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FP 7 Integrating Activities - Provisions for Transnational Access & Reporting May 2011 (1) FP 7 Integrating Activities - Provisions for Transnational Access & Reporting May 2011 (1) Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit European Commission

Integrating Activities in FP 7 • Structure better and integrate, on a European scale, Integrating Activities in FP 7 • Structure better and integrate, on a European scale, the way research infrastructures operate and develop è Normally all major RI’s in Europe in one field è At least 3 MS or AS • 3 types of activities in one project è (1) Networking Activities è (2) Transnational Access and/or service activities è (3) Joint Research Activities • Continuation of the successful FP 6 instrument “I 3” • Funding scheme: “combination of collaborative project and coordination and support actions” May 2011 (2)

(1) Networking Activities • To foster a culture of co-operation between the research infrastructures (1) Networking Activities • To foster a culture of co-operation between the research infrastructures and the related scientific communities • Forms of activities: è Towards a common long-term strategy : foresight… è Towards good practice: exchange of personnel and visits, standards and quality… è Towards the users: training, feedback, coordination… è Towards virtual research communities: Web-sites, common software, databases, data management… è Setting up of technical workshops, forums, working groups and studies… May 2011 (3)

(2) Transnational Access and/or Service activities • Provide transnational access to researchers or research (2) Transnational Access and/or Service activities • Provide transnational access to researchers or research teams to one or more infrastructures among those operated by the participants è "Hands-on" access è Remote access: provision of reference material, sample analysis… Remote access to distributed infrastructures: “trans-nationality” will not apply • Provide research infrastructures related services to the scientific community è Access to scientific services freely available through communication networks, e. g. databases available on the web May 2011 (4)

(2) Transnational Access • Provisions for transnational access activities are defined in Annex III (2) Transnational Access • Provisions for transnational access activities are defined in Annex III to the Grant Agreement è Access costs = unit cost x quantity of access provided (will not exceed 20% of costs of providing total access to the installation over the duration of the project) è An estimated unit cost will be specified in Annex I è EC financial contribution will be adjusted in the final financial statement (Form C) based on real UC • Eligibility and selection of the user groups è Leader + majority of users must work in MS+AS è Leader + majority of users must work in country other than that of infrastructure (if several installations, conditions apply to each installation except where remote access to distributed set of RIs) May 2011 (5)

(3) Joint Research Activities • Explore new fundamental technologies or techniques underpinning the efficient (3) Joint Research Activities • Explore new fundamental technologies or techniques underpinning the efficient and joint use of the participating research infrastructures To improve the services provided by the infrastructures (in quality and/or quantity) • Forms of activities: è Instrumentation / prototype development è Development of methods, protocols, standards… è Development of software, middleware, algorithm; Database creation, upgrade, curation… è Development and curation of samples May 2011 (6)

Terminology in FP 7 • “Contract” becomes “Grant Agreement” (GA) • “Contractor” becomes “Beneficiary” Terminology in FP 7 • “Contract” becomes “Grant Agreement” (GA) • “Contractor” becomes “Beneficiary” • “Instruments” become “Funding Schemes” • “Audit certificate” becomes “Certificate on Financial Statement” May 2011 (7)

Terminology in FP 7 • No more cost models (AC, FCF): all beneficiaries report Terminology in FP 7 • No more cost models (AC, FCF): all beneficiaries report all their real direct costs • Method for calculating indirect costs – Actual – Simplified – Flat rate 20% – Special transitional flat rate 60% • Non-profit Public Bodies • Secondary and Higher Education establishments, • Research Organisations, • SMEs May 2011 (8)

Payment modalities • Pre-financing (upon entry into force) for the whole duration Contribution for Payment modalities • Pre-financing (upon entry into force) for the whole duration Contribution for Guarantee fund of 5% • Interim payments corresponding to the amount accepted for each reporting period (EC contribution = eligible cost justified & accepted * funding rate) Gross pre-financing + interim payments < 90% of max EC contribution • Final payment + reimbursement of contribution to the guarantee fund May 2011 (9)

Approval and Payment time limit • Commission has 105 days to evaluate the report Approval and Payment time limit • Commission has 105 days to evaluate the report and deliverables and disburse corresponding payment: – No tacit approval of report – Automatic payment of interests on late payment on expiry of the timelimit (new) • After reception Commission may: – – May 2011 (10) Approve the report Suspend the time-limit requesting revision/completion Reject the report giving justification, possible termination of GA Suspend the payment (e. g. irregularity committed/suspected)

