HiLumi LHC is co-funded by the EU FP7 Capacities Programme, Grant Agreement 284404 1

Svet Stavrev (EU Projects Office, CERN)Administrative Manager

17 November 2011

Contractual and reporting aspects of

HiLumi LHC FP7 project

Based on:

- Provisions of the Grant Agreement (GA)

- FP7 Guides on Project Reporting

- HiLumi Consortium Agreement (CA)

Acronyms used:

PC = Project Coordinator

StCom = Steering Committee

CB = Collaboration Board

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Contractual developments of HiLumi 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 MoU 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)

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Project reporting lines

Why is project reporting necessary in HiLumi? Contractual obligations vis-à-vis the European Commission To follow up the technical progress and resource utilisation (21 M€)

There will be two project reporting lines in HiLumi:

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.

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Internal Project Reporting 1/6

Interim Activity Reports (IAR)

Purpose: to allow the StCom 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 M12 and M24

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Internal Project Reporting 2/6

Interim Activity Reports

Task Interim Activity Report Task Coordinator prepares the IAR for his/her Task (E+10)

WP Coordinator(s) assemble the IAR for their WP (E+20)WP Interim Activity Report

PC StComProject Coordinator reviews the WP IARs and sends them to the StCom (E+30)

Contact persons from each participant for each Task

Input from P1

…Input from P2

Input from Pn

E = end of period concerned

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Internal Project Reporting 3/6

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: M12, M18, M24, M36, M48 for the EU beneficiaries

Note: The IRUS summaries will cover the full estimated costs

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.

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Internal Project Reporting 4/6

Interim Resource Utilisation Summaries (IRUS)

Example:

WP / Task

Cost category Estimated expenditure

Justification

Staff involved Person-months WP.X Personnel 66 k€

- one engineer, part-time - one post-doc fellow at 100% FTE - 2 PhD students at 100% FTE

2.5 p-m 6.0 p-m

12.0 p-m

WP.X Equipment and materials

24 k€ - one test stand (15 k€) - hardware components (5 k€) - consumables (4 k€)

WP.X Travel 5 k€ - 2 trips for WP meetings - 1 trip for SC meeting - 1 trip for GB meeting

WP.X Other direct costs

12 k€ - organisation of one workshop (5 k€) - transnational access costs (7 k€)

optional

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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 M18, M36 and M48 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.

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Internal Project Reporting 6/6

Interim Resource Utilisation Summaries

Contact persons for admin / legal matters from each EU beneficiary

Input from B1

…Input from B2

Input from B14

Administrative Manager (AM) assembles the report

Interim Project Resource Utilisation Report (Beneficiaries + WPs + project)

AM GBAdministrative Manager reports to the GB at the Annual Meetings

Administrative Manager informs the StCom

AM StCom

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Periodic Project Reporting 1/2

Periodic Reports must be sent to the EC at the end of each reporting period (P) – M18, M36, M48 (+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

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Periodic Project Reporting 2/2

Periodic Reports: workflow for preparation for P1

The Coordination Office prepares the Periodic Report, send it to the StCom for approval (P+50), and then the report will be submitted to the EC. StCom EC

Periodic Report for P1

14 Financial Statements (for P1)+Each EU beneficiary prepares the Cost Statement for P1, including justification of resources per WP (P+30).

WP Periodic Project Report for P1

WP Coordinators use the previous IAR and produce a WP Periodic Project Report (P+30).

IAR from M12

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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.

Deliverable ReportsThe Lead Beneficiaries assemble and produce the Deliverable Reports. (due date of Annex 1 + 10 days)

TC + WPCTask and WP Coordinators review and validate each DR within 20 days after its receipt.

The Project Coordinator sends the DR to the StCom for review and approval, and then the report will be submitted to the EC. EC

PC StCom

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EC payments for HiLumi LHC • Pre-financing = 60 % of the total EC contribution, of which 5% withheld

(for FP7 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 1st Annual CB meeting (Nov 2013)

• 1st EC reimbursement of costs for the first Reporting Period at M18 + 2 + 3

= 30% assuming uniform spending profile (18 / 48)

• 2nd EC reimbursement (limited by 90% of the 4.9 M€) = 0%

• Final EC payment (10% + 5%) after the Final Report is approved

M1 M18

1st Reporting Period

55% 30%

M36

2nd Reporting Period

M24 M48

3rd Reporting Period

0%

M42

10%5% 5%

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The internal project reporting line will help the Management Team and all beneficiaries in the preparation of the Periodic (and Final) Reports.

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.

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).

Project Reporting: Conclusions (1)

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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.

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).

Since the success of HiLumi 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 HiLumi reporting.

Project Reporting: Conclusions (2)

Thank you in advance for your cooperation!