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

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

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”

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-termstrategy: 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 oftechnical workshops, forums, working groups and studies…

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

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 estimatedunit 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)

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

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

8. No more cost models (AC, FC, FCF): all beneficiaries reportall their real direct costs Methodfor calculatingindirectcosts 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. Payment modalities • Pre-financing (upon entry into force) for the whole duration • Contribution for Guarantee fund of 5% • Interim paymentscorresponding 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. 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. 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) Reporting - Overview of requirements (1)

12. During the project Periodic report (within 60 days of the end ofeach 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. Periodic reportincludes: Description of progress of work, including a publishable summary report Explanation of use of resources Financial Statements + Summary Final reportincludes Publishable summary report of results Report covering wider societal implications and plan on use and dissemination of results Reporting - Overview of requirements (3)

14. Transmission modalities Reports and other deliverables to be submitted to the Commission by electronic means Each report shall be in the form ofONEsingle report in electronic format Using a web-based system (FORCE) Originals ofsigned financial statements, certificatesandself declarationof the coordinator shall be sent to the Commissionby post Reporting - Overview of requirements (4)

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 periodAdditional 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

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. 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:

18. Content of periodic report (3) - SELF DECLARATION - • The attached periodic report is an accurate descriptionof 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: .........................................

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, …

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

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

22. Content of periodic report (7) 4. Deliverables and milestones tables • List of alldeliverablesdue in the reporting period (as indicated in Annex I of the GA)  Deliverablesother thanwritten reportse.g. prototypes should also be accompanied by a short report

23. Content of periodic report (8) 4. Deliverables and milestones tables • List of allmilestonesas specified in Annex I of the GA

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.

25. Content of periodic report (10) 6. Explanation of the use of the resources • Explanation ofcosts incurred by each beneficiary + link to the WPs

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

27. Financial Statements (1) • To be submitted: • a Financial Statement for eachbeneficiaryand for eachthird partyif 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'sstamp • Dateand signature • a Summary Financial Report

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)

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”)

30. 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

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. 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

33. Financial Statements (5) - Personnel costs - • Average personnel costs accepted if: • consistent with the management principles and accounting practicesand • 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”

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 itsaccumulated 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 <375.000€, No certificate on financial statements (not even at the end)

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= €200.000 • CFS has to be submitted  (since €185.000+ €200.000≥ €375.000) • Period 3 - requested EC contribution= €250.000 • No CFS because < €375.000

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= €390.000 • CFS has to be submitted

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. 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

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