the Agency in case that specific expertise is required 16. In accordance with the general and call specific criteria, if any, for the selection of evaluation expert evaluators and observers as defined by the relevant Research and Innovation parent DGs, the Agency draws a draft pool of expert evaluators and observers. The Agency sends the above-mentioned draft pool to the relevant Research and Innovation parent DGs for consultation before the approval of the final list, unless the latter requests not be consulted. The relevant Research and Innovation parent DG has Horizon 2020 Vademecum, Section 2, Experts Each DG responsible for the policy field (Directorates/Units in charge of the delegated activities) Horizon 2020 Vademecum, Section 4, Grant Proposals Development - Modalities and Procedures of Interaction Page 19 / 34

20 five working days to respond to the Agency with a reasoned recommendation in line with the evaluation expert selection criteria and taking into account specific expertise that might be required. If the relevant Research and Innovation parent DG does not respond within five days, the Agency adopts the final pool of expert evaluators and observers and informs the REA support services Contracting expert evaluators and observers The REA support services processes the expert contracts on the basis of the adopted pool and in accordance with the provisions of the Rules for Administrative and Logistical Support Services, adopted by the REA Steering Committee. The REA also processes the ensuing payments Briefing of expert evaluators and observers The standard briefing material is made available on the GoFund Wiki and on the Participant Portal. The briefing material will be comprehensive, including a set of common documents and presentations and any other additional call-specific material. The relevant Research and Innovation parent DGs may contribute to the briefing of experts on policy issues and may attend the panel sessions Observers report The Agency may publish a summary of the observers report according to the Horizon 2020 Vademecum Admissibility and Eligibility Review Committee and Evaluation Review Committee Admissibility and Eligibility Review Committee Following a complaint by an applicant or in non-clear cases during the admissibility and eligibility check, the Call Coordinator/Project Officer of the Agency convenes the Admissibility and Eligibility Review Committee 19. For the performance of its work, the Admissibility and Eligibility Review Committee may request the advice of the Common Legal Support Service (CLSS), via the functional mailbox RTD ADMISSIBILITY ELIGIBILITY, through the central legal team of the REA. The deviation by the RAO from the opinion of the Admissibility and Eligibility Review Committee as well as the Communication to beneficiaries with respect to the status of their proposal after the admissibility and eligibility check, are regulated by the Horizon 2020 Vademecum Evaluation Review Committee In case an applicant considers that the evaluation of his/her proposal was not carried out in accordance with the procedural rules, he/she may file a complaint requesting an evaluation review. In this case the Evaluation Review Committee is set up and convened in line with the Horizon 2020 Vademecum. The nomination of members from the Horizon 2020 Vademecum, Section 4, Grant Proposals Horizon 2020 Vademecum, Section 4, Grant Proposals Horizon 2020 Vademecum, Section 4, Grant Proposals Horizon 2020 Vademecum, Section 4, Grant Proposals Development - Modalities and Procedures of Interaction Page 20 / 34

21 relevant Research and Innovation parent DGs is recommended. The appointment of the members of the committee is done by the Director of the Agency. Where more than one relevant research and innovation parent DGs are involved, the formal appointment is preceded by an agreement at working level. The Evaluation Review Committee may request the advice of the Redress Office and the legal support of the CLSS, through the central legal team of the REA, regarding the issues related to its work, according to the Horizon 2020 Vademecum. Further detailed procedures for the work of the Evaluation Review Committee, including cases of disagreement between the Committee and the RAO are defined in the Horizon 2020 Vademecum The Ethics Review Selection and briefing of ethics experts The list of ethics experts is drawn up and published annually on the Funding Procedural Guide (GoFund Wiki) by DG RTD Ethics Department. Ethics experts must be chosen from the above-mentioned list. The standard material for the briefing of the ethics experts is provided by DG RTD Ethics Department. The Agency must consult the DG RTD Ethics Department and the relevant Research and Innovation parent DGs on the specific content of the briefing material for certain calls which are more likely to raise ethical concerns and invites, if necessary, them to take party in the briefing of ethics experts, according to the rules of the Horizon 2020 Vademecum Ethics review The Agency carries out the ethics pre-screening and the screening of proposals, according to Horizon 2020 Vademecum 23. If an ethic assessment is necessary, further to the screening, the Agency will request the Ethics Department of DG RTD to perform it. In exceptional cases, such an assessment may also be carried out at the request of the Commission services or the Agency notably via the Horizon 2020 SEP system. In case of complaints on ethics, the Agency convenes a committee according to the relevant provisions provided in the Horizon 2020 Vademecum Ethics checks and audits during the Grant Management When necessary, following the initiative of DG RTD Ethics Department or the appropriate notification by the ethics review experts and the operational services of the Agency and in close cooperation with the relevant Research and Innovation parent DGs, the ethics checks and audits are organised by DG RTD Ethics Department and, when relevant, with the cooperation and involvement of the Agency. During the project duration if, significant research integrity issues occur which require an in depth assessment by ethics experts, DG RTD Ethics Department may convene an expert panel to review the cases of alleged research misconduct Horizon 2020 Vademecum, Section 10, Complaints Horizon 2020 Vademecum, Section 4, Grant proposals Horizon 2020 Vademecum, Section 4, Grant proposals Development - Modalities and Procedures of Interaction Page 21 / 34