1. A4B Internet Project Monitor Seminar
January 10th 2011

2. Agenda Introduction Quarterly Reporting IPM requirements and paperwork
Project Compliance Monitoring

3. A4B Aims Promote a high value-added economy
Maximise economic impact of academic business interactions
Knowledge Transfer
New products / services created
Sustainability
Jobs created and protected
Provide revenue and capital funding to invest in expertise in new technology / markets
Encourage collaborative industrial research

4. Role of The Project Manager
Ensure all related paperwork is complete, and maintained in the Project File.
Collaboration Agreements
Evidence Forms
Staff Timesheets (where applicable)
SME Logbooks (where applicable)
Minutes of Meetings
Quarterly Reports
Tender Documents (where applicable)
Participate in A4B Quarterly Monitoring
Coordination, sign off and recording of evidence for IPM!!!!!

5. As project manager you must …….
Know what expenditure has been approved
Know the dates when claims are due in
Consult with A4B before any changes or re-profile is made to the project
Know the start and end date of your project – Payments Outside This Period Are Ineligible
Keep all records till 31st December 2025 (WEFO)

6. DRI Quarterly Reporting – Roles
Arrange Kick Off Project Meeting (Sarah)
Provide Advice & Guidance (Ali and Sarah)
Attend Steering group meetings (Ali)
Co-ordinate Quarterly Claims Meetings (Sarah)
Preparation, collation of documented evidence for IPM (Project Manager)
Update IPM System (Sarah and Victoria)

7. Quarterly Reporting All Claims to WAG are processed by DRI
Quarterly meeting are required to verify financial and non-financial progress prior to claims submission.
Project manager to prepare progress report and evidence requirements and forward to DRI for inclusion with claims.
Claims to match progress report
Claims submitted quarterly via internet Project Monitor - iPM
Three part claims (Expenditure, Output and targets & Quarterly Progress Report)
Claims due in one month after the quarterly claim period.
Project Costs must be defrayed before they can be included in the claim

8. What is the Quarterly Report?
Ideally completed after the quarterly claim meeting
Report must reflect evidence of targets and outputs submitted to DRI for IPM input
If evidence is not matched WAG may place the claim on hold
Report Includes….
Reasons for variance versus 15% of budget
Current Progress and future planned progress
Best Practice, PR stories

9. Quarterly Claim Submitted
1 (Oct)
2 (Nov)
3 (Dec)
Reporting Month (Jan)
Week 1 2 3 4
Quarterly Meeting
Finance
Capital & Revenue
Quarterly Claim Submitted
Staff Timesheets / Expenses
Investment Induced Letter
– enrolment forms
Outputs & Targets
Seminars / Seminar Hours
Network Meetings
Projects Identified
Enterprise Assisted
Demos
Scoping Discussions
Collaborative R&D
Environmental tech Transfer
New / Improved Products & Services
New or safeguarded Jobs
Quarterly Report
Company enrolment forms are required!

10. IPM – What is it?
Web based data collection & monitoring tool, remote access, A4B control
Multi passwords available & Read Only or Read/Write access
DRI process financial data, projects teams can update non financial data
Quarterly report – progress reports
Financial Reports - Budget monitoring
Targets and Outputs - Indicators
Resource and Contacts Area

11. IPM – How is it used by WAG?
Reports generated from iPM are used to:-
-Complete A4B quarterly claims to WEFO
-WAG Senior Management reporting
Recent Evaluation of A4B as part of DE&T restructuring
Value for Money Evaluation
Profile Variances

12. DRI Financial Reporting on IPM
Capital Costs
- item, serial #, University asset #, location of asset
Revenue Costs
- Staff timesheets for under 100%
- Expenses
- Travel details
Investment Induced
- Letter of value of quarterly support in line with application provided by company

13. Paperwork Requirements - Financial?
Staff Timesheets
(needed for employees working less than 100% on project)
Letters from companies for investment induced
(should be in line with the original proposal)

14. Target & Output Reporting on IPM
Performance Indicators:
Steering Group Meetings,
Seminars,
Networks meetings,
Projects identified,
Demos,
Scoping Discussions
Outputs and Results:
Collaborative R&D hours / Collaborative R&D projects
Enterprise Assisted (including time spent on above activities)
Funding Secured
R&D investment induced
Projects transferring environmental technology
New improved products and services
Gross jobs created / Gross jobs safeguarded
Company enrolment forms are required after 7 hours of contact with company

15. Paperwork Requirements – Outputs and targets?
A guide to iPM requirements is available at
shows requirements for each target and indicator headings
Provides forms which to help record the data for IPM
Note:
If you choose to use another method of recording data for input to iPM, please ensure that each of the headings as set out in the iPM requirements document are recorded

16. The A4B Contract Other Documentation required (not on IPM)
Sub Contract Agreements with collaborator HEI
CIRP Agreement with company partners / HEIs
KTC Agreement
NDA’s (if appropriate)
Tender documentation
Note:
DRI has templates for the agreements,
all agreements must be signed by DRI

17. Partnership Arrangements for IPM
All partners should sign and return a sub-contract
Partners must claim within the prescribed time periods – failure to do so will result in non-payment
Must claim to profile (within 15%)
SU will only pay partners once WAG pays us!
Maintain delivery of outputs and spend
Back-up information is needed to verify all claims
Most HEIs understand the brief!

18. A4B Compliance Monitoring
One visit per project, could be ad hoc
Purpose - to ensure claims paid are fully evidenced, activity and expenditure is eligible and complies with contract and guidelines.
Key personnel to be available (not necessarily present) i.e.: project manager, administrator, claims/finance input.
Original documents to be retained and produced for audit, signed & authorised.
Good methodical record keeping; signposting where necessary.
Publicity and Case Studies- correct logos,
Retention dates currently 2025.
Post Completion Monitoring and Evaluation - to measure project impact, additional outputs, evolution of the original project, value for money and assessment of the delivery of the project in line with the cross cutting themes included in original application (e.g. Sustainability)
Ensure you have a robust audit trail - everyday an audit day!
Consult with DRI if in doubt

19. Compliance Monitoring Checklist
Verification tests on expenditure (Staff costs and expenses)
Sample test on eligibility of activity – evidence
Evidence of results and investment induced
Checks on state aid
Comment on Publicity

20. Good Practice Guide for A4B projects
Maintain Accurate Project File
Ensure robust project management system and audit trail
Don’t move funding without A4B permission
Revisit Milestones and Cashflow in contract
Verify Eligibility of Expenditure with DRI
Focus on Targets – convergence v non convergence
Keep on Top of Paperwork – company evidence, data collection, timesheets
No Nasty Surprises - Keep DRI Informed

21. Conclusion and Contact Details
Record Keeping is very IMPORTANT for audit purposes
Keep DRI in the loop
Ali Parker ,
Sarah Haynes
Victoria Hurst
Involve A4B team
Leanne Richards (A4B Case)
Sharon Morgan (KTC and CIRP)
Julie Cunnington Hill (KTC / CIRP)
Gareth Wilson (KEP)
Terry Stubbs (IP / Commercialisation)