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Anna Maria Johansson, DG RTD-B Research Infrastructures Unit FP7 and Research Infrastructures.

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Presentation on theme: "Anna Maria Johansson, DG RTD-B Research Infrastructures Unit FP7 and Research Infrastructures."— Presentation transcript:

1 Anna Maria Johansson, DG RTD-B Research Infrastructures Unit FP7 and Research Infrastructures

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

3 Objectives of the FP7 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)

4 RI policy at EU level has no other choice than continuing reinforcing coordination At EU level, At national and regional, At “variable geometry”, At global level… This explains the important role of ESFRI and others… ESFRI European Strategy Forum on Research Infrastructures

5 Towards a coherent policy for Research Infrastructures: ESFRI lA European Strategy Forum on Research Infrastructures (launched in April 2002) lBrings together representatives of the 27 Member States, Associated States, and one representative of the European Commission (EC) lTo discuss the long term vision at European level and to support the development of a European RI policy èA Roadmap Report with 44 projects èWorth ~20 B€ investments over the next ~10 years

6 Role of ESFRI (and of its ad-hoc Working Groups) To foster an “open method of coordination” between different countries To discuss the long term vision at European level and to support the development of a European RI policy To bring initiatives and projects to a point where decisions by ministers are possible First roadmap in 2006 Update in Dec 2008 A stimulation and incubator role

7 Environmental Sciences - 2006 AURORA BOREALIS EURO-ARGO COPAL LIFEWATCH ICOS EMSO IAGOS-ERI 7 Projects Report 2006 European Roadmap for Research Infrastructures March 2009 7 Projects

8 Environmental Sciences - update EPOS SIAEOS EISCAT – 3D 3 Projects Report 2008 European Roadmap for Research Infrastructures March 2009

9 An EC initiative for a European legal framework for ERIs lESFRI concluded about the need to develop a new dedicated legal instrument at Community level lA Legal Framework, at Community level, for the construction and operation of new European Research Infrastructures (ERI) èA legal personality recognised in all Member States èTo facilitate the joint establishment and operation throughout Europe lAdoption by the Commission end of July 2008 lCurrent examination by the Council

10 Existing Infrastructures Design studies New Infrastructures Construction (preparatory phase; construction phase) FP7 Research Infrastructures actions Integrating activities e-infrastructures Policy Development and Programme Implementation Indicative budget 1000 M€ Indicative budget 630 M€ Indicative budget 80 M€

11 Budget for Research Infrastructures under FP7 FP7 budget (50 521 M€, current prices) Capacities 4 097 M€ JRC 1 751 M€ Ideas 7 510 M€ People 4 750 M€ Cooperation 32 413 M€ Research Infrastructures 1 715 M€ (~245 M€/year)

12 FP 6 and FP 7 RI projects in the field of environment EC contribution for research infrastructure projects in the fields of… lAir pollution research: more than 44 M€ lBiodiversity research: more than 22 M€ lClimate change research: more than 23 M€ lMarine sciences: more than 26 M€ lSeismology, earthquake engineering: more than 22 M€

13 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

14 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

15 Integrating Activity in FP7 lStructure better and integrate, on a European scale, the way research infrastructures operate and develop èNormally all major RI’s in Europe in one field èAt least 3 MS or AS l3 types of activities in one project è( 1) Networking Activities è(2) Trans-national Access and/or service activities è(3) Joint Research Activities lBased on the continuation of the successful FP6 instrument “I3” lProject type: combination of collaborative project & coordination and support action 580 M€ 2007-2013 4 Calls

16 (1) Networking Activities lTo foster a culture of co-operation between the research infrastructures and the related scientific communities lForms of activities: èTowards a common long-term strategy : foresight… èTowards good practice: exchange of personnel and visits, standards and quality… èTowards the users: training, feedback, coordination… èTowards virtual research communities: Web-sites, common softwares, databases, data management… èSetting up of technical workshops, forums, working groups and studies…

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

18 (2) Trans-national Access and/or Service activities lProvisions for trans-national access activities are defined in Annex III to the Grant Agreement èAccess 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) èAn estimated unit cost will be specified in Annex I èEC financial contribution will be adjusted in the final financial statement (Form C) based on real UC lProvisions for access to services freely available through communication networks èDefined in a special clause to the Grant Agreement èEC financial contribution for access costs will not exceed 20% of operating costs incurred

