Transcript No Slide Title

FP7 Integrating Activities - Provisions for
Transnational Access & Reporting
May 2011 (1)
Agnès ROBIN, DG for Research & Innovation
Research Infrastructures Unit
European Commission
Integrating Activities in FP7
• Structure better and integrate, on a European scale, the way
research infrastructures operate and develop
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Normally all major RI’s in Europe in one field
At least 3 MS or AS
• 3 types of activities in one project
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(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)
(1) Networking Activities
• To foster a culture of co-operation between the research
infrastructures and the related scientific communities
• Forms of activities:
è Towards a common long-term strategy : foresight…
è Towards good practice: exchange of personnel and visits, standards
and quality…
è Towards the users: training, feedback, coordination…
è Towards virtual research communities: Web-sites, common
software, databases, data management…
è Setting up of technical workshops, forums, working groups and
studies…
May 2011 (3)
(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
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"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
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May 2011 (4)
Access to scientific services freely available through
communication networks, e.g. databases available on the web
(2) Transnational Access
• Provisions for transnational access activities are defined in
Annex III to the Grant Agreement
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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
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May 2011 (5)
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)
(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:
è Instrumentation / prototype development
è Development of methods, protocols, standards…
è Development of software, middleware, algorithm; Database
creation, upgrade, curation…
è Development and curation of samples
May 2011 (6)
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)
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)
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)
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 timelimit (new)
• After reception Commission may:
–
–
–
–
May 2011 (10)
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)
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)
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)
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)
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)
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
May 2011 (15)
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)
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)
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):
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 (18)
Content of periodic report (4)
1. Publishable summary
 Should be of suitable quality to enable direct
Commission
publication by
• 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)
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)
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)
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
May 2011 (22)
WP
no.
Lead
participant
Nature
Dissemination
level
Due
delivery
date
Annex I
Delivered
Yes/No
Actual/
Forecast
delivery
date
Comments
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.
May 2011 (23)
Milestone
name
Due
achievement
date (Annex I)
Achieved
Yes/No
Actual/Forecast
achievement
date
Comments
Content of periodic report (9)
5. Project management
• Summary of management activities
o
o
o
o
o
o
o
o
o
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)
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)
Content of periodic report (11)
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 (26)
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)
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)
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)
Eligible costs






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)
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 (31)
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)
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)
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:
o for project of 2 years or less, no intermediate CFS, only at the end
o 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)
May 2011 (34)
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= €200.000
CFS has to be submitted
(since €185.000+ €200.000≥ €375.000)
– Period 3 - requested EC contribution= €250.000
No CFS because < €375.000
May 2011 (35)
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= €390.000
CFS has to be submitted
May 2011 (36)
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)
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)
Useful links
• FP7 Cordis web site on Research Infrastructures
 http://cordis.europa.eu/fp7/capacities/researchinfrastructures_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/researchinfrastructures-doc_en.html
• FORCE
 http://cordis.europa.eu/fp7/
May 2011 (39)
 https://webgate.ec.europa.eu/FormC