Anna Maria Johansson, DG RTD-B Research Infrastructures Unit

1. FP7 and Research Infrastructures Anna Maria Johansson, DG RTD-B Research Infrastructures Unit

2. 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

3. 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)

4. FP7 Research Infrastructures actions Existing Infrastructures NewInfrastructures Design studies Integrating activities Indicative budget 630 M€ Indicative budget 1000 M€ Construction (preparatory phase; construction phase) e-infrastructures Policy Development and Programme Implementation Indicative budget 80 M€

5. Support to existing research infrastructures • Integrating Activitiesto 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-infrastructuresto develop a new research environment building on ICT capabilities •  High performance communication (GÉANT) •  Grid infrastructures •  Scientific data infrastructures

6. 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

7. (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… • Towardsgood practice: exchange of personnel and visits, standards and quality… • Towardsthe users: training, feedback, coordination… • Towards virtual research communities: Web-sites, common softwares, databases, data management… • Setting up oftechnical workshops, forums, working groups and studies…

8. (2) Trans-national Access and/or Service activities • Providetrans-national accessto 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 availablethrough communication networks, e.g. databases available on the web

9. (2) Trans-national Access and/or Service activities • Provisions fortrans-national accessactivities are defined in Annex III to the Grant Agreement • Access costs = unit cost xquantity 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 contributionwill be adjusted in the final financial statement (Form C) based onreal UC • Provisions foraccess to servicesfreely available through communication networks • Defined in a special clause to the Grant Agreement • EC financial contribution foraccess costswill not exceed 20% of operating costs incurred

10. (3) Joint Research Activities • Explore new fundamental technologies or techniques underpinning the efficient and joint use of the participating research infrastructures To improve the servicesprovided by the infrastructures (in quality and/or quantity) • Forms of activities: • Instrumentation / prototypedevelopment • Development ofmethods, protocols, standards… • Development ofsoftware, middleware, algorithm;Database creation, upgrade, curation… • Development andcurationof samples

11. 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 Budget:~90 M€ Budget:~ 100M€ Budget: ~ 165 M€ 23 topics Expected number of funded projects: ~ 12 36 topics Expected number of funded projects: ~ 18-20 21 topics Expected number of funded projects: ~ 10

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

13. 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

14. 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

15. 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

16. 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!

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

18. 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

19. 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

20. 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

21. 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

22. 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

23. Content of periodic report (1) • Periodic report template • FRONT PAGE • SELF DECLARATION • TABLE OF CONTENTS • Publishable summary • Project objectives for the period • Work progress and achievements during the period • Deliverables and milestones tables • Project management • Explanation of the use of the resources • Financial statements – Forms C and Summary financial report

24. Content of periodic report (2) - 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 • …

25. Content of periodic report (3) 1. Publishable summary • 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, …

26. Content of periodic report (4) 6.Explanation of the use of the resources Explanation of costs incurred by each beneficiary linking them to the WPs

27. Content of periodic report (5) - CONTENTS - • 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) • 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

28. 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

29. 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

30. Personnelcosts • 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

31. 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

32. 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