Initial Training Network Marie Curie ITN Action KNEEMO Prevention and personalized treatments in knee osteoarthritis Sandrine Jacobs Project Officer Research Executive Agency – European Commission Amsterdam, 30th April 2014

Content of the presentation 1. Grant Agreement and contractual rules - Legal framework - Obligations of the beneficiary 2. Project implementation - Fellows' selection and appointment - Research & Training - Annex I 3. Project financial aspects - Categories of costs - Payments 4. Reporting - Reports (progress, periodic, final) - Financial statements - Declaration of Conformity - Questionnaires 5. Best practices / Q&A

Content of the presentation 1. Grant Agreement and contractual rules - Legal framework - Obligations of the beneficiary 2. Project implementation - Fellows' selection and appointment - Research & Training - Annex I 3. Project financial aspects - Categories of costs - Payments 4. Reporting - Reports (progress, periodic, final) - Financial statements - Declaration of Conformity - Questionnaires 5. Best practices / Q&A

Structure of the Grant Agreement Core Grant Agreement + Annexes:  I. Technical Annex - Description of work  II. General conditions  III. Specific provisions for ITN  IV. Form A: accession to the grant agreement  V. Form B: request for accession of a new beneficiary  VI. Form C: Financial statement  VII. Form D: ToR for the CFS; Form E: ToR for the certificate on methodology

 List of beneficiaries  Duration  Reporting periods  Maximum financial contribution of the EU  Pre-financing and Guarantee Fund  Bank Account  Special clauses e.g. mid-term review meeting  Communication addresses  Signature Copy to be given to all beneficiaries and recruited/seconded fellows Core Grant Agreement

Annex I: Description of work - Unique for each project - Description of joint research programme, recruitment planning, training, milestones and deliverables - Set-out the activities for 4 years - Before deciding on any modification, please contact your PO All reports (Progress, Periodic, Mid-Term, Final) will be assessed with respect to Annex I Copy to be given to all beneficiaries and recruited/seconded fellows

Annex II: General Conditions Part B: Financial provisions  Eligible costs, interests, receipts  Guarantee fund  Audits, financial penalties Part C: Intellectual Property Rights, use and dissemination  Foreground  Access Rights Final Provisions  Amendments  Termination Common to all Marie Curie Actions Definitions Part A: Implementation of the project  Role of coordinator  Organisation of the consortium  Performance obligation of each beneficiary  Reporting  Subcontracting  Suspension  Reports, Deliverables  Confidentiality, Publicity Copy to be given to all beneficiaries and recruited/seconded fellows

Annex III: Specific Provisions for ITN Definitions Part A: Implementation of the project  Performance obligations  Selection of researchers  Beneficiary’s relationship with the researcher  Reports and deliverables  Confidentiality, Publicity Part B: Financial Provisions  Eligible costs Part C: Intellectual Property Rights  Access Rights  Incompatible or restrictive commitments Specific for ITNs – be sure you use the right annex (2013)! Copy to be given to all beneficiaries and recruited/seconded fellows

Amendments to the Grant Agreement … to be avoided as much as possible ! Formal amendment:  Change of Bank details  Change of contact details Notification:  Change of authorised representatives Should always be discussed with the PO in advance « Guide for amendment in FP7 » available on Marie Curie website A heavy legal procedure…

 Article II.2 of Annex II  Intermediary for any communication between REA and the beneficiaries  Administration and distribution of financial contribution of the EU  Keep records and financial accounts  Inform the REA of the distribution of the financial contribution  Review reports to verify consistency before transmitting them to the REA  Monitor compliance by beneficiaries with the GA CORE COORDINATION TASKS CANNOT BE SUBCONTRACTED! Role of the coordinator

Article II.2.4 of Annex II and article III.2.1 of Annex III  Provide all detailed data requested by the REA or the European Commission for the purposes of the proper administration of the project  Take all measures to ensure that the project is carried out in accordance with the terms and conditions of the GA  Ensure efficient implementation of the project  make appropriate internal arrangements – Consortium Agreement  Recruit at least 40% women researchers  Organise a mid-term review meeting with the REA  Take decisions on re-distribution of allocation of researcher-months and inform the REA beforehand Obligations of the consortium…

Article II.3 of Annex II and article III.2.2 of Annex III  Carry out the work as identified in Annex I  Provide the REA, the EU including OLAF and the Court of Auditors with all info requested in the framework of controls and audits  Select each researcher according to the eligibility criteria, conclude an agreement  Execute, by due dates, all payments to the researcher (Marie Curie rates!)  Provide infrastructure and reasonable assistance to the researchers in all administrative procedures  Make sure the researcher enjoy the same standards of safety and occupational health as those applicable to local researchers holding a similar position;  Ensure that the researcher is covered under social security legislation Obligations of each beneficiary…

