Contractual and reporting aspects of Hi Lumi LHC

Contractual and reporting aspects of Hi. Lumi LHC FP 7 project Svet Stavrev (EU Projects Office, CERN) Administrative Manager 17 November 2011 Based on: - Provisions of the Grant Agreement (GA) - FP 7 Guides on Project Reporting - Hi. Lumi Consortium Agreement (CA) Hi. Lumi LHC is co-funded by the EU FP 7 Capacities Programme, Grant Agreement 284404 Acronyms used: PC = Project Coordinator St. Com = Steering Committee CB = Collaboration Board 1

Contractual developments of Hi. Lumi LHC Grant Agreement Signed by the EC on 30 September 2011 Accession Forms signed by all beneficiaries (EU + JP) Consortium Agreement Draft version circulated in June 2011, new version in November Delayed due to the clarification of the status of the 5 US « associate partners » Separate Mo. U with the US participants needed Payment of pre-financing Payment from the EC has been received: 2. 94 M€ out of 4. 9 M € Distribution to the European beneficiaries will start by the end of November (60% of the pre-financing) 2

Project reporting lines Why is project reporting necessary in Hi. Lumi? Ø Contractual obligations vis-à-vis the European Commission Ø To follow up the technical progress and resource utilisation (21 M€) There will be two project reporting lines in Hi. Lumi: External, covering the preparation and submission of the Periodic Reports to the EC, as well as the Deliverable Reports specified in Annex 1 of the Grant Agreement. Internal, with 12 month periodicity, serving: (i) as necessary input for the preparation of the Periodic Reports; (ii) as means for the Coordinator, Steering Committee and the Collaboration Board to follow up the progress of the project, and in case of issues, to take adequate measures on time. 3

Internal Project Reporting 1/6 Interim Activity Reports (IAR) Purpose: to allow the St. Com and CB to follow up the progress of the project. Content (based on the content of the Periodic Reports for the EC) 1. A brief description of the work performed on the Task, achievements, problems encountered and corrective actions taken, as well as any major deviations from the original Description of Work. 2. Description of progress towards Project Deliverables and Milestones, and expected delays, if any, as well as reasons for such delays. 3. Plans for the work to be completed during the next period. Total length of the IAR: 1 -2 pages per Task + 1 or 2 pictures Periodicity: at M 12 and M 24 4

Internal Project Reporting 2/6 Interim Activity Reports Input from P 1 Input from P 2 … Input from Pn E = end of period concerned Contact persons from each participant for each Task Interim Activity Report Task Coordinator prepares the IAR for his/her Task (E+10) WP Interim Activity Report WP Coordinator(s) assemble the IAR for their WP (E+20) PC St. Com Project Coordinator reviews the WP IARs and sends them to the St. Com (E+30) 5

Internal Project Reporting 3/6 Interim Resource Utilisation Summaries (IRUS) Purpose: To allow the Coordinator (CERN) and CB to monitor the utilisation of resources of each participant, WP and project as a whole. Content: (Similar to the justification for the Financial Statements needed for the Periodic Reports to the EC): overview of the budget situation of each participant – estimated expenditure (full costs) per Work Package for the different cost categories: - personnel, including person-months used - equipment and materials - travel - other direct costs Frequency: M 12, M 18, M 24, M 36, M 48 for the EU beneficiaries Note: The IRUS summaries will cover the full estimated costs 6

Internal Project Reporting 4/6 Interim Resource Utilisation Summaries (IRUS) Example: optional 7

Internal Project Reporting 5/6 Comments to the Interim Resource Utilisation Summaries • The IRUS reports will be cumulative, covering the last and all previous 6/12 -month periods. • For the IRUS it will not be necessary to have any financial certificates, audits or signatures (estimates only). • Only a fraction of the full costs indicated in the Resource Utilisation Summaries of M 18, M 36 and M 48 may be used for the Financial Statements that will be sent to the EC (special agreement with the EC in Annex 1). • This fraction should be sufficient to justify the requested EC contribution for each participant. 8