Reporting - Overview of requirements (1) Legal basis – Article II. 4 sets the Reporting - Overview of requirements (1) Legal basis – Article II. 4 sets the reporting obligations of the Consortium – Article II. 5 sets the evaluation and payment terms of the Commission The Commission may initiate a technical audit or review at any time during the implementation of the project to assess the work carried out under the project (Article II. 23) May 2011 (11)

Reporting - Overview of requirements (2) • During the project – Periodic report (within Reporting - Overview of requirements (2) • During the project – Periodic report (within 60 days of the end of each reporting period defined in Article 4) including last one!! – Deliverables identified in Annex I • End of the project (within 60 days) – Final report • After receiving final EC payment (within 30 days) – Report on the distribution of EC financial contribution between beneficiaries May 2011 (12)

Reporting - Overview of requirements (3) • Periodic report includes: – Description of progress Reporting - Overview of requirements (3) • Periodic report includes: – Description of progress of work, including a publishable summary report – Explanation of use of resources – Financial Statements + Summary • Final report includes – Publishable summary report of results – Report covering wider societal implications and plan on use and dissemination of results May 2011 (13)

Reporting - Overview of requirements (4) Transmission modalities • Reports and other deliverables to Reporting - Overview of requirements (4) Transmission modalities • Reports and other deliverables to be submitted to the Commission by electronic means Each report shall be in the form of ONE single report in electronic format Using a web-based system (FORCE) • Originals of signed financial statements, certificates and self declaration of the coordinator shall be sent to the Commission by post May 2011 (14)

Content of periodic report (1) Periodic report template (see Guidance Notes on Project Reporting) Content of periodic report (1) Periodic report template (see Guidance Notes on Project Reporting) • FRONT PAGE • SELF DECLARATION • TABLE OF CONTENTS 1. Publishable summary 2. Project objectives for the period 3. Work progress and achievements during the period Additional requirements for transnational access (TA) activities 4. Deliverables and milestones tables 5. Project management 6. Explanation of the use of the resources 7. Financial statements – Forms C and Summary financial report 8. Certificates May 2011 (15)

Additional reporting instructions for TA activities • To report specifically on TA activities under Additional reporting instructions for TA activities • To report specifically on TA activities under section 3. 3 of periodic report: – Additional guidelines provided by PO in charge – MS Access Database specific to each project with explanatory notes – Information from users: collected through an on-line questionnaire • For each TA work package: − Description of publicity for access opportunities − Description of selection procedure − Overview of TA activity (+ Annexes) − Scientific output of users − User meetings ● Annexes: MS Access Database − Composition of the USP − List of user-projects − List of users’ publications May 2011 (16)

Content of periodic report (2) - FRONT PAGE Grant Agreement number: Project acronym: Project Content of periodic report (2) - FRONT PAGE Grant Agreement number: Project acronym: Project title: Funding Scheme: 1 st □ 2 nd □ 3 rd □ 4 th□ Period covered: from to Project co-ordinator, name, title and organisation: Project website address: May 2011 (17)

Content of periodic report (3) - SELF DECLARATION · The attached periodic report is Content of periodic report (3) - SELF DECLARATION · The attached periodic report is an accurate description of the work carried out for this reporting period · The project (tick as appropriate): o has fully achieved its objectives and technical goals for the period; o has achieved most of its objectives and technical goals for the period with relatively minor deviations; o has failed to achieve critical objectives and/or is not at all on schedule · The public web site is up to date · To my best knowledge, the financial statements are consistent with the report on the resources used for the project Signature of Coordinator: . . May 2011 (18)

Content of periodic report (4) 1. Publishable summary Should be of suitable quality to Content of periodic report (4) 1. Publishable summary Should be of suitable quality to enable direct Commission publication by • Summary description of the project objectives • Description of the work performed since beginning of project and main results achieved so far • Expected final results and their potential impact and use • Project public website, if applicable • + diagrams or photographs illustrating and promoting the work, project logo, contact details, … May 2011 (19)

Content of periodic report (5) 2. Project objectives for the period • Overview of Content of periodic report (5) 2. Project objectives for the period • Overview of the project objectives for the reporting period (as included in Annex I of GA) • Summary of recommendations from previous reviews (if any) and resulting actions May 2011 (20)

