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Associate Code of Conduct |
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 Associated Code of Conduct [62.86 Kb]
Code of Conduct
Associated Organisations
1. Introduction
The Organisations that are accepted as Associates of the Association Quali4EU-Consultants committed to Quality e.V.(hereinafter Association) obligate themselves to observe the rules laid down in this Code of Conduct. Over and above that they assure, that the information they submitted for their entry, are complete and true.
The organisation can be suspended, if the aforementioned information turns out to be completely or partly inaccurate, or if the organisation violates the rules of this Code of Conduct.
Participation in mutually rewarding publically funded collaborative R&D projects must be based on confidence of each of the participants in the ethical behaviour of its partners and each partner has to apply the rules of professional Ethics. The principles of cooperation and our understanding of professional ethics are hereinafter described in more detail.
Although this code of conduct addresses EU funded R&D projects and in particular the Framework Program, its principles shall apply to all similar activities.
2. Preamble
The official roles as defined by the Commission in Framework Program Seven as:
The role of the Coordinator
The coordinator shall:
a) administer the Community financial contribution regarding its allocation between beneficiaries and activities, in accordance with this grant agreement and the decisions taken by the consortium. The coordinator shall ensure that all the appropriate payments are made to the other beneficiaries without unjustified delay;
b) keep the records and financial accounts making it possible to determine at any time what portion of the Community financial contribution has been paid to each beneficiary for the purposes of the project;
c) inform the Commission of the distribution of the Community financial contribution and the date of transfers to the beneficiaries, when required by this grant agreement or by the Commission;
d) review the reports to verify consistency with the project tasks before transmitting them to the Commission;
e) monitor the compliance by beneficiaries with their obligations under this grant agreement
The coordinator may not subcontract the above-mentioned tasks.
The obligations of all partners
Beneficiaries shall fulfil the following obligations as a consortium:
a) provide all detailed data requested by the Commission for the purposes of the proper administration of this project;
b) carry out the project jointly and severally vis-à-vis the Community, taking all necessary and reasonable measures to ensure that the project is carried out in accordance with the terms and conditions of this grant agreement.
c) make appropriate internal arrangements consistent with the provisions of this grant agreement to ensure the efficient implementation of the project. When provided for in Article 1.4 these internal arrangements shall take the form of a written consortium agreement (the "consortium agreement"). The consortium agreement governs inter alia the following:
i. the internal organisation of the consortium including the decision making procedures;
ii. rules on dissemination and use, and access rights;
iii. the distribution of the Community financial contribution;
iv. the settlement of internal disputes, including cases of abuse of power;
v. liability, indemnification and confidentiality arrangements between the beneficiaries.
d) engage, whenever appropriate, with actors beyond the research community and with the public in order to foster dialogue and debate on the research agenda, on research results and on related scientific issues with policy makers and civil society; create synergies with education at all levels and conduct activities promoting the socioeconomic impact of the research.
e) allow the Commission to take part in meetings concerning the project.
3. Overall Principles and Ethical Practice
3.1 Although the text in the Grant Agreement regarding roles and obligations is clear, it is frequently misinterpreted. Therefore it must be recognised and agreed that "Coordinators have no Additional Rights in a Consortium, only Additional Obligations." There role should be as a "Secretary General" not a "Director General". Such a situation must not be varied in the Consortium Agreement unless by the unfettered unanimous agreement of all partners.
3.2 All participants forming a consortium or working in a resultant project must not hold or express any bias for or against any participant or participant organisation on account of their national, religious, racial, gender or life style.
3.3 All organisations participating in a collaborative EU R&D project or proposal must be totally transparent and honest in their dealings both with their partners and the Commission.
3.4 All organisations participating in a collaborative EU R&D project or proposal must not have any actual or potential undeclared conflict of interest that may affect or potentially appear to affect its ability to complete its assigned work to the best of its ability.
3.5 All organisations participating in a collaborative EU R&D project or proposal must use their best efforts to ensure the success of the activity.
3.6 All organisations participating in a collaborative EU R&D project or proposal must inform their partners as soon as possible if any event that they may become aware of that could jeopardise the success of the activity.
3.7 All organisations participating in a collaborative EU R&D project undertake to fully comply with all the EU ethical regulations regarding research.
4. Actions while building a consortium
At this stage the coordinator generally attracts partners to join him in participating in a proposal.
4.1 When the coordinator is not the originator of the proposal idea the legitimate rights of the originator should be recognised and protected.
4.2 Partners must disclose if their organisation is competing in a different proposal that may partially or fully overlap.
