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Agnès ROBIN, DG for Research & Innovation

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Presentation on theme: "Agnès ROBIN, DG for Research & Innovation"— Presentation transcript:

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

2 Integrating Activities in FP7
Structure better and integrate, on a European scale, the way research infrastructures operate and develop Normally all major RI’s in Europe in one field At least 3 MS or AS 3 types of activities in one project (1) Networking Activities (2) Transnational Access and/or service activities (3) Joint Research Activities Continuation of the successful FP6 instrument “I3” Funding scheme: “combination of collaborative project and coordination and support actions” May 2011 (2)

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

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 "Hands-on" access 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 Access to scientific services freely available through communication networks, e.g. databases available on the web May 2011 (4)

5 (2) Transnational Access
Provisions for transnational access activities are defined in Annex III to the Grant Agreement 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) An estimated unit cost will be specified in Annex I EC financial contribution will be adjusted in the final financial statement (Form C) based on real UC Eligibility and selection of the user groups Leader + majority of users must work in MS+AS 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)

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

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

8 Terminology in FP7 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 May 2011 (8)

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 May 2011 (9)

10 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) May 2011 (10)

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) May 2011 (11)

12 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)

13 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)

14 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)

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

16 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 List of users’ publications May 2011 (16)

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

18 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): 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 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)

19 Content of periodic report (4)
1. Publishable summary  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, … May 2011 (19)

20 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)

21 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)

22 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 WP no. Lead participant Nature Dissemination level Due delivery date Annex I Delivered Yes/No Actual/ Forecast delivery date Comments May 2011 (22)

23 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. Milestone name Due achievement date (Annex I) Achieved Yes/No Actual/Forecast achievement date Comments May 2011 (23)

24 Content of periodic report (9)
5. Project management Summary of management activities 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)

25 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 WP3, 12 for WP5…; 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)

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

27 Financial Statements (1)
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 May 2011 (27)

28 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 A2.3) or authorised representatives (GPF A2.4) May 2011 (28)

29 Financial Statements (3)
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”) May 2011 (29)

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 May 2011 (30)

31 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 May 2011 (31)

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

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

34 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: for project of 2 years or less, no intermediate CFS, only at the end if 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) May 2011 (34)

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= € May 2011 (35)

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 May 2011 (36)

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 May 2011 (37)

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

39 Useful links FP7 Cordis web site on Research Infrastructures
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.) FORCE https://webgate.ec.europa.eu/FormC May 2011 (39)


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