Content of the presentation 1. Grant Agreement and contractual rules - Legal framework - Obligations of the beneficiary 2. Project implementation - Fellows' selection and appointment - Research & Training - Annex I 3. Project financial aspects - Categories of costs - Payments 4. Reporting - Reports (progress, periodic, final) - Financial statements - Declaration of Conformity - Questionnaires 5. Best practices / Q&A

Early Stage Researchers (ESR) No PhD Research experience ≤ 4* years Duration of appointment: 3-36 months (typical appointment: 36 months) Experienced Researchers (ER) still in their early career (only MULTI) PhD or Research experience ≥ 4* years AND Research experience ≤ 5* years Duration of appointment: 3-24 months Eligible researchers * counted from the diploma that gives the rights to embark in a doctoral degree

Early Stage Researchers Experienced Researchers No longer eligible Diploma granting access to doctorate studies Year 1 Year 3 Year 2 Year 5Year 4 If PhD “ Initial Training Networks are limited to researchers in the first 5 years of their career ” … experience is calculated at date of recruitment !!

Eligible staff -Any nationality -Level of experience: -ESR <4y: Early Stage Researcher, -ER >4 to 10y: Experienced Researcher, Mobility rule The researcher must not have resided or carried out his/her main activity (work, studies, etc) in the country of his/her host organisation for more than 12 months in the 3 years immediately prior to his/her recruitment. Short stays, such as holidays, are not taken into account. Selection "Transparent, Impartial, Equitable Selection Criteria” (see also Annex III.3.4) Publication of vacancies Recruitment criteria Equal opportunities Recruitment policy and process

“The host organisation shall appoint each eligible researcher under an employment contract” Type A “Employment Contract” Full-time contract Gross amounts including all compulsory deductions under national legislation

Declaration on the Conformity Contract/agreement with researcher MUST be in line with rules (social security, duration, payments, etc.) – See Annex III This is certified by a Declaration on the Conformity - DoC One DoC per recruited researcher and institution DoC to be submitted within 20 days of appointment DoC must be duly signed by both researcher & host institution: - Hard copies should be kept by the host institution - Electronic submission via the Participant Portal (PP)

Content of the presentation 1. Grant Agreement and contractual rules - Legal framework - Obligations of the beneficiary 2. Project implementation - Fellows' selection and appointment - Research & Training - Annex I 3. Project financial aspects - Categories of costs - Payments 4. Reporting - Reports (progress, periodic, final) - Financial statements - Declaration of Conformity - Questionnaires 5. Best practices / Q&A

1 - Living 2 - Mobility 3 - Contrib. to training & network 4 - Management 5 - Overheads = FELLOW = INSTITUTION 63% of budget 18% of budget 19% of budget

Costs categories Fellows Cost Category 1  Living allowance (salary) Cost Category 2  Mobility allowance Research, training and networking Cost Category 3  Contribution to networking costs, training, consumables, events, etc. Management Cost Category 4  Costs associated with the ITN project management requirements Overheads Cost Category 5  Indirect costs

Living Allowance Cost Category 1 What does it include? Monthly salary for the fellow before any deductions: both employers and employees contributions to social security, pension, taxation, voluntary deductions Ex: Euro/year x 1,041 (NL country coefficient) = Euro/year What records do we need to keep for EU audit purposes? - Evidence of the eligibility of the fellow - Employment contract/agreement with the fellow - Proof of payment of the salary to the fellow - Evidence that the fellow worked on the project: this can include lab books, conference abstracts, library records, etc.

How Much?  Depends on 2 factors –level of experience: ESR (less than 4Y) or ER (exp. 4-10y) –Country Correction Coefficient What are the base rates (extracted from WP 2013)? Researcher Type Type A (€/year) Type B (€/year) ESR - Early-Stage Researcher ER - Experienced Researcher 4-10 years Living Allowance Cost Category 1

How Much? Depends on the Family status of the fellow: Family = persons linked to the researcher by (i) marriage, or (ii) a relationship with equivalent status to a marriage recognised by the national legislation of the country of the host organisation or of the nationality of the researcher; or (iii) dependent children who are actually being maintained by the researcher. Family  base rate = Euro/month x correction coefficient No family  base rate = 700 Euro/month x correction coefficient Mobility Allowance Cost Category 2

