Administrative + Management Aspects. EU - Framework Programme 7. Grant Agreement: Acronym FMT-XCT Project Kick-off Meeting,

Administrative + Management Aspects

EU - Framework Programme 7

Grant Agreement: Acronym FMT-XCT Project Kick-off Meeting, 14.05.2008

Dr. Jürgen Ertel

Department Program Planing and Management Head of Project Funding

MADEIRA Meeting - Table of Content

Project Specification

Management Structure

HMGU Project Management Team

Financial Issues

Reporting and Payment Schedule, Pre-financing

Audit Certificates on Financial Statements

Requirements for a Successful Project

_________________________________________

Project Specification

Medium-scale collaborative project under Topic Health-2007-1.2.-1 Duration: 48 months – 01. March 2008 to 29. February 2011

Total costs 5.839.675 €– maximum EC contribution 4.512.141 € 4 reporting periods: 1 - 12, 13 – 24, 25 – 36, 37 - 48 [months] Status Grant Agreement: signed by HMGU at 30.04.08 –

countersignature from Commission still outstanding

Negotiation of Consortium Agreement between project partners finalised – 3 of 7 signatures still missing

The Consortium Agreement (CA) will reflect this Management Structure. The CA is based on the DESCA Model: www.DESCA-FP7.eu

MADEIRA: Management Structure (WP1)

Commission

Co-ordinator Management

Support Team:

HMGU Project Office + Partner

Contributions

Executive Committee

(Work Package Leaders + VAMP) Advisory

Committee

WP3 WP4 WP5 WP6 WP7

WP2 WP8 WP9

HMGU Project Management Team

Coordinator, HMGU:

Vasilis Ntziachristos

Project Office

Institute of Biological and Medical Imaging (ISS)

Scientific and administrative project managers:

N.N. (Science and Administration) - key contact person

Secretariat:

Susan Stern

Department Program Planing and Management of HMGU

strategic and general managerial support + in charge of Administrative aspects:

Juergen Ertel + co-workers: Katrin Dinkla, Irina Uhlig

Centralised administrative departments of HMGU

Financial officer + financial assistant, Finance Department:

Michael Brunnhuber + Bernd Hagl/Valentine Schmid

European Affaires Legal Officer, Legal Department: Jan Laschke

Financial Issues

Research for SMEs

100% 100% 50 % 50% 75%* Collaborative Projects 100% 100% 50% 75%* Networks of Excellence Other** Manage-ment Demon-stration RTD Funding per Activity – upper limits

*non profit public bodies, secondary and higher education establishments, research organisations and SMEs

**Coordination networking, dissemination like publication + stakeholder meetings, exploitation measures, training !

Financial Issues

Eligible Costs (major cost items):

Personnel (permanent and additional staff): reimbursement of a) actual or b) average personnel costs – in case of b) a ‚Certification of Methodology‘ is needed

Consumables

Travel and subsistence

Durable equipment: according to depreciation rules in organisation Subcontracting: Commission asks for description of work and

justification of subcontract in Part B of proposal

Other costs: any other specific costs necessary for project which do not fall under former categories (like publication costs, animal

housing, assurances, etc.)

Indirect costs (overheads): according to method in organisation major cost items/partner have to be

related to WPs in periodic reporting

Reporting and Payment Schedule: Time Table of Financing and

Reporting for a 4 Year Collaborative Project

Start Phase 1. Reporting Period 2. Reporting Period 3. Reporting Period Periodic Report Finance Report

Annex I: Budget Distribution Between Partners According to Work Activities One Pre-financing (Article 6 + 7 of GA)

1. Intermediate Payment

Periodic Report

Finance Report 2. Intermediate Payment

Periodic Report

Finance Report 3. Intermediate Payment

Periodic Report

Finance Report

0 _{6 12 18} 24 30 36 42 48

Check + Approval

60 Days 45 Days COM pays Advance Delivery of Reports 105 Days COM:1. Inter-mediate Payment 60 Days Delivery of Reports

105 Days 60 Tage Delivery of

Reports 105 Days

Check + Approval Check + Approval 4. Reporting Period 54 60 Tage Delivery of Final Reports 105 Days COM Disburse Final Payment Check + Approval Coordinator: Report on Distribution of Community Financial Contribution to Partners

Project Final Report

Time Limits

COM:3. Inter-mediate Payment

Final Phase

COM: 2. Inter-mediate Payment

Time [Months]

Reporting and Payment Schedule: Time Plan for EU Funding for a

4 Year Collaborative Project with 4 Reporting Periods

0,4 Mio.€

Maximum 0,15 Mio.€ (90%-regulation!)

1. Reporting Period 2. Reporting Period 3. Reporting Period Time [Months]

One and only Pre-financing

1. Interim Payment

2. Interim Payment

3. Interim Payment

0 _{6 12 18} 24 30 36 42 48

4. Reporting Period

54

1,6 Mio.€

1,0 Mio.€ due to accounting (minus interest coordinator)

1,1 Mio. € due to accounting 1,8 Mio.€ (minus 0,226 Mio. € Guaranty Fund = 1,574 Mio.€)

0,45 Mio.€ EU funding during 4 year project: 4.5 Mio. €, 12 months reporting 1.128. Mio € average per period

Pre-financing:projects with more than 2 periods normally receive 160% of average EU funding per period (might deviate from Form A.5 negotiation) minus 5% of total funding for Guarantee Fund

