FP 7 and Research Infrastructures Anna Maria Johansson

FP 7 and Research Infrastructures Anna Maria Johansson, DG RTD-B Research Infrastructures Unit

Research Infrastructures (incl. e-infrastructures) are: Ø Facilities, resources, and related services used by the scientific community for § Conducting leading-edge research § Knowledge transmission, exchange and preservation Ø Today Research Infrastructures include § Major scientific equipment § Scientific collections, archives, structured information § ICT-based infrastructures Ø Excellence of research services generally subject to periodic evaluation by international scientific committee

Objectives of the FP 7 Research Infrastructures actions • Optimising the use and development of the best existing research infrastructures in Europe • Helping to create in all fields of S & T new research infrastructures of pan-European interest needed by the European scientific community • Supporting programme implementation and policy development (e. g. international cooperation)

FP 7 Research Infrastructures actions Existing Infrastructures New Infrastructures Integrating activities Design studies et udg b tive € ca Indi 000 M 1 e-infrastructures et g bud ive icat M€ Ind 630 Construction (preparatory phase; construction phase) Policy Development and Programme Implementation et g bud e ativ € c Indi 80 M

Support to existing research infrastructures • Integrating Activities to promote the coherent use and development of research infrastructures in a given class, by a targeted approach opening and optimising access to and use of existing RIs structuring and integrating, on a European scale, the operation of RIs and fostering their joint development covering with one single grant agreement “Trans-national Access”, “Networking Activities” and “Joint Research Activities” • e-infrastructures to develop a new research environment building on ICT capabilities High performance communication (GÉANT) Grid infrastructures Scientific data infrastructures

Support to new research infrastructures ● Design studies ● - to support the conceptual design for new facilities or major upgrades, of clear European dimension and interest ● - implementation through a bottom-up approach ● Construction of new RIs ● preparatory phase ● to establish legal, organisational and financial framework ● targeted to projects identified in the ESFRI roadmap ● implementation phase (i. e. actual construction) ● only for projects which have sufficiently progressed in preparatory phase ● mainly to be supported by Member States - EC financial support limited to cases where there is a critical need for such support

(1) Networking Activities l To foster a culture of co-operation between the research infrastructures and the related scientific communities l 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 softwares, databases, data management… è Setting up of technical workshops, forums, working groups and studies…

(2) Trans-national Access and/or Service activities l Provide trans-national 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 l 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

(2) Trans-national Access and/or Service activities l Provisions for trans-national 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 l Provisions for access to services freely available through communication networks è Defined in a special clause to the Grant Agreement è EC financial contribution for access costs will not exceed 20% of operating costs incurred

(3) Joint Research Activities l 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) l 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

Distribution of the topics between calls Call A (WP 2010) Published July 2009 Call B (WP 2011) Autumn 2010 Call C (WP 2012) Jan. 2012 Budget: ~ 165 M€ Budget: ~ 100 M€ Budget: ~90 M€ 36 topics 21 topics 23 topics Expected number of funded projects: ~ 18 -20 Expected number of funded projects: ~ 12

WP 2010: topics environment (1) l Topics with existing Integrating Activity projects in the RI program èRI for long-term observation of aerosols, trace gases and clouds for atmospheric research èRI for natural hazards: seismic monitoring and seismology èRI for experimental hydraulic research on interaction of water with environment elements, of structures and on sediment dynamic, and on energy conversion

WP 2010: topics environment (2) l Topics for new communities for Integrating Activity projects èLong-term ecosystems research network of sites and experimental platforms, for multidisciplinary research and data collection èRI for polar research: interdusciplinary observation and monitoring stations including atmospheric, terrestrial and marine studies èRI for coastal research, including for integrated coastal zone management and planning èRI for water resource observation, water resource management, hydrological observation

WP 2011: topics environment l Topics with existing Integrating Activity projects in the RI program èMultidiciplinary ocean, marine and coastal data centres èRI for carbon cycle observation l Topics for new communities for Integrating Activity projects èIntegrated observatories and data centres for biodiversity research

WP 2012: topics environment l Topics with existing Integrating Activity projects in the RI program èResearch vessels èResearch aircrafts: generic multidisciplinary RIs èIntegrated marine stations supporting research on aquatic ecosystems based on mesocosm studies èAtmospheric test chambers RIs èRIs for earth systems modelling èNatural history collections

Next Calls for Proposals • Integrating Activities - Three Calls: Sept 2009 (160 M€), Jan 2011 (100 M€) and Jan 2012 (90 M€) - Max EC contribution: 10 M€/project - A targeted approach: topics to be defined in consultation with experts, thematic priorities (Cooperation Programme) and the RI Program Committee Disclaimer: Please note that dates for calls and indicative budgets are still under discussion and could be changed!