Content of periodic report (6) 3. Work progress and achievements For each work package Content of periodic report (6) 3. Work progress and achievements For each work package (except project management) • Summary of progress towards objectives and details for each task • Highlights of most significant results • If applicable: - reasons for deviations from Annex I and impact on other tasks and planning - reasons for failing to achieve critical objectives - justification on deviations between actual and planned person-months May 2011 (21)

Content of periodic report (7) 4. Deliverables and milestones tables • List of all Content of periodic report (7) 4. Deliverables and milestones tables • List of all deliverables due in the reporting period (as indicated in Annex I of the GA) Deliverables other than written reports e. g. prototypes should also be accompanied by a short report Table 1. Deliverables Del. no. Deliverable name May 2011 (22) WP no. Lead participant Nature Dissemination level Due delivery date Annex I Delivered Yes/No Actual/ Forecast delivery date Comments

Content of periodic report (8) 4. Deliverables and milestones tables · List of all Content of periodic report (8) 4. Deliverables and milestones tables · List of all milestones as specified in Annex I of the GA Table 2. Milestones Milestone no. May 2011 (23) Milestone name Due achievement date (Annex I) Achieved Yes/No Actual/Forecast achievement date Comments

Content of periodic report (9) 5. Project management • Summary of management activities o Content of periodic report (9) 5. Project management • Summary of management activities o o o o o Consortium management tasks & achievements Problems which have occurred and solutions Changes in the consortium, if any List of project meetings, dates and venues Project planning and status Impact of possible deviations from the planned milestones/deliverables Any changes to the legal status of any of the beneficiaries Development of the Project website Use of foreground and dissemination activities • Comments and information on coordination activities, e. g. communication between beneficiaries, cooperation with other projects, etc. May 2011 (24)

Content of periodic report (10) 6. Explanation of the use of the resources • Content of periodic report (10) 6. Explanation of the use of the resources • Explanation of costs incurred by each beneficiary + link to the WPs Table 3. 1 Cost items for Beneficiary N° “x” for the period Work Package Item description Amount Explanations 3, 5… Personnel costs 6 person-months for WP 3, 12 for WP 5…; actual costs 1, 6 Subcontracting Nature of service 2, 4 Durable equipment Nature… – Depreciation costs only 1, 2, 3, … 6 Travel costs Participation to annual meeting in XXX of 2 persons …Other costs TOTAL DIRECT COSTS AS CLAIMED ON FORM C May 2011 (25)

Content of periodic report (11) 7. Financial Statements – Forms C and Summary financial Content of periodic report (11) 7. Financial Statements – Forms C and Summary financial report Form C - Annex VI of GA via web based tool “FORCE” only 8. Certificates Form D - Annex VII of GA May 2011 (26)

Financial Statements (1) To be submitted: • a Financial Statement for each beneficiary and Financial Statements (1) To be submitted: • a Financial Statement for each beneficiary and for each third party if any (Art. 7 SC 10 GA) Form C - Annex VI of Grant Agreement Guidance in completing Form C → Slide “Useful links” Use correct Form C which varies with funding scheme. Do not forget: w. Beneficiary's stamp w. Date and signature • a Summary Financial Report May 2011 (27)

Financial Statements (2) Completing Form C • Reporting period • Cost of certificate • Financial Statements (2) Completing Form C • Reporting period • Cost of certificate • Beneficiary's Stamp • Date and signature • Who can sign? either administrative/legal/financial contact person (GPF A 2. 3) or authorised representatives (GPF A 2. 4) May 2011 (28)

Financial Statements (3) Eligible activities (for Integrating Activities) ü ü RTD Coordination Support (including Financial Statements (3) Eligible activities (for Integrating Activities) ü ü RTD Coordination Support (including access costs) Management (columns of form C) Direct costs ü Personnel costs ü Subcontracting ü Other direct costs Indirect costs Access costs (rows of form C) ü estimated (according to unit costs in Annex I) or real (at the latest in the last period) ü both direct and indirect costs (specific row of form C; column “Support”) May 2011 (29)

Eligible costs Guidance in completing Form C - Eligible costs (Art. II. 14 GA) Eligible costs Guidance in completing Form C - Eligible costs (Art. II. 14 GA) ü Actual ü Incurred by the beneficiary and during reporting period ü Determined in accordance with usual accounting and management principles of the beneficiary ü Must be recorded in the accounts of beneficiary ü Must be used for the sole purpose of achieving the objectives of the project ü Must be indicated in the estimated overall Annex I budget May 2011 (30)

