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
May 2011 (39)