19 (3) Joint Research Activities lExplore 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) lForms of activities: èInstrumentation / prototype development èDevelopment of methods, protocols, standards… èDevelopment of software, middleware, algorithm; Database creation, upgrade, curation… èDevelopment and curation of samples

20 FP 7 future calls 0verall strategy lThree calls for proposals for 2010-2013 lA targeted approach èFor each of the calls, a list of defined topics èEach topic corresponding to one project, e.g.: "Research Vessels", "Virus archives", "Historical archives“… èMore topics will be published than can be funded to ensure competition

21 Identification of topics A draft list of topics, based on: èScientific landscapes established by ESFRI RWGs èPublished national roadmaps (DK, FR, IE, NO, ES, SE, UK; as well as third countries such as AU, USA) èOther policy documents (CERN, SCAR, etc.) èCurrently funded I3/Integrating Activity projects and Coordination Actions (FP6 and FP7) èInput from last bottom-up calls èA one-day workshop with 40 high-level experts èFurther input from other directorates / DGs

22 Identified topics l79 topics in 6 fields…divided in three calls èEnvironmental sciences and non nuclear energy èLife sciences èMathematics, computer-related sciences, data èSocial sciences and humanities èPhysics, astronomy, nuclear / particle physics èAnalytical facilities and engineering lLife sciences è21 topics in 3 calls: 26 % of the total of the number of topics!

23 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 36 topics Expected number of funded projects: ~ 18-20 Budget: ~ 165 M€ Budget: ~ 100 M€ Budget: ~90 M€ 21 topics Expected number of funded projects: ~ 10 23 topics Expected number of funded projects: ~ 12

24 WP 2010: topics environment (1) lTopics 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

25 WP 2010: topics environment (2) lTopics 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

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

27 WP 2012: topics environment lTopics 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

28 Next Calls for Proposals Construction of new RIs - preparatory phase -One Call: Sep 2009 (45 M€) -Average size of projects ~ 4,5 M€ -Targeted approach: limited to the 10 new projects of 2008 ESFRI roadmap Design Studies -One Call: Jan 2011 (20 M€) -average size of projects ~ 2 M€ -Implementation through a bottom-up approach Disclaimer: Please note that dates for calls and indicative budgets are still under discussion and could be changed!

29 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!

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

31 No more cost models (AC, FC, 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 Costs

32 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 Certification

33 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 Payment modalities

34 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) Reporting

35 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 Documents delivery

36 Content of periodic report (1) Periodic report template FRONT PAGE SELF DECLARATION TABLE OF CONTENTS 1.Publishable summary 2.Project objectives for the period 3.Work progress and achievements during the period 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

37 - SELF DECLARATION -  The attached periodic report represents an accurate description of the work carried out for this reporting period  The project (tick as appropriate):  Has fully achieved its objectives and technical goals for the period;  Has achieved most of its objectives and technical goals for the period with relatively minor deviations;  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 (2)

38 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, … 1. Publishable summary Content of periodic report (3)

39 Explanation of costs incurred by each beneficiary linking them to the WPs 6. Explanation of the use of the resources Table 3.X Cost items for beneficiary X for the period Work Package Item descriptionAmountExplanations (examples) i, j, kPersonnel costs 6 man-months for WPi, 2 MM for WPj, 1 MM for WPk kSubcontracting j, k, mDurable equipment iTravel costsAttending annual meeting, WPk meeting … TOTAL DIRECT COSTS AS CLAIMED ON FORM C Content of periodic report (4)

40 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) Content of periodic report (5) - CONTENTS - Guidance in completing Form C: Useful info:“Guide to Financial Issues relating to FP7 Indirect Actions” Original Form C to be sent by post. Do not forget: Beneficiary's stamp Date and signature

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

42 Non-Eligible costs Guidance in completing Form C - Non-eligible costs (Art. II.14.3 GA) 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

43 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 Total hours that persons work on several projects during the same period AND Activity type (RTD, Support, Coordination or Management), because of different reimbursement rates Personnel costs

44 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) Approval and Payment time limit

45 Useful RI links lFP7 and Capacities Specific Programme lResearch Infrastructures on CORDIS (FP6) lESFRI (Eur. Strategy Forum for Research Infrastr.) lResearch Infrastructures in Europa

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