1. Project Management & Financial Carolina Salas - Gabriella Rossi CiaoTech Srl c.salas@ciaotech.com - g.rossi@ciaotech.com Napoli, 12th January 2010

2. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [1] ::.. AGENDA: Management and Reporting 1.EC Grant Agreement 2.Reporting obligations: Progress Report Periodic Report Final Report 3.Form C – Financial Statement 4.EC payments 5.Project Review 6.Declaration of Conformity 7.Questionnaires

3. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [2] ::.. AGENDA: Management and Reporting 1.EC Grant Agreement 2.Reporting obligations: Progress Report Periodic Report Final Report 3.Form C – Financial Statement 4.EC payments 5.Project Review 6.Declaration of Conformity 7.Questionnaires

4. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [3] ::.. EC Grant Agreement Legal documents are accessible on the Cordis website http://cordis.europa.eu/fp7/find-doc_en.html FP7 legal basis Implementation documents Work Programme Guidance documents

5. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [4] ::.. EC Grant Agreement Core Grant Agreement + Annexes I. Technical Annex - Description of work II. General conditions III. Specific provisions for IAPP IV. Form A: accession to the grant V. Form B: request for accession of a new beneficiary VI. Form C: Financial statement VII. Form D: for the Certificate of Financial Statement; Form E: for the certificate on methodology

6. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [5] ::.. AGENDA: Management and Reporting 1.EC Grant Agreement 2.Reporting obligations: Progress Report Periodic Report Final Report 3.Form C – Financial Statement 4.EC payments 5.Project Review 6.Declaration of Conformity 7.Questionnaires

7. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [6] ::.. Reporting obligations CRITICAL-STEP project has two periodic reports: - P1: period covered from month 1 (Dec. 09) to month 24 (Nov. 11) - P2: period covered from month 25 (Dec. 11) to month 48 (Nov. 13) The reports will be submitted to the EC thought SESAM, the online reporting tool of EC for Research and Technological projects. FP7 participants should complete their reports/questionnaires by logging in, choosing appropriate project and the type of the forms they want to work with ('Reports', 'Documents', 'Amendments' or 'Notifications' in the menu).

8. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [7] ::.. Reporting obligations The following reports should be submitted to the Commission during the implementation of the grant agreement: This report covers period from M1 to M12. No financial reports are required for this period This report covers period from M1 to M24. The Financial Statements as well as Summary Financial Report are required for this period. This report covers period from M1 to month of Mid-Term review. No financial reports are required for this period. This report covers period from M1 to M36. No financial reports are required for this period This report covers period from M25 to M48. The Financial Statements as well as Summary Financial Report are required for this period. This report covers period from M1 to the end of the project (30 days after receiving the final payment). Having received the final payment from the EC, the coordinator should submit a Report on the distribution of the Community financial contribution between beneficiaries

9. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [8] ::.. Reporting obligations: Progress Report The Progress Report contains short overview of the deliverables implemented during the reporting project. The report comprises the following sections: 1. Overall progress of the project – free text section. 2. Contract deliverables update – separate tables for: a. Recruitment and Secondment – 1 line per contractor. Tables will calculate automatically the difference between planned and implemented deliverables (researcher-months) b. International conferences / events – 1 line per event The report must be submitted via SESAM, printed out, signed by the coordinator and sent to the Commission to the address mentioned in the article 8.1 of the grant agreement. Reports to be submitted via SESAM. Template available in SESAM

10. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [9] ::.. Reporting obligations: Periodic Report The report should comprises: a.Cover page b.Declaration by the project coordinator c.Publishable summary (which will be automatically published on the Cordis) d.Overview of the work progress towards the objectives of the project, including achievements and attainment of any milestones, deliverables and dissemination activities identified in Annex I e.Project management with justification on incurred costs f.List of submitted certificates By the scientist-in-charge: (each beneficiary including the coordinator) A Financial Statement (Form C) from each beneficiary. Financial statements should be accompanied by certificates (Form D), when appropriate. By the coordinator: Summary Financial Report consolidating the claimed Community contribution of all the beneficiaries in an aggregated form, based on the information provided in Forms C by each beneficiary. This form will be generated automatically as soon as all the beneficiaries will submit Forms C. Reports to be submitted via SESAM. Templates available in SESAM

11. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [10] ::.. Reporting obligations: Final Report The final report comprises: a)Final publishable summary report covering results, conclusions and socio-economic impact of the project. (This summary will be automatically published on Cordis website) b)Report covering the wider societal implications of the project, including scientist-in-charge questionnaire. Please note that the Final report should be submitted together with the Periodic report covering the last reporting period. Reports to be submitted via SESAM. Template available in SESAM

12. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [11] ::.. AGENDA: Management and Reporting 1.EC Grant Agreement 2.Reporting obligations: Progress Report Periodic Report Final Report 3.Form C – Financial Statement 4.EC payments 5.Project Review 6.Declaration of Conformity 7.Questionnaires

13. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [12] ::.. Form C - Financial Statement General information about the Project and the Beneficiary

14. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [13] ::.. Form C - Financial Statement Exclusively for the benefit of the researcher: Living allowance (A), Mobility allowance (A), Travel allowance (B), Career exploratory allowance (C), Contribution to participation expenses (D) N/A for IAPP For the hosting organisation: 100% contribution to eligible costs of: Research, training, transfer of knowledge (E); Organisation of international conferences, workshops, events (F); Management, incl. audits (G) – maximum of 3% of EC contribution; Overheads (H) - 10% flat rate of direct costs; Other types of eligible expenses / specific conditions (I) Only for SMEs. Costs related to the researchers Cost related to the Beneficiary ONLY for SMEs beneficiaries

15. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [14] ::.. Form C - Financial Statement COLUMN “A”: Monthly living and mobility allowance Living allowance: This refers to the basic amount to be paid to the researcher in monthly instalments Mobility allowance: This is a monthly payment of a fixed amount to cover mobility related expenses of the researcher (e.g. relocation, family expenses etc.). €800/month with family / €500/month without family Need for justification: - Contract between researcher and hosting organisation Personnel costs should reflect the total remuneration: salaries plus social security charges (holiday pay, pension contribution, health insurance, etc.) and other statutory costs included in the remuneration.

16. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [15] ::.. Form C - Financial Statement Important notice: A.Living allowance The living allowance is a gross Community contribution to the salary costs of the fellow. Consequently, the net salary results from deducting all compulsory social security contributions as well as direct taxes (e.g. income tax) from the gross amounts. The host organisation may pay a top-up to the eligible researchers in order to complement this contribution as long as these funds come from the host’s own resources and not through third-party funding for the same project. Please read the official EC documents

17. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [16] ::.. Form C - Financial Statement COLUMN “B”: Travel allowance (yearly) Based on direct distance between place of origin of the researcher and the location of the host institution. Each IAPP researcher is entitled to at least one travel allowance. Researchers with a fellowship of between 13-24 months are entitled to two travel allowances. Need for justification: - Receipt of travel allowance payment and/or copy of bank transfer operation

18. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [17] ::.. Form C - Financial Statement COLUMN “C”: Career exploratory allowance (single payment) This allowance of one single payment of €2.000/fellow is paid only for newly recruited researchers. Need for justification: - Contract between research and hosting organisation

19. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [18] ::.. Form C - Financial Statement IMPORTANT NOTICE: The living (A), mobility (A), travel (B) and career development (C) allowances are gross Community contributions to the salary costs of the fellow. Consequently, the net salary results from deducting all compulsory social security contributions as well as direct taxes (e.g. income tax) from the gross amounts. Please note that social security contributions and taxation of the different allowances vary from country to country. The travel, mobility and career exploratory allowances have been conceived as separate flat rate amounts and where national taxation allows, it is the intention that these amounts should not be subject to personal taxation or employers deductions. The mobility (A) and travel (B) allowances are only paid in those cases where there is trans-national mobility of the researcher, consequently, a researcher who is carrying out the project in an international organisation located in his/her country of nationality, would not receive a mobility allowance. Please read the official EC documents

20. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [19] ::.. Form C - Financial Statement COLUMN “E”: Contribution to the research/training/transfer of knowledge programme expenses A fixed amount contribution (€ 800 researcher/month) being managed the host organisation to execute the project (publication of vacant positions, internal training actions), for the participation of elegible researchers in research and transfer of knowledge activities (research costs, participation in meetings and conference attendance, etc.) and for contribution to the expenses related to the co-ordination between participants (partnership meetings, secondment of staff, etc.) Need for justification: - Contract between research and hosting organisation (to check the period) - Invoices, receipts and any document supporting the expenses declared. Personnel costs of the host organization staff are not eligible under this category. For each purchase being a subject to depreciation according to national legislation, this rule must be applied and cost reported accordingly.

21. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [20] ::.. Form C - Financial Statement COLUMN “F”: Contribution to the organisation of international conferences, workshops and events A fixed amount (€ 300 per researcher/day per researchers from outside the partnership) to cover the costs related to the organisation of international conferences, workshops and events (invitation of keynote speakers, publications, rental of premises, web casting) (for external research and for the duration of the event) Need for justification: - Any document supporting the data and duration of the conference / workshop / event - List of external researchers participants to the event - Any other documentation related to the event (agenda, website, etc.)

22. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [21] ::.. Form C - Financial Statement COLUMN “G”: Management activities This refers to a maximum of 3 % of the total Community contribution that will be paid towards the management of the project. This will also cover the cos of audit certification. It will be based upon actual, real expenses. Need for justification: - Internal personnel of the beneficiary involved in project management. - Cost of the auditors (invoice without VAT). It will be based upon actual expenses (e.g. towards the salary of a person dedicated to the management, or a contract with an external independent auditor for audit certification).

23. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [22] ::.. Form C - Financial Statement COLUMN “H”: Contribution to overheads Refers to a flat rate payment of 10% of the direct costs (excluding costs for subcontracting) Need for justification: - No documents are necessary for the justification of the costs. It’s a flat rate to be calculated on the base of the direct costs declared (researchers + hosting)

24. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [23] ::.. Form C - Financial Statement COLUMN “I”: Other type of eligible expenses /Small equipment For SMEs beneficiaries only provided this has been agreed during the negotiation.

25. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [24] ::.. Form C - Financial Statement IMPORTANT NOTE: By derogation from Article 4.2, transfers of budget from the allowances allocated for the activities carried out by the researcher to the amounts allocated for the activities carried out by the beneficiary are not allowed. Please read the official EC documents

26. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [25] ::.. Form C - Financial Statement Eligible costs: a)they must be actual; b)they must be incurred by the beneficiary; c)they must be incurred during the duration of the project, with the exception of costs incurred in relation to final reports and reports corresponding to the last period as well as certificates on the financial statements when requested at the last period and final reviews if applicable; d)they must be determined in accordance with the usual accounting and management principles and practices of the beneficiary; e)they must be used for the sole purpose of achieving the objectives of the project and its expected results; f)they must be recorded in the accounts of the beneficiary; g)they must be indicated in the estimated overall budget in Annex I.

27. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [26] ::.. Form C - Financial Statement Non eligible costs Identifiable taxes, including VAT Duties Interest owed Provisions for possible future losses/charges Exchange losses, etc Costs reimbursed in respect of other EC project Debt and debt service charges Excessive or reckless expenditure

28. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [27] ::.. AGENDA: Management and Reporting 1.EC Grant Agreement 2.Reporting obligations: Progress Report Periodic Report Final Report 3.Form C – Financial Statement 4.EC payments 5.Project Review 6.Declaration of Conformity 7.Questionnaires

29. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [28] ::.. EC payments Prefinancing: 65% of EC Contribution Payment made automatically within 45 days once the contract is signed by both parties (Coordinator + REA) Remains the property of EC until final payment (also interest)

30. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [29] ::.. EC payments A pre-financing of EUR 814.168,00 is calculated for the project. It’s equal to the 65% of the EC total contribution (EUR 1.252.567,00). But… A Guarantee Fund representing 5% of the maximum Community financial contribution (EUR 62.628,35), is transferred in the name of the beneficiaries by the REA from the pre-financing into the Guarantee Fund (referred to in Article II.20) Therefore… The pre-financing received is of € 751.539,65 equal to the 60% of the EC total contribution

31. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [30] ::.. EC payments Interim Payment: After approval of the periodic report Calculated on the basis of the accepted eligible costs Based on accepted claimed costs (interest earned / receipts taken into account) Final Payment: Following the approval of the final report 10% retention of total contribution kept by EC until final payment Guarantee Fund Contribution returned to the beneficiaries via the coordinator

32. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [31] ::.. AGENDA: Management and Reporting 1.EC Grant Agreement 2.Reporting obligations: Progress Report Periodic Report Final Report 3.Form C – Financial Statement 4.EC payments 5.Project Review 6.Declaration of Conformity 7.Questionnaires

33. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [32] ::.. Project Review A project review should be held a mid-term stage (M24 - Nov. 2011) At least 2 months before the date of the review the REA shall communicate to the consortium the modalities of the project review, including, where appropriate, any meeting it may propose to convene and that it may request the consortium to organise. Each beneficiary is requested by the REA to attend such meeting. The project review shall be made on the basis of the satisfactory completion of due deliverables, milestones listed in Annex I (DoW) as well as on the progress reported in the periodic report for the period considered.

34. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [33] ::.. AGENDA: Management and Reporting 1.Reporting obligations: Progress Report Periodic Report Final Report 2.Form C – Financial Statement 3.Project Review 4.Declaration of Conformity 5.Questionnaires

35. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [34] ::.. Declaration of Conformity According to the Article III.4 of the grant agreement contractor is obliged to send to the EC a signed Declaration on the Conformity (DoC) as soon as possible after the appointment of the researcher. DoC should be sent for each newly recruited and seconded researcher. The format of the declaration is the following: The first part contains legal information such as: Name of researcher, experience (Early stage, Experienced, More Experienced), and the type of contract (Employment contract, Fixed amount stipend). The second part contains information about the researcher. This information will be used by the EC ONLY for statistical reasons and this WILL NOT BE a part of the final declaration document. This statistical part contains following information: Gender of researcher, Year of birth, Nationality, Family charges, Location of origin, Country of secondment/recruitment, Start date of fellowship, End date of fellowship, Scientific area The declaration can be saved in SESAM before submission in case it needs to be edited. The possibility 'attachments’ can be used in order to attach any document (e.g. contract with researcher, if needed, etc.). The final declaration should be submitted via SESAM, printed out, signed by both – legal representative of the host institution as well as by the researcher and sent duly signed to the Commission by regular mail.

36. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [35] ::.. AGENDA: Management and Reporting 1.Reporting obligations: Progress Report Periodic Report Final Report 2.Form C – Financial Statement 3.Project Review 4.Declaration of Conformity 5.Questionnaires

37. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [36] ::.. Questionnaires Each recruited researcher shall commit him/herself to complete in SESAM the evaluation and follow-up questionnaires: 1. Each beneficiary shall take measures to ensure that each researcher completes the EVALUATION questionnaires, provided by the Commission in SESAM, at the end of the initial training activities. 2. Each beneficiary shall contact the researcher two years after the end of the project in order to invite him/her to complete the FOLLOW-UP questionnaires, provided by the Commission in SESAM. 3. MID-TERM ASSESSMENT questionnaires should be filled in SESAM by each researcher currently employed in the frame of the project at least two weeks before the date of the Mid-Term Review meeting.

38. N APOLI, 12 TH J ANUARY 2010 M ANAGEMENT AND R EPORTING [37] Thanks for your attention! CIAOTECH Srl Carolina Salas c.salas@ciaotech.com Gabriella Rossi g.rossi@ciaotech.com