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 Annexe
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 HMGU internal reference number: FE-78813
MADEIRA: Management Structure (WP1) Commission Advisory Committee Co-ordinator Executive Committee (Work Package Leaders + VAMP) Management Support Team: HMGU Project Office + Partner Contributions Work Package Leaders WP2 WP3 WP4 WP5 WP6 WP7 WP8 WP9 The Consortium Agreement (CA) will reflect this Management Structure. The CA is based on the DESCA Model: www.desca-fp7.eu
HMGU Project Management Team Project Office Coordinator, HMGU: Vasilis Ntziachristos 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 Further Support by: Intellectual Property Officer + Personnel Dept.
Financial Issues Funding per Activity upper limits RTD Management Demonstration Other**! Networks of Excellence 50% 75%* 100% 100% Collaborative Projects 50% 75%* 50 % 100% 100% Research for SMEs 50% 75%* 35 % 50%* 100% 100% Coordination Support Actions 100% 100% *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 major cost items/partner have to be related to WPs in periodic reporting 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.) Annex Indirect costs (overheads): according to method in organisation
Reporting and Payment Schedule: Time Table of Financing and Reporting for a 4 Year Collaborative Project Start Phase One Pre-financing (Article 6 + 7 of GA) Annex I: Budget Distribution Between Partners According to Work Activities 1. Reporting Period Periodic Report Finance Report 1. Intermediate Payment 2. Reporting Period Periodic Report Finance Report 2. Intermediate Payment 3. Reporting Period 4. Reporting Period Periodic Report Finance Report 3. Intermediate Payment Periodic Report Finance Report Final Phase Project Final Report Coordinator: Report on Distribution of Community Financial Contribution to Partners Check + Approval Check + Approval Check + Approval Check + Approval 0 6 12 18 24 30 36 42 48 54 Time Limits 45 Days COM pays Advance 60 Days105 Days Delivery of Reports 60 Days 105 Days 60 Tage105 Days Delivery of Reports Delivery of Reports 60 Tage105 Days 30 Days Delivery of Final Reports Time [Months] COM:1. Intermediate Payment COM: 2. Intermediate Payment COM:3. Intermediate Payment COM Disburse Final Payment
Reporting and Payment Schedule: Time Plan for EU Funding for a 4 Year Collaborative Project with 4 Reporting Periods 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 1. Reporting Period 2. Reporting Period 3. Reporting Period 4. Reporting Period 1,6 1,8 Mio. (minus 0,226 Mio. Guaranty Fund = 1,574 Mio. ) One and only Pre-financing 1,0 Mio. due to accounting (minus interest coordinator) 1. Interim Payment 1,1 Mio. due to accounting 2. Interim Payment Maximum 0,15 0,4 Mio. (90%-regulation!) 3. Interim Payment 0,45 Mio. Final Payment 0 6 12 18 24 30 36 42 48 54 Time [Months]
Transfer of Pre-financing Proposal for Kick-off Meeting 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 Regulations for transferring the pre-financing: 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)
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 the consultant defined How the project was documented What was installed How the customer was billed How it was completed The real requirements of the customer
Time for Questions... Questions...? Answers...
Scientific-Technical Department - Project Funding Contact: Dr. Juergen Ertel Phone: +49-89-31873022 Fax: +49-89-31873866 Mail: ertel@helmhotz-muenchen.de
Additional Information Annexe
FP7 - First Call: HMGU Success Rate (resource: February 2008) EU-Programmes FP7 First Call Proposals Approved Contracts Number of Coordinated Contracts: applied/approved Amount of EU Funding [k ] Health 20 6 2/2 3.048 Information communication technologies 3 0 0/0 0 Nanosciences, nanotechnologies, materials, production 6 1 1/0 338 Environment (including climate change) 8 3 0/0 1.050 Food, agriculture and biotechnology 3 2 1/0 287 Euratom 6 3 3/1 1.030 Research Infrastructures 6 4 1/1 3.970 Fontier research actions (ERC) 8 0 n.a. 0 Human potential (Marie Curie host driven action) 4 1 1/1 1.200 Human potential (Marie Curie individual driven) 0 0 0/0 0 Other Programmes including ERA-NET 6 1 1/0 6 Total Number: 70 21 10/5 10.929 Total Success Rate: 30,00% 50,00%
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
Grant Agreement - 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