Non-Eligible costs Guidance in completing Form C - Non-eligible costs (Art. II. 14. 3 Non-Eligible costs Guidance in completing Form C - Non-eligible costs (Art. II. 14. 3 GA) ü Identifiable indirect taxes including VAT ü ü ü Duties Interest owed Provisions for future losses or charges Exchange losses, costs related to return on capital Debt and debt service charges, excessive or reckless expenditure May 2011 (31)

Financial Statements (4) - Personnel costs - • Only the costs of actual hours Financial Statements (4) - Personnel costs - • Only the costs of actual hours worked by the persons directly carrying out work under the project reliable time recording system necessary for reconciliation of ü total hours where personnel work on several projects during the same period AND ü activity (RTD, Support, Coordination or Management) because of different reimbursement rates May 2011 (32)

Financial Statements (5) - Personnel costs - • Average personnel costs accepted if: consistent Financial Statements (5) - Personnel costs - • Average personnel costs accepted if: consistent with the management principles and accounting practices and they do not significantly differ from actual personnel costs = if identified according to a methodology approved by the Commission (new Co. MAv) • Detailed information and example of a time-sheet template is available in the “Guide to Financial Issues relating to FP 7 Indirect Actions” May 2011 (33)

Certificates (1) Certificate on financial statements (CFS) • Detailed description verified as factual by Certificates (1) Certificate on financial statements (CFS) • Detailed description verified as factual by an external auditor compulsory report format and procedures to be performed (Form D – Annex VII) • Mandatory for a beneficiary when its accumulated requested funding equals or exceeds 375, 000€ 2 exceptions: o for project of 2 years or less, no intermediate CFS, only at the end o if a certification on the methodology is provided no intermediate CFS, only at the end • If EC requested contribution <375. 000€, No certificate on financial statements (not even at the end) May 2011 (34)

Certificates (2) Example A (no estimated access costs): – Period 1 – requested EC Certificates (2) Example A (no estimated access costs): – Period 1 – requested EC contribution= € 185. 000 No CFS because < € 375. 000 – Period 2 – requested EC contribution= € 200. 000 CFS has to be submitted (since € 185. 000+ € 200. 000≥ € 375. 000) – Period 3 - requested EC contribution= € 250. 000 No CFS because < € 375. 000 May 2011 (35)

Certificates (3) Example B (with access costs): – Period 1 - EC contribution= € Certificates (3) Example B (with access costs): – Period 1 - EC contribution= € 185. 000 (incl. € 60. 000 estimated access costs) No CFS because < € 375. 000 – Period 2 - EC contribution= € 200. 000 (incl. € 80. 000 estimated access costs) CFS has to be submitted (since € 185. 000+ € 200. 000≥ € 375. 000) Certified amount: € 245. 000 (estimated access costs are excluded) – Last period - EC contribution= € 250. 000 (incl. real access costs for last period and adjustments to former periods for real access costs) Cumulated EC contribution not covered by a CFS= € 390. 000 CFS has to be submitted May 2011 (36)

Certificates (4) • Auditors will provide information according to a specific format specified via Certificates (4) • Auditors will provide information according to a specific format specified via agreed terms of reference (To. R) • To. R are annexed to the grant agreement (Annex VII- Forms D & E) • To. R are derived from common practice in audits and corresponds to international audit standards May 2011 (37)

Certificates (5) Who can provide these certificates: • Qualified auditors under the 8 th Certificates (5) Who can provide these certificates: • Qualified auditors under the 8 th Directive • Independent • Public bodies, secondary and higher education establishments and research organisations may opt for a competent public officer May 2011 (38)

Useful links • FP 7 Cordis web site on Research Infrastructures http: //cordis. europa. Useful links • FP 7 Cordis web site on Research Infrastructures http: //cordis. europa. eu/fp 7/capacities/researchinfrastructures_en. html • To find a document (including guidances notes on project reporting etc. ) http: //cordis. europa. eu/fp 7/find-doc_en. html • Guide to Financial Issues relating to FP 7 Indirect Actions ftp: //ftp. cordis. europa. eu/pub/fp 7/docs/financialguide_en. pdf • Reporting instructions for TA (incl. user’s quest. ) http: //cordis. europa. eu/fp 7/capacities/researchinfrastructures-doc_en. html • FORCE http: //cordis. europa. eu/fp 7/ May 2011 (39) https: //webgate. ec. europa. eu/Form. C