1. 1 16/02/2014 The Negotiation Process: Negotiation timeline Participant Portal NEF – Negotiation facility Anita Kucharska Administration and Finance Unit Health Directorate, DG Research (Not legally binding) FP7 Grant Agreement Negotiations A Directorate F initiative for coordinators from FP7-HEALTH-2010-single-stage call and NCPs Brussels, 16th April 2010

2. 2 16/02/2014 Negotiations Positive evaluation of proposal + Commission's definition of maximum Community financial contribution => Coordinator invited by letter to commence negotiations with the Commission for a grant agreement. Official invitation - negotiation letter: - details on the results of the evaluation - aspects to be reviewed during negotiation - Negotiation Mandate - Evaluation Summary Report (ESR). - Where applicable, Ethical Review Report - Deadlines - etc. (Not legally binding)

3. 3 ROLE OF COORDINATOR The coordinator leads and represents the applicants in the negotiations with the Commission. Only one of the applicants can be coordinator. That legal entity will identify one of its staff as its representative to carry out the actions required of the coordinator. The representative of the coordinator is responsible for all contacts between the consortium and the Commission. If meetings are planned, he/she attends all meetings

4. 4 16/02/2014 To finalise the details of the work to be carried out under the grant agreement within the associated budget To establish the legal and financial information needed to conclude the grant agreement. Two main aspects: (i)Technical (scientific) negotiations => EC Scientific Officer (ii) Financial and legal negotiations => F.6 Administration & Finance Unit Purpose of Negotiations (Not legally binding)

5. 5 16/02/2014 30/04/2010 Deadline for the draft version of the final description of work (Annex I) and the submission of GPFs based on the ESR recommendations 31/05/2010 Deadline for comments from the Commission on the draft version of the final description of work (Annex I) and of the electronic GPFs 15/07/2010 Deadline for the submission of the final version of the description of work (Annex I) and final signed GPFs. GPFs are to be signed only after confirmation by the Commission's administrative officer 23/07/2010 The Commission launches its internal procedures for the formal adoption of the proposed financing and finalisation of each Grant Agreement. Grant Agreements will be issued as of September 2010. Planning of Negotiations (Not legally binding)

6. 6 2/16/2014 Participant Portal Access to the Participant Portal Legal Entity Appointed Representative (LEAR) and the Participant Portal

7. 7 2/16/2014 Participant Portal (PP) Purpose Today Offer external stakeholders (participants, LEARs, coordinators,…) a unique entry point, based on a single sign-on (ECAS), for registration, negotiation, amendments, financial and scientific reporting… Bring homogeneity and better service integration for grant management Access to calls information, consortium building, etc. Later on … Unified look & feel Centralized document access (delivery and consortium documents) Homogeneity and visibility on Business Processes (transparency) Management of proposals

8. 8 2/16/2014

9. 9 Access Access to the Portal and its services requires an ECAS account New users are invited to register on the European Commission Authentication Service (ECAS) Email address is the unique identifier for persons Roles and delegation of access EPSS and NEF provision the Portal with the coordinator contact point Only the contact point of the coordinator can delegate access and assign roles in the Portal Coordinator contact can change participant´s contact from the Portal Participant contact can nominate new administrative, financial and legal contact, access negotation and amendments Participant Portal Identity and Access

10. 10 2/16/2014 Participant Portal Important Links Participant Portal (FAQ box) http://ec.europa.eu/research/participants/portal Login to access the Participant Portal secured services http://ec.europa.eu/research/participants/portal/ap pmanager/participants/portal/login/ Creation of an ECAS account https://webgate.ec.europa.eu/aida/selfreg Technical helpdesk http://ec.europa.eu/research/participants/portal/ap pmanager/participants/portal?_nfpb=true&_pag eLabel=contactus#wlp_contactus

11. 11 2/16/2014 Participant Portal Access to Negotiations 1. Access the Participant Portal: http://ec.europa.e u/research/particip ants/portal/ 2. Login to your ECAS account 3. Go to 'My Projects' tab. Choose the relevant project then click on Access Negotiation. Same procedure stands for accessing amendments

12. 12 2/16/2014 Participant Portal Access to Reporting The Participant Portal will also be used for: Technical reporting and deliverables Financial reporting

13. 13 2/16/2014 Participant Portal Access Online documentation on NEF and the Participant Portal http://212.68.215.215/display/iKnowextern/NEF+Documentation

14. 14 2/16/2014 Participant Portal LEAR change requests LEAR's rights and obligations Enter legal and financial data of the legal entity on the Participant Portal URF – Unique Registration Facility CVT – Central Validation Team Upload supporting documents Modify such data Inform internal staff of the beneficiary about the legal entity's data Official contact person for introducing changes, clarifying any issues with the Validation services Each valid legal entity should appoint a LEAR

15. 15 2/16/2014 Type of data handled by LEARs via the Participant Portal: Organisation data; Legal address; FP7 financial data, i.e. indirect cost method; Legal status of the organisation; Financial statements and data (e.g. balance sheet and profit and loss account) used for financial capacity check Uploading legal and other supporting documents Mergers/acquisitions Participant Portal LEAR change requests