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

Costs • 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% in funding schemes including RTD (CP, CP-CSA) • Non-profit Public Bodies • Secondary and Higher Education establishments, • Research Organisations, • SMEs

Certification • EC contribution <=375. 000€ No certificate on financial statements (not even at the end) • EC contribution >375. 000€ Certificate on Financial statement (CFS) must be submitted: • every time cumulative EC contr. >375. 000€ • If certificate on methodology: no interim CFS but only at the end

Payment modalities • One pre-financing (upon entry into force) for the whole duration – Contribution for Guarantee fund of 5% • Interim payments based on financial statements (EC contribution = amounts justified and accepted * funding rate) • Retention 10 % of EC Contribution • Final Payment

Reporting • During the project – Periodic report: within 60 days of the end of Period, (Art. 4 GA) – Deliverables identified in Annex I • The periodic report includes: – Self declaration (by the coordinator) – Publishable summary report – Description of progress of work – Explanation of use of resources – Financial Statements (Forms C)

Documents delivery • Periodic report and deliverables to be submitted to the Commission by electronic means The periodic report shall be in the form of one single report in electronic format (preferably PDF) Forms C through a web-based system: FORCE • Originals to be sent to the Commission by post: – Signed financial statements (Forms C – Each beneficiary), – Certificates on financial statements or on the methodology – Self declaration of the coordinator

Content of periodic report (1) Periodic report template • FRONT PAGE • SELF DECLARATION • TABLE OF CONTENTS 1. 2. 3. 4. 5. 6. 7. Publishable summary Project objectives for the period Work progress and achievements during the period Deliverables and milestones tables Project management Explanation of the use of the resources Financial statements – Forms C and Summary financial report

Content of periodic report (2) - SELF DECLARATION · The attached periodic report represents an accurate description of the work carried out for this reporting period · The project (tick as appropriate): q Has fully achieved its objectives and technical goals for the period; q Has achieved most of its objectives and technical goals for the period with relatively minor deviations; q Has failed to achieve critical objectives and/or is not at all on schedule · The public website is up to date · …

Content of periodic report (3) 1. Publishable summary This section should be of suitable quality to enable direct publication by Commission • Summary description of the project objectives • Description of the work performed since the beginning of the project and the main results achieved so far • Describe expected final results and their potential impact and use • Project public website address, if applicable • Include, if appropriate: diagrams or photographs illustrating and promoting the work, project logo, contact details, …

Content of periodic report (4) 6. Explanation of the use of the resources Explanation of costs incurred by each beneficiary linking them to the WPs Table 3. X Cost items for beneficiary X for the period Work Package Item description i, j, k Personnel costs k Travel costs 6 man-months for WPi, 2 MM for WPj, 1 MM for WPk Durable equipment i Explanations (examples) Subcontracting j, k, m Amount … TOTAL DIRECT COSTS AS CLAIMED ON FORM C Attending annual meeting, WPk meeting

Content of periodic report (5) - CONTENTS 7. Financial Statements – Forms C and Summary financial report (for Period 1) Form C (Annex VI GA) - A Financial Statement for each beneficiary and for each third party (Art. 7 SC 10 GA) Guidance in completing Form C: Useful info: “Guide to Financial Issues relating to FP 7 Indirect Actions” ftp: //ftp. cordis. europa. eu/pub/fp 7/docs/financialguide_en. pdf Original Form C to be sent by post. Do not forget: • Beneficiary's stamp • Date and signature

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

Non-Eligible costs Guidance in completing Form C - Non-eligible costs (Art. II. 14. 3 GA) ü ü ü Identifiable indirect taxes including VAT 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

Personnel costs Guidance in completing Form C - Personnel costs (Art. II. 15. 1 GA) • Only the costs of actual hours worked by the persons directly carrying out work under the project may be charged • Persons directly hired by beneficiary, who work under sole technical supervision and responsibility of the latter, are remunerated in accordance with the normal practices of the beneficiary Need for a reliable time recording system for reconciliation of ü Total hours that persons work on several projects during the same period AND ü Activity type (RTD, Support, Coordination or Management), because of different reimbursement rates

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 time-limit (new) • After reception Commission may: – – 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)

Useful RI links l FP 7 and Capacities Specific Programme http: //cordis. europa. eu/fp 7/ l Research Infrastructures on CORDIS (FP 6) http: //cordis. europa. eu/infrastructures/ http: //cordis. europa. eu/ist/rn/ l ESFRI (Eur. Strategy Forum for Research Infrastr. ) http: //cordis. europa. eu/esfri/home. html http: //www. e-irg. org l Research Infrastructures in Europa http: //ec. europa. eu/research/infrastructures