Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit European Commission

May 2011 (1)

Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit

European Commission

FP7 Integrating Activities - Provisions for FP7 Integrating Activities - Provisions for Transnational Access & ReportingTransnational Access & Reporting

FP7 Integrating Activities - Provisions for FP7 Integrating Activities - Provisions for Transnational Access & ReportingTransnational Access & Reporting

May 2011 (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 (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 (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 (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 (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 (7)

• “Contract” becomes “Grant Agreement” (GA)

• “Contractor” becomes “Beneficiary”

• “Instruments” become “Funding Schemes”

• “Audit certificate” becomes “Certificate on Financial Statement”

Terminology in FP7

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

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

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

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)

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


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


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


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 summary2. Project objectives for the period3. Work progress and achievements during the period

Additional requirements for transnational access (TA) activities4. Deliverables and milestones tables 5. Project management6. Explanation of the use of the resources7. Financial statements – Forms C and Summary financial report8. Certificates

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

May 2011 (17)

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:

- FRONT PAGE -


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: .........................................


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


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


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


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.

Deliverablename

WPno.

Leadparticipant Nature

Disseminationlevel

Due delivery

date Annex I

DeliveredYes/No

Actual/Forecast delivery

date

Comments

4. Deliverables and milestones tables


May 2011 (23)

List of all milestones as specified in Annex I of the GA

Table 2. Milestones

Milestoneno.

Milestonename

Dueachievement

date (Annex I)

AchievedYes/No

Actual/Forecastachievement

dateComments

4. Deliverables and milestones tables


May 2011 (24)

• Summary of management activities o Consortium management tasks & achievementso Problems which have occurred and solutionso Changes in the consortium, if anyo List of project meetings, dates and venues o Project planning and statuso Impact of possible deviations from the planned milestones/deliverableso Any changes to the legal status of any of the beneficiarieso Development of the Project websiteo 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


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 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 (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


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 stampDate and signature

• a Summary Financial Report

Financial Statements (1)

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)


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 costsAccess 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 (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

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

May 2011 (32)

- 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 (33)


• 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 -

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:

o for project of 2 years or less, no intermediate CFS, only at the endo if a certification on the methodology is provided no intermediate

CFS, only at the end• If EC requested contribution <375.000€, No certificate on

financial statements (not even at the end)

Certificates (1)

May 2011 (35)

Certificates (2)

Example A (no estimated access costs):

– Period 1 – requested EC contribution= €185.000 No CFS because < €375.000

– Period 2 – requested EC contribution= €200.000CFS has to be submitted (since €185.000+ €200.000≥ €375.000)

– Period 3 - requested EC contribution= €250.000No CFS because < €375.000

May 2011 (36)

Certificates (3)

Example B (with access costs):– Period 1 - EC contribution= €185.000 (incl. €60.000 estimated access

costs) No CFS because < €375.000

– Period 2 - EC contribution= €200.000 (incl. €80.000 estimated access costs)CFS has to be submitted (since €185.000+ €200.000≥ €375.000)Certified amount: €245.000 (estimated access costs are excluded)

– Last period - EC contribution= €250.000 (incl. real access costs for last period and adjustments to former periods for real access costs)Cumulated EC contribution not covered by a CFS= €390.000CFS has to be submitted

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

May 2011 (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 (39)

Useful links• FP7 Cordis web site on Research Infrastructures

http://cordis.europa.eu/fp7/capacities/research-infrastructures_en.html

• To find a document (including guidances notes on project reporting etc.)

http://cordis.europa.eu/fp7/find-doc_en.html• 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.)

http://cordis.europa.eu/fp7/capacities/research-infrastructures-doc_en.html

• FORCE http://cordis.europa.eu/fp7/ https://webgate.ec.europa.eu/FormC

Agnès ROBIN, DG for Research & Innovation Research Infrastructures Unit European Commission

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