Final Payment

Transfer of Pre-financing – Proposal for Kick-off Meeting

1. 100 % of 160 % of total pre-financing (= 1.128.035 € ) after signature of Grant Agreement, accession of all partners with Form A, receipt of money from Commission

2. The rest as second instalment = 451.214 € after receipt and acceptance of scientific periodic reports of partners by coordinator

3. Distribution between partners based on individual financial share given in Annex I (Table A.1 ‘Overall budget breakdown’) + according to work plan of each partner + any special decisions made by the consortium

4. Draft payment schedule prepared by coordinator has to be agreed by the Executive Committee

Remark: Intermediate payments + final payment due to accounting of

partners, acceptance of costs by Commission, current (updated) budget plan by consortium (Executive Committee)

Total pre-financing - EC Grant Agreement (Article 6): 1.805 k€ Contribution to Guarantee Fund (Article 6): 226 k€ Pre-financing left for distribution between partners: 1.579 k€

Reporting

Reporting guidelines, periodic reporting template and project final template for layout and content of the reports are available since March 2008 – see:

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

Important: cost items per beneficiary have to be listed at workpackage level + must be explained

Form C - Financial Statement + forms for financial reporting are only available as pdf documents at the moment (Annexe to Grant Agreement)

Electronic excel forms like in FP6 ?

Online electronic submission of financial reporting is planned and might be based on the adapted ‚SESAM‘ tool of FP6

Audit Certificates on Financial Statements

Audit certificates on financial statements are mandatory if the requested EC contribution is equal to 375.000 € or more

for all partners except University Zürich and VAMP – at least one audit is requested

Costs for audit certificates are eligible under ‚Management Activities‘ – approximate costs 1.500 -2.000 € per audit

Format of the audit certificate has to follow Annex VII - Form D Possibility for each consortium member to submit ‚Certificate on

Methodology‘: acceptance by Commission means exemption of intermediate audits on financial statements

open only to beneficiaries who have participated in at least 8 contracts under FP6 with EC contribution equal to or above 375.000 €

Requirements for a Successful Project

Communication and co-operation are the key of success Commit yourself strongly to the project

Clear responsibilties, distribution of tasks, starting and finishing points

Define ways for risk recognition, conflict resolution and analysis to control quality

Keep the ‚Deadlines‘

Involve your administration in due time into the project decisions - transfer all relevant documents

I wish you a successful

project with excellent scientific output!

What the customer explained

What the project leader

understood How the analyser designed

What the programmer programmed

What was installed How the project was

documented How the customer was billed How it was completed

The real requirements of the customer What the consultant defined

Time for Questions ....

Questions...?

Scientific-Technical Department - Project Funding

Contact:

Dr. Juergen Ertel

Phone: +49-89-31873022

Fax: +49-89-31873866

Additional Information

FP7 - First Call: HMGU Success Rate (resource: February 2008)

50,00% 30,00%

Total Success Rate:

10.929 10/5

21 70

Total Number:

6 1/0

1 6

Other Programmes including ERA-NET

0 0/0

0 0

Human potential (Marie Curie individual driven)

1.200 1/1

1 4

Human potential (Marie Curie host driven action)

0 n.a.

0 8

Fontier research actions (ERC)

3.970 1/1 4 6 Research Infrastructures 1.030 3/1 3 6 Euratom 287 1/0 2 3

Food, agriculture and biotechnology

1.050 0/0

3 8

Environment (including climate change)

338 1/0

1 6

Nanosciences, nanotechnologies, materials, production

0 0/0

0 3

Information communication technologies

3.048 2/2 6 20 Health Amount of EU Funding [k€] Number of Coordinated

Contracts: applied/approved Approved

Contracts Proposals

EU-Programmes FP7 First Call

Financial Issues

Indirect Costs: overheads

Real indirect costs – actual overhead

(full cost partners with analytical accounting system)

60 % transitional flat rate of direct costs (without subcontract)

(for non-profit public bodies, secondary and higher education establishments, research organisations, SME unable to define with certainty their real overhead costs (transition period up to end of 2009))

Option for flat rate of 20 % (without subcontracting)

(possible for each partner: keep in mind that EC contribution for the total costs in RTD activities is 50 % or 75 % depending on your status)

Simplified method - a special case to calculate/estimate real indirect costs

(only for additional cost partners like universities with lack of analytical accounting system - organisation has to develop a certified method for estimating its percentage of indirect costs)

Audit Certificates on Financial Statements

Audit certificates have to be provided by each partner either by:

- an external auditor or

- a public competent officer (CO) ⇒ possible only for public bodies,

secondary and higher education establishments, research organisations (the relevant national authorities must establish/confirm the legal

capacity of a chosen public competent officer to carry out audits – this person is not allowed to be involved in establishing financial statements - external auditors must be independent from the contractor

- The Core Grant Agreement

Annex I: Description of Work (Technical Annex)

Workplan; management; dissemination of knowledge; WPs, deliverables; milestones; efforts (PM); budget allocation to partners

- Annex II: General Conditions

This part is common to all projects

- Annex III: Specific Regulations to Funding Scheme

- Annex IV: Form A

Partners accession to the contract

- Annex V: Form B

Request for accession of a new contractor to the contract

- Annex VI: Form C

Model of financial statement per activity; to be filled in periodically by each partner and the coordinator

- Annex VII: Form D and Form E (new!)

D: Terms of reference for the certificate of financial statements – (audit certificate)

E: Terms of reference for the certificate of methodology