How much? Fixed amount of €1 800 per fellow-month implemented What is it used for? It is used for the costs of performing the project: - Publication of vacant positions, training courses etc. - Research costs, organisation of conferences, conference attendance etc. -Co-ordination between participants including network meetings -Secondments Contribution to the research/training/ transfer of knowledge programme expenses Cost Category 3

What documents to keep for an audit?  For the purposes of the Grant Agreement, you do not need to keep detailed records of what the money was used for  However, comply with the accounting rules of your institution as they normally require more records  In the case of an audit by the EU, the consortium provide the evidence required for categories 1-2 Cost Category 3

How much? Up to 10% of the EU total contribution What is it used for? Costs associated with the preparation of the reports/documents required by REA: - Declarations of conformity, progress reports, mid-term report, periodic reports and final report - Certificate on financial statements (CFS) Partnership agreement Salary of a person recruited to manage the project - This can include the coordinators salary for the time spent on the management of the project only, i.e. time taken to write the reports, organise recruitment etc. - The person must keep timesheets It does not cover costs of research and technological development activities Cost Category 4 Management activities

What records do we need to keep for EU audit purposes? This is a real cost category therefore you need to keep full evidence: - All receipts of expenditure - Full timesheets for personnel costs The receipts & timesheets do not need to be provided to the REA with the reports, however the periodic report must give an explanation/breakdown of costs charged in this category Management activities Cost Category 4

How much? Amount of up to 10% of the total direct costs of the period Excluding costs of subcontractors What records do we need to keep for EU audit purposes? None  the beneficiary does not have to report on the use of the overheads, only on the amount claimed Overheads Cost Category 5

Project duration: 4 years Contract Signature Project starts Contract Signature Project starts Pre-financing Project life cycle Reporting and finances - Summary 1 st periodic Report (after the 2 first years) 1 st periodic Report (after the 2 first years) Intermediate payment Final payment 2 nd periodic Report & Final Report 2 nd periodic Report & Final Report 65% of total EU contribution 60% the consortium + 5% for the Guarantee Fund Max. 25%Max. 10% Plus the 5% of GF

Content of the presentation 1. Grant Agreement and contractual rules - Legal framework - Obligations of the beneficiary 2. Project implementation - Fellows' selection and appointment - Research & Training - Annex I 3. Project financial aspects - Categories of costs - Payments 4. Reporting - Reports (progress, periodic, final) - Financial statements - Declaration of Conformity - Questionnaires 5. Best practices / Q&A

Reporting summary ReportWithin 30 days after 12 months At least 30 days before MTR Within 60 days after 24 months Within 30 days after 36 months Within 60 days after 48 months ProgressYes Periodic report - Periodic reportYes -Financial Statement (Form C) Yes Certificates (CFS)Yes Final reportYes Reporting Start Year 1 Progress Year 2 Mid-Term Year 4 Year 3 Progress Periodic 1 and € Periodic 2, Final and €

For all reports Electronic submission via PP The minimum…not enough  Persons-months “deliverables” update  Progress of the work – research projects and training  Limit to rigid PP report format The usual…  Synthesis of achievements & future work (deviations)  Use attachments – real technical report The ideal…  Analysis and go-beyond Reporting - Your PO reader likes concise, illustrated and substantiated information - Communicate to your PO the serious issues immediately, don't wait for the next report…

Researchers Questionnaires Mid-term questionnaire When? At Mid-term review stage (around months 20-22) Evaluation questionnaire When? At the end of appointment/employment period Follow-up questionnaire When? 2 years after the end of appointment/employment period How? Reporting Three types of questionnaire to be submitted by MCA-fellows to assess integration into the research & training, career progress, etc.:

SESAM

PP helpdesk Participant Portal

Content of the presentation 1. Grant Agreement and contractual rules - Legal framework - Obligations of the beneficiary 2. Project implementation - Fellows' selection and appointment - Research & Training - Annex I 3. Project financial aspects - Categories of costs - Payments 4. Reporting - Reports (progress, periodic, final) - Financial statements - Declaration of Conformity - Questionnaires 5. Best practices / Q&A

It’s a contractual obligation Article 7 (Special Clause 5bis) A dialogue between the consortium and the REA on the project status and implementation, future plans, etc… To be organised between month 20-22, preferably  To help solving any problematic issues  To prepare for the Periodic Report Date to be agreed with PO well in advance!  An external expert may be present  Guide for MTR with draft template agenda on MCA website Mid-term Review

Thank you very much for your attention! Useful links: EURAXESS CORDIS RTD REA