Internal Project Reporting 6/6 Interim Resource Utilisation Summaries Input from B 1 Input from B 2 … Input from B 14 Interim Project Resource Utilisation Report (Beneficiaries + WPs + project) AM AM Contact persons for admin / legal matters from each EU beneficiary Administrative Manager (AM) assembles the report St. Com Administrative Manager informs the St. Com GB Administrative Manager reports to the GB at the Annual Meetings 9

Periodic Project Reporting 1/2 Periodic Reports must be sent to the EC at the end of each reporting period (P) – M 18, M 36, M 48 (+2 months for the preparation) Content of the Periodic (and Final) Reports: 1. A publishable summary (4 pages) 2. Overview of objectives and achievements of the whole Project for the period 3. Work progress and achievements for each Work Package and Task 4. Review of Project Deliverables and milestones 5. Project management activities 6. Explanation of the use of resources by the participants during the reporting period (per Work Package and per beneficiary) 7. Financial Statements – Form C (signed by each beneficiary) 8. Summary financial report 10

Periodic Project Reporting 2/2 Periodic Reports: workflow for preparation for P 1 IAR from M 12 6 WP Coordinators use the previous IAR and produce a WP Periodic Project Report (P+30). WP Periodic Project Report for P 1 + 14 Financial Statements (for P 1) Periodic Report for P 1 St. Com EC Each EU beneficiary prepares the Cost Statement for P 1, including justification of resources per WP (P+30). The Coordination Office prepares the Periodic Report, send it to the St. Com for approval (P+50), and then the report will be submitted to the EC. 11

Deliverable Reports Deliverable Reports: committed contractual output of the project and must be sent to the EC according to the timetable indicated in Annex 1 of the Grant Agreement. * N. B. Each Deliverable has to be associated with a written report, regardless of its nature, e. g. web-site, device, specification, etc. The Lead Beneficiaries assemble and produce the Deliverable Reports. (due date of Annex 1 + 10 days) Deliverable Reports Task and WP Coordinators review and validate each DR within 20 days after its receipt. TC + WPC PC EC St. Com The Project Coordinator sends the DR to the St. Com for review and approval, and then the report will be submitted to the EC. 12

EC payments for Hi. Lumi LHC • Pre-financing = 60 % of the total EC contribution, of which 5% withheld (for FP 7 Guarantee Fund, to be reimbursed at the end of the project) • Effective pre-financing = 55% of the 4. 9 M€ = 2. 7 M€, of which 60% will be paid to each participant (pro-rata to project share) a. s. a. p. and the other 40% will be distributed after the 1 st Annual CB meeting (Nov 2013) • 1 st EC reimbursement of costs for the first Reporting Period at M 18 + 2 + 3 = 30% assuming uniform spending profile (18 / 48) • 2 nd EC reimbursement (limited by 90% of the 4. 9 M€) = 0% • Final EC payment (10% + 5%) after the Final Report is approved 5% 30% 55% M 18 1 st Reporting Period M 24 2 nd Reporting Period 0% M 36 M 42 10% 5% M 48 3 rd Reporting Period 13

Project Reporting: Conclusions (1) ü The internal project reporting line will help the Management Team and all beneficiaries in the preparation of the Periodic (and Final) Reports. ü The internal project reporting will also allow the Management Team, the Steering Committee and the Collaboration Board to follow-up the technical progress of the project and the utilization of resources. ü The preparation of the Periodic Reports is responsibility of the Coordination Office with necessary input by all WP Coordinators (through the WP Periodic Reports) and by each participant (through the Financial Statements and Justification of Resources). 14

Project Reporting: Conclusions (2) ü The preparation of the Deliverable Reports is responsibility of the Lead Beneficiaries under the coordination of the Task Coordinators and the WP Coordinators with input from all contributing participants. ü The Coordination Office will endeavour to ensure efficient follow-up and monitoring of the progress of the project, keeping the reporting workload at a reasonable level (templates and Reporting Guide will be made available soon). ü Since the success of Hi. Lumi LHC will be measured by the EC by acceptance (or rejection) of the Periodic and Deliverable Reports, commitment and cooperation from all participants, as well as Task and WP Coordinators will be essential for successful Hi. Lumi reporting. Thank you in advance for your cooperation! 15