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May 2011 (1) Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit European Commission FP7 Integrating Activities - Provisions for Transnational.

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Presentation on theme: "May 2011 (1) Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit European Commission FP7 Integrating Activities - Provisions for Transnational."— Presentation transcript:

1 May 2011 (1) Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit European Commission FP7 Integrating Activities - Provisions for Transnational Access & Reporting

2 May 2011 (2) Integrating Activities in FP7 Structure 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 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 FP6 instrument “I3” Funding scheme: “combination of collaborative project and coordination and support actions”

3 May 2011 (3) (1) Networking Activities To foster a culture of co-operation between the research infrastructures and the related scientific communities Forms 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 software, databases, data management… èSetting up of technical workshops, forums, working groups and studies…

4 May 2011 (4) (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 èRemote 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 èAccess to scientific services freely available through communication networks, e.g. databases available on the web

5 May 2011 (5) (2) Transnational Access Provisions for transnational 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 Eligibility and selection of the user groups èLeader + majority of users must work in MS+AS èLeader + 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)

6 May 2011 (6) (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: èInstrumentation / prototype development èDevelopment of methods, protocols, standards… èDevelopment of software, middleware, algorithm; Database creation, upgrade, curation… èDevelopment and curation of samples

7 May 2011 (7) “Contract” becomes “Grant Agreement” (GA) “Contractor” becomes “Beneficiary” “Instruments” become “Funding Schemes” “Audit certificate” becomes “Certificate on Financial Statement” Terminology in FP7

8 May 2011 (8) 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% Non-profit Public Bodies Secondary and Higher Education establishments, Research Organisations, SMEs Terminology in FP7

9 May 2011 (9) 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

10 May 2011 (10) 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

11 May 2011 (11) 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)

12 May 2011 (12) 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 Reporting - Overview of requirements (2)

13 May 2011 (13) 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 Reporting - Overview of requirements (3)

14 May 2011 (14) 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 Reporting - Overview of requirements (4)

15 May 2011 (15) 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

16 May 2011 (16) 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 − List of users’ publications Additional reporting instructions for TA activities

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

18 May 2011 (18) - 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: Content of periodic report (3)

19 May 2011 (19)  Should be of suitable quality to enable direct publication by Commission 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, … 1. Publishable summary Content of periodic report (4)

20 May 2011 (20) 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 2. Project objectives for the period Content of periodic report (5)

21 May 2011 (21) 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 3. Work progress and achievements Content of periodic report (6)

22 May 2011 (22) 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 WP no. Lead participant Nature Dissemination level Due delivery date Annex I Delivered Yes/No Actual/ Forecast delivery date Comments 4. Deliverables and milestones tables Content of periodic report (7)

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

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

25 May 2011 (25) Explanation of costs incurred by each beneficiary + link to the WPs 6. Explanation of the use of the resources Table 3.1 Cost items for Beneficiary N° “x” for the period Work Package Item descriptionAmountExplanations 3,5…Personnel costs 6 person-months for WP3, 12 for WP5…; actual costs 1,6SubcontractingNature of service 2,4Durable equipmentNature… – Depreciation costs only 1,2,3,…6Travel costs Participation to annual meeting in XXX of 2 persons …Other costs TOTAL DIRECT COSTS AS CLAIMED ON FORM C Content of periodic report (10)

26 May 2011 (26) 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 Content of periodic report (11)

27 May 2011 (27) To be submitted: a Financial Statement for each beneficiary and for each third party if any (Art.7 SC10 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:  Beneficiary's stamp  Date and signature a Summary Financial Report Financial Statements (1)

28 May 2011 (28) Completing Form C Reporting period Cost of certificate Beneficiary's Stamp Date and signature Who can sign? either administrative/legal/financial contact person (GPF A2.3) or authorised representatives (GPF A2.4) Financial Statements (2)

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

30 May 2011 (30) 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

31 May 2011 (31) 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

32 May 2011 (32) - Personnel costs - Financial Statements (4) 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 total hours where personnel work on several projects during the same period AND activity (RTD, Support, Coordination or Management) because of different reimbursement rates

33 May 2011 (33) Financial Statements (5) 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 CoMAv) Detailed information and example of a time-sheet template is available in the “Guide to Financial Issues relating to FP7 Indirect Actions” - Personnel costs -

34 May 2011 (34) 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: ofor project of 2 years or less, no intermediate CFS, only at the end oif a certification on the methodology is provided no intermediate CFS, only at the end If EC requested contribution < €, No certificate on financial statements (not even at the end) Certificates (1)

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

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

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

38 May 2011 (38) 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

39 May 2011 (39) Useful links FP7 Cordis web site on Research Infrastructures  infrastructures_en.html To find a document (including guidances notes on project reporting etc.)  Guide to Financial Issues relating to FP7 Indirect Actions  ftp://ftp.cordis.europa.eu/pub/fp7/docs/financialguide_en.pdf Reporting instructions for TA (incl.user’s quest.)  infrastructures-doc_en.html FORCE   https://webgate.ec.europa.eu/FormC


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