Anna Maria Johansson, DG RTD-B Research Infrastructures Unit

FP7 and Research Infrastructures

FP7 and Research Infrastructures

Research Infrastructures (incl. e-infrastructures) are:

Facilities, resources, and related services usedby the scientific community for Conducting leading-edge research Knowledge transmission, exchange and

preservation

Today Research Infrastructures include Major scientific equipment Scientific collections, archives, structured

information ICT-based infrastructures

Excellence of research services generally subject to periodic evaluation by international scientific committee

Objectives of the FP7Research Infrastructures actions

• Optimising the use and development of the best existing research infrastructures in Europe

• Helping to create in all fields of S & T new research infrastructures of pan-European interest needed by the European scientific community

• Supporting programme implementation and policy development (e.g. international cooperation)

Existing Infrastructures

Design studies

New Infrastructures

Construction (preparatory phase; construction phase)

FP7 Research Infrastructures actions

Integrating activities

e-infrastructures

Policy Development and Programme Implementation

Indicative

budget

1000 M€

Indicative

budget

630 M€

Indicative budget

80 M€

Support to existing research infrastructures

• Integrating Activities to promote the coherent use and development of research infrastructures in a given class, by a targeted approach

opening and optimising access to and use of existing RIs structuring and integrating, on a European scale, the

operation of RIs and fostering their joint development covering with one single grant agreement “Trans-national

Access”, “Networking Activities” and “Joint Research Activities”

• e-infrastructures to develop a new research environment building on ICT capabilities

High performance communication (GÉANT)

Grid infrastructures

Scientific data infrastructures

Support to new research infrastructures● Design studies

●- to support the conceptual design for new facilities or major upgrades, of clear European dimension and interest

●- implementation through a bottom-up approach

● Construction of new RIs

● preparatory phase

●to establish legal, organisational and financial framework

●targeted to projects identified in the ESFRI roadmap

● implementation phase (i.e. actual construction)

●only for projects which have sufficiently progressed in preparatory phase

●mainly to be supported by Member States - EC financial support limited to cases where there is a critical need for such support

(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 softwares, databases, data management… Setting up of technical workshops, forums, working

groups and studies…

(2) Trans-national Access and/or Service activities

Provide trans-national 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

(2) Trans-national Access and/or Service activities

Provisions for trans-national 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 Provisions for access to services freely

available through communication networks Defined in a special clause to the Grant Agreement EC financial contribution for access costs will not

exceed 20% of operating costs incurred

(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

Distribution of the topics between calls

Call A (WP 2010)Published July 2009

Call B (WP 2011)Autumn 2010

Call C (WP 2012)Jan. 2012

36 topics

Expected number of funded projects: ~ 18-20

Budget: ~ 165 M€ Budget: ~ 100 M€ Budget: ~90 M€

21 topics

Expected number of funded projects: ~ 10

23 topics

Expected number of funded projects: ~ 12

WP 2010: topics environment (1)

Topics with existing Integrating Activity projects in the RI program

RI for long-term observation of aerosols, trace gases and clouds for atmospheric research

RI for natural hazards: seismic monitoring and seismology

RI for experimental hydraulic research on interaction of water with environment elements, of structures and on sediment dynamic, and on energy conversion

WP 2010: topics environment (2)

Topics for new communities for Integrating Activity projects

Long-term ecosystems research network of sites and experimental platforms, for multidisciplinary research and data collection

RI for polar research: interdusciplinary observation and monitoring stations including atmospheric, terrestrial and marine studies

RI for coastal research, including for integrated coastal zone management and planning

RI for water resource observation, water resource management, hydrological observation

WP 2011: topics environment

Topics with existing Integrating Activity projects in the RI program

Multidiciplinary ocean, marine and coastal data centres

RI for carbon cycle observation

Topics for new communities for Integrating Activity projects

Integrated observatories and data centres for biodiversity research

WP 2012: topics environment

Topics with existing Integrating Activity projects in the RI program

Research vessels

Research aircrafts: generic multidisciplinary RIs

Integrated marine stations supporting research on aquatic ecosystems based on mesocosm studies

Atmospheric test chambers RIs

RIs for earth systems modelling

Natural history collections

Next Calls for Proposals

• Integrating Activities

- Three Calls: Sept 2009 (160 M€), Jan 2011 (100 M€) and Jan 2012 (90 M€)

- Max EC contribution: 10 M€/project

- A targeted approach: topics to be defined in consultation with experts, thematic priorities (Cooperation Programme) and the RI Program Committee

Disclaimer: Please note that dates for calls and indicative budgets are still under discussion and could be changed!