16. 16 2/16/2014 LEARs can introduce change requests online via the Participant Portal, which then have to be validated by the Validation Service Once the entity has been validated and received a final PIC, the LEAR will be able to update certain data fields without interference from the Validation Service (e-mail, telephone number, etc.) In case of significant modifications, the LEAR has to introduce the request via the Portal and submit the required supporting documents The legal data stored in URF-PDM cannot be changed in NEF Automatic synchronisation between URF-PDM and NEF every 24h – validated changes will appear in NEF on the next day Participant Portal LEAR change requests

17. 17 2/16/2014 If a beneficiary has signed grant agreements, modifications related to the legal entity should follow the amendment guidelines if there is a LEAR, the request has to be sent via the Participant Portal and the supporting documents have to be uploaded if there is no LEAR yet, the entity has to appoint one, who will proceed according to the guidelines The Validation Service handles the request and, after verification, the updated data will be available on the Participant Portal No letter will be sent to the LEAR about accepting the change request. The RTD operational units will be informed about the changes and will issue an information letter to the coordinator only. Participant Portal LEAR change requests

18. 18 2/16/2014 How to initiate change requests: ECAS registration in the Participant Portal Go to 'My Organisations' tab Under 'Status' the legal and financial data of the participant is editable for LEARs Modify data and upload supporting documents if applicable Submit request Regarding changes in Indirect Cost Method, requests are to be initiated by an e-mail from the LEAR to the Validation Service giving reasons for the change request to REA-URF-validation@ec.europa.eu Participant Portal LEAR change requests

19. 19 2/16/2014 Online assistance to LEARs FAQ section of the Participant Portal (Paragraph 5) http://ec.europa.eu/research/participants/portal/appmanager/par ticipants/portal?_nfpb=true&_pageLabel=faq#d5 Participant Portal LEAR change requests Demonstration for LEARs in the Participant Portal http://ec.europa.eu/research/ participants/portal

20. 20 2/16/2014 NEF tool How does NEF work Description of Work in NEF

21. 21 EC Officer creates a first Negotiation session EC User NEF MAIL SENT TO COORDINATOR (Not legally binding)

22. 22 Coordinator accesses NEF, completes the GPF file and submits it (data becomes read-only) to EC officer Coordinator NEF (Not legally binding)

23. 23 16/02/2014 NEF V2 Participants access The participant cannot submit the data to the E.C. and doesnt even have the button Submit to do so. Only the coordinator can submit information to the E.C. NO BUTTO N (Not legally binding)

24. 24 16/02/2014 Coordinators screen – view project main page NEF: FRONT OFFICE (Coordinator) View the GPF form with its actual status in a read only.pdf file (Not legally binding)

25. 25 16/02/2014 Project: General information NEF: FRONT OFFICE (Coordinator) (Not legally binding)

26. 26 16/02/2014 Coordinator checks the data: Organisation status NEF: FRONT OFFICE (Coordinator) Organisation's status is in READ ONLY Organisation's status is in READ ONLY (Not legally binding)

27. 27 16/02/2014 Coordinator fills in or checks the data: e.g. Bank account NEF: FRONT OFFICE (Coordinator) (Not legally binding)

28. 28 2/16/2014 Interest Bearing Bank Account ATTENTION: According to EC Financial Regulations and FP7 rules, it is a requirement of the Grant that the Coordinators bank account is INTERESTS BEARING. If Coordinating entity does not/may not have an interest bearing bank account, explicit exemption must be requested for the entity. Exemption model letters available. Exemption letter to be sent by the Coordinator directly to CVT.

29. 29 16/02/2014 Participants screen : Legal data validated by CVT in PDM NEF: FRONT OFFICE (Coordinator) If the PIC is validated in PDM it appears on top of the legal data in NEF Front Office If the PIC is validated in PDM it appears on top of the legal data in NEF Front Office All the organisations Legal Data shown in NEF is in Read Only. The only changeable Field is the « short name ». All the organisations Legal Data shown in NEF is in Read Only. The only changeable Field is the « short name ». (Not legally binding)

30. 30 16/02/2014 Participants screen : Legal data not validated NEF: FRONT OFFICE (Coordinator) If The Status is "NOT VALIDATED" The Participant Identity Code Field appears empty in NEF Front Office NB: fields are also in Read Only If The Status is "NOT VALIDATED" The Participant Identity Code Field appears empty in NEF Front Office NB: fields are also in Read Only (Not legally binding)

31. 31 16/02/2014 Project : Reporting Periods NEF: FRONT OFFICE (Coordinator) (Not legally binding)

32. 32 16/02/2014 Participants : Add a New Participant (1) NEF: FRONT OFFICE (Coordinator) (Not legally binding)

33. 33 If changes in consortium (eg, removal or addition of beneficiaries) or budget modifications/shifts as compared to the evaluated proposal letter from coordinator with justification to be approved by the Scientific Officer