4.3 Partners should be formally informed that they are part of the consortium and should not be dropped without adequate discussion and agreement.
4.4 Coordinators should not normally “charge a fee” to join the consortium unless all are treated equally and it is to cover legitimate and agreed costs.
4.5 Partners should be informed who all other partners are and provided with updated information.
4.6 Partners should not be dropped after they have made contributions to the proposal without adequate discussion.
4.7 Partners should not be dropped from the proposal at the last moment leaving them without any alternate opportunities.
5. Submitting the proposal
5.1 Partners should not be told what man rate to use or what cost model they must use. Each partner should determine their own according to the program rules.
5.2 Partners should quote rates in line with the program rules i.e. they must be consistent with normal practice within that organisation.
5.3 When inputting partner details into the Electronic Proposal Submittal System, the Coordinator should faithfully input requested information on behalf of each partner and not make unilateral changes.
5.4 Each partner should be given complete drafts as the proposal is being built – even if they are not major contributors
5.5 The valid requests of partners as to their needs to carry out the work should be honoured.
5.6 Travel budgets should be calculated for each partner based on an estimate of the number of trips and the cost of travel from that geographic location. Equal or average travel budgets for all partners is unrealistic and unfair.
5.7 When the proposal is finally submitted, it should be with the general agreement of the partners. Partners should each be sent a copy of the final proposal and a copy of the acknowledgment of receipt
5.8 Last minute blackmail is unacceptable. i.e. threatening to withdraw unless certain demands are met when it is too late to modify the proposal or find a substitute.
6. During Evaluation
6.1 When any partner receives the Evaluation Summary Report they should immediately distribute it to all the other partners.
6.2 Partners should feed back any information they may receive informally.
7. Contract negotiations
7.1 Contract negotiations will be conducted in an open manner, fully involving the Workpackage Leaders
7.2 The invitation to negotiation will be forwarded to all partners in good time and will ensure that all partners have a copy of the “Framework for Negotiation”
7.3 All interested partners will be permitted to attend, subject to space
7.4 All partners will receive a meeting report and a copy of Commission minutes of the meeting
7.5 All partners will be responsive to documentation requests
7.6 The various needs of the partners will be respected as much as is possible while fine tuning the budgets.
7.7 As far as possible all partner comments will be taken into account
7.8 The financial status information of individual partners will keep in full confidence.
7.9 Individual partners participation should not be changed based on individual circumstances such as relative man rates without the agreement of the partner concerned.
7.10 Budget cuts should be handled fairly and take into account individual partners concerns to maximum extent possible.
8. Consortium Agreement
8.1 The agreement should ensure participative management – not a dictatorship. The Coordinator should have a single vote (and perhaps casting vote).
8.2 The agreement must prevent single partners from blocking decisions
8.3 The Agreement must protect interests of minor, small and inexperienced partners
8.4 All partners should receive their funding net of Coordinators bank charges
8.5 Financing should be distributed expeditiously after receipt by the Coordinator. There should be a limit of two working weeks.
8.6 All partners should be informed immediately by the Coordinator when funding is received and planned amounts and dates for distribution.
9. During the project
9.1 Research Projects should not be managed like a civil engineering project. Management needs to be light weight and participative within the constraints laid down by the Grant Agreement.
9.2 All partners should be kept fully informed of relevant developments as they occur.
9.3 Partners should not directly interface with the project officer without prior agreement of the Coordinator (unless there is a major un-resolvable disagreement)
9.4 Partners should be open about problems as soon as they become apparent, especially operational ones
9.5 Partners should be responsive to emails & telephone – if away have mobile or someone to cover
9.6 Partners should not do anything illegal – if in doubt discuss before hand
9.7 If there is an organisational change in an organisation ensure a smooth handover
9.8 Cost statements should be prepared on time and Certificates on Financial Statement be planned well in advance. Unwarranted delays by a single partner can cause significant payment delays to the detriment of others. Such situations should be foreseen in the Consortium Agreement with options identified.
10. Project End
10.1 Don’t lose project funding by last minute un-forecast under-spend. Projected under-spends must be communicated well in advance to the Coordinator.
10.2 The project is not over until all reports are accepted – ensure ongoing availability of staff in case of problems
10.3 The final payment may be crucial to some partners – expedite its payment
10.4 Don’t turn your back on your partners!
11. Disciplinary Measures
11.1 In case of violation of this Code of Conduct the joint arbitration committee according to § 13 of the Regulations of the Association will decide about appropriate measures.
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