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

• “Contractor” becomes “Beneficiary”

• “Instruments” become “Funding Schemes”

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

Terminology

• 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%

in funding schemes including RTD (CP, CP-CSA)• Non-profit Public Bodies• Secondary and Higher Education establishments,• Research Organisations,• SMEs

Costs

• EC contribution <=375.000€ No certificate on financial statements (not even at the end)

• EC contribution >375.000€ Certificate on Financial statement (CFS) must be submitted:

• every time cumulative EC contr. >375.000€

• If certificate on methodology: no interim CFS but only at the end

Certification

• One pre-financing (upon entry into force) for the whole duration

– Contribution for Guarantee fund of 5%

• Interim payments based on financial statements (EC contribution = amounts justified and accepted * funding rate)

• Retention 10 % of EC Contribution

• Final Payment

Payment modalities

• During the project

– Periodic report: within 60 days of the end of Period, (Art. 4 GA)

– Deliverables identified in Annex I

• The periodic report includes:– Self declaration (by the coordinator)– Publishable summary report– Description of progress of work– Explanation of use of resources– Financial Statements (Forms C)

Reporting

• Periodic report and deliverables to be submitted to the Commission by electronic means

The periodic report shall be in the form of one single report in electronic format (preferably PDF)

Forms C through a web-based system: FORCE

• Originals to be sent to the Commission by post:

– Signed financial statements (Forms C – Each beneficiary),

– Certificates on financial statements or on the methodology

– Self declaration of the coordinator

Documents delivery

Content of periodic report (1)

Periodic report template•FRONT PAGE•SELF DECLARATION•TABLE OF CONTENTS

1. Publishable summary2. Project objectives for the period3. Work progress and achievements during the period4. Deliverables and milestones tables 5. Project management6. Explanation of the use of the resources7. Financial statements – Forms C and Summary financial

report

- SELF DECLARATION -

The attached periodic report represents 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 website is up to date

…

Content of periodic report (2)

This section should be of suitable quality to enable direct publication by Commission

• Summary description of the project objectives

• Description of the work performed since the beginning of the project and the main results achieved so far

• Describe expected final results and their potential impact and use

• Project public website address, if applicable

• Include, if appropriate: diagrams or photographs illustrating and promoting the work, project logo, contact details, …

1. Publishable summary

Content of periodic report (3)

Explanation of costs incurred by each beneficiary linking them to the WPs

6. Explanation of the use of the resources

Table 3.X Cost items for beneficiary X for the period

Work Package

Item descriptionAmoun

tExplanations (examples)

i, j, k Personnel costs6 man-months for WPi, 2 MM for WPj, 1 MM for WPk

k Subcontracting

j, k, m Durable equipment

i Travel costsAttending annual meeting, WPk meeting

…

TOTAL DIRECT COSTS AS CLAIMED ON FORM C

Content of periodic report (4)

7. Financial Statements – Forms C and Summary financial report (for Period 1) Form C (Annex VI GA) - A Financial Statement for

each beneficiary and for each third party (Art.7 SC 10 GA)

Content of periodic report (5)- CONTENTS -

Guidance in completing Form C:Useful info: “Guide to Financial Issues relating to FP7 Indirect

Actions”ftp://ftp.cordis.europa.eu/pub/fp7/docs/financialguide_en.pdf

Original Form C to be sent by post. Do not forget:

• Beneficiary's stamp• Date and signature

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

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

Guidance in completing Form C - Personnel costs (Art. II.15.1 GA)

• Only the costs of actual hours worked by the persons directly carrying out work under the project may be charged

• Persons directly hired by beneficiary, who work under sole technical supervision and responsibility of the latter, are remunerated in accordance with the normal practices of the beneficiary

Need for a reliable time recording system for reconciliation of Total hours that persons work on several projects during the

same period AND Activity type (RTD, Support, Coordination or Management),

because of different reimbursement rates

Personnel costs

• 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

Useful RI links

FP7 and Capacities Specific Programme http://cordis.europa.eu/fp7/ Research Infrastructures on CORDIS (FP6) http://cordis.europa.eu/infrastructures/

http://cordis.europa.eu/ist/rn/ ESFRI (Eur. Strategy Forum for Research Infrastr.)

http://cordis.europa.eu/esfri/home.html http://www.e-irg.org Research Infrastructures in Europa http://ec.europa.eu/research/infrastructures