34. 34 16/02/2014 Participants : Add a New Participant (2) NEF: FRONT OFFICE (Coordinator) Notice: You must know an organisations PIC to add it to the negotiation's participants. The PIC status can be « not validated » or « validated » Organisations without a PIC have to register in URF Notice: You must know an organisations PIC to add it to the negotiation's participants. The PIC status can be « not validated » or « validated » Organisations without a PIC have to register in URF Only organisations with a PIC number can be added Only organisations with a PIC number can be added (Not legally binding)

35. 35 16/02/2014 Coordinator submits the data to EC Officer (data read-only for the Coordinator) NEF: FRONT OFFICE (Coordinator) (Not legally binding)

36. 36 16/02/2014 A mail is sent automatically to the EC Officer E-MAIL Note: When the EC officer creates a new session a mail is sent to the coordinator automatically and the officers set in the parameters receive a copy of this coordinators email. Note: When the EC officer creates a new session a mail is sent to the coordinator automatically and the officers set in the parameters receive a copy of this coordinators email. (Not legally binding)

37. 37 EC Officer: *verifies the data sent by Coordinator *gives comments, *marks session as verified * reopens negotiation session if needed proposal updated EC User NEF (Not legally binding)

38. 38 16/02/2014 Glossary URF : Unique Registration Facility (The single point to self-register an organisation and to request for modifications about its data) PIC : Participant Identity Code (The unique ID of an organisation) LEAR : Legal Entity Appointed Representative (The representative of the legal entity in URF) – This person is chosen by the organisation itself & is Highly recommended to ease the communication with the E.C. & avoid double registrations. CVT : Central Validation Team : Validates the participants legal data & status provided through URF PDM : Participant Data Management – Internal module NEF: Negotiation Facility GPF: Grant Agreement Preparation Form EPSS: Evaluation Proposal Submission System ESS: Evaluation Service System ICM : Indirect Cost Method URF : Unique Registration Facility (The single point to self-register an organisation and to request for modifications about its data) PIC : Participant Identity Code (The unique ID of an organisation) LEAR : Legal Entity Appointed Representative (The representative of the legal entity in URF) – This person is chosen by the organisation itself & is Highly recommended to ease the communication with the E.C. & avoid double registrations. CVT : Central Validation Team : Validates the participants legal data & status provided through URF PDM : Participant Data Management – Internal module NEF: Negotiation Facility GPF: Grant Agreement Preparation Form EPSS: Evaluation Proposal Submission System ESS: Evaluation Service System ICM : Indirect Cost Method (Not legally binding)

39. 39 2/16/2014 Description of Work in NEF STRUCTURE OF THE DESCRIPTION OF WORK* The Description of Work, which is Annex I to the Grant Agreement, contains the details of the implementation of the project with regard to the work packages, deliverables, milestones, resources and costs of the beneficiaries – organised in a table format - as well as a detailed narrative description of the work. It consists of two parts: Part A of Annex I contains: - the cover page, - the project summary, - the list of participants and the budget breakdown - 8 Workplan Tables, which provide details on the implementation of the project. Part B of Annex I is based on information from Part B of the proposal. However, during the negotiation stage several sections of the original proposal need to be updated and the Consortium may be requested to shorten certain sections of the proposal and elaborate on others. Part B of Annex I is the narrative part of Annex I. All pages must be numbered and each page should be headed with the project acronym and proposal number. Table of contents to be added manually. *Description of Work (DoW) = Technical Annex (TA) = Annex I (Not legally binding)

40. 40 2/16/2014 Description of Work in NEF ONLINE SUPPORT FOR THE PREPARATION OF THE DoW The DoW of the projects must be prepared with the help of the online tool NEF (NEgotiation Facility). The cover page and Part A are generated by NEF based on the information given already in the GPFs. With the help of NEF, the necessary work tables can be edited, taking into account the links between the different tables and pre-filling some of the information after you have filled in the information under the titles 'work packages' and 'project review'. The Part B of the Description of Work is uploaded into NEF by the coordinator as a pdf document (max. 20MB, during negotiations phase.doc format ok with track changes), NEF will create the Description of Work out of two files: - one file generated by NEF containing PART A - a second file "PART B - narrative part" uploaded in NEF. NEF will create out of the two files the Description of Work (Annex I). (Not legally binding)

41. 41 2/16/2014 Description of Work in NEF Workplan tables – detailed implementation in NEF WT1 List of work packages WT2 List of deliverables WT3 Work package descriptions WT4 List of milestones WT5 Tentative schedule of project reviews WT6 Project effort by beneficiaries and work package WT7 Project effort by activity type per beneficiary WT8 Project efforts and costs (Not legally binding)

42. 42 2/16/2014 Description of Work in NEF (Not legally binding)

43. 43 2/16/2014 Description of Work in NEF Detailed information in document of: Structure of Annex I to the Grant Agreement (Description of Work) Available on CORDIS webpage: http://cordis.europa.eu/fp7/find-doc_en.html under Templates for Description of Work (Not legally binding)

44. 44 DOCUMENTATION On CORDIS webpage, http://cordis.europa.eu/fp7/find-doc_en.html other useful documents: - Standard Model Grant Agreement - Negotiation Guidance Notes - Guide to Financial Issues - Presentation of the NEF service (Negotiation Facility) - Guide to IPR