ENSEMBLES_year3_annual

Project Reporting

Guidance notes for completion of ENSEMBLES third year reports
(1 September 2006-31 August 2007)

Introduction
Reporting timetable
Tasks for RT leaders
Tasks for WP leaders
Tasks for Partners
Summary of forms
Further guidance

Introduction

Ensembles annual reports need to be submitted to the Commission by early October through the Co-ordinator in RT0 (see project reporting page and Article II.7 in Annex II for the regulations).

The main problems with last year's process arose from the continued late provision of several pieces of information, which creates the potential for mistakes and omissions. With the summer holiday season to complicate matters, please provide the requested information promptly so that the Co-ordinator can compile the reports and carry out sufficient quality control in time. If you need help or advice then please do ask (sooner rather than later) as we are here to try and help.

The following sections explain who needs to what and by when. Last year's reports will be a useful reminder of the required format and information.

Timetable for year 3 reporting

Please note that deadlines are strict and unmovable. Any information sent to the Project Office after 1 October is unlikely to be included in the reports.

Please also note that we now only have 24 months of the project remaining. The Management Board have decided that we will produce a work plan, including deliverables and milestones, up to the end of the project rather than for the next 18 months. We can update this work plan with next year's reports if needed.
IMPORTANT: the requested budgets are still only for the next 18 months because this is the timescale that the EC uses to calculate the pre-financing payments.

Acronyms: RT=Research Theme, WP=Work Package, PAR=Periodic Activity Report, PMR=Periodic Management Report, DIP=Detailed Implementation Plan, DoW=Description of Work

Date due by	Item/Report	Person Responsible
mid-Jul 07	Draft input for PAR and DIP to RT leaders	WP Leaders
31 Jul 07	First draft PAR and DIP (including deliverables/milestones to month 60)	RT leaders
31 Aug 07	Complete PAR, DIP and all deliverables/milestones (including cover sheet) due by month 36	RT leaders
21 Sep 07	All information for PMR (including tables 3 and 4), Form C, audit certificate (if applicable), DIP budget	Partners
15 Oct 07	All final reports submitted to EC	RT0

Tasks for RT leaders

By 31 July 2007 please provide your intended milestones and deliverables up to month 60 (i.e. up to the end of the project) to RT0 so that we can assess consistency across RTs. Please also submit a draft version of the PAR (months 25-36) and DIP (months 37-60) to RT0. This first draft will help alleviate problems if/when progress with report writing slows down in August. Changes, updates, refinements, additions etc. can then be made by 31 August. Please contact RT0 if it will be a problem producing a first version by 31 July.

Tasks for RT leaders due by 31 August
1. The following sections of the Periodic Activity Report (PAR) from your RT for months 25-36. Last year's report will be a useful starting point: •Executive Summary: Brief input is needed from RT leaders for each sub-section which will summarise the status/progress of each RT. RT0 will collate. •Section 1 "Project objectives and major achievements": this is a 1-2 page summary of Section 2 "RT progress" for the whole RT. •Section 2 "RT progress": full details for each WP, including WPx.0. As a guide, each WP could aim to provide 1-2 pages of text plus figures to the RT leaders, but write as much as is needed. •Section 3 "Consortium management": please provide any relevant information, in particular for Section 3.6 "Co-ordination activities and communication". •Appendix 1 "Plan for using and disseminating the knowledge": information is needed for "Section 2 - dissemination of knowledge". For publications, only list those that acknowledge ENSEMBLES. Do remember to acknowledge ENSEMBLES when appropriate (see guidance). We don't have input for the other two sections of Appendix 1, Section 1 "Exploitable knowledge and its use" and Section 3 "Publishable results" for each exploitable result.
2. The Detailed Implementation Plan (DIP) for your RT for months 37-60. •Section 8.5 "Deliverables list": fill in all columns. Remember to check the Major Milestones on pages 99-104 of DoW vn3.2 for consistency, and include all deliverables and milestones for months 37-42 from the Dow vn3.2, because they still apply. Bear in mind that a deliverable is a tangible "thing" such as a report, a training course or piece of software, it is not an aim or objective. •Section 8.6 "Work package descriptions": complete separate ones for each WP.
3. All deliverables with cover sheet (and milestone reports where appropriate) that are due by month 36.

Tasks for WP leaders

Your RT leaders should contact you requesting much of the above information for the PAR and DIP. Please send the information to your RT leader, not to RT0. RTs might have different deadlines, so liaise with your RT leader. The simplest way to complete the WP reports is to get each partner in your WP to complete the Periodic Activity Report for Partners

Tasks for Partners

Handout for financial/admin departments

Please also consult the Lessons Learned document for answers to frequently asked questions.

All partners listed in the contract including zero cost partners (but not affiliated partners) need to provide the information detailed below directly to the Co-ordinator. This information is in addition to the items that your WP and/or RT leaders will request. Please provide all information as soon as possible after 1 September and by 21 September 2007.

Please e-mail the PMR, Form C and financial DIP to ensemblesfp6@metoffice.gov.uk

Please post two signed copies of the Form C and one audit certificate (where relevant) to Pip Gilbert, Met Office, FitzRoy Road, Exeter EX1 3PB, UK

Tasks for Partners due by 21 September
1. Information for the Periodic Management Report (PMR) for months 25-36, (1 September 2006-31 August 2007): •Section 1.1 "Work performed": brief one-paragraph summaries of the work performed. Provide separate paragraphs for every RT your institute was involved in from September 2006 to August 2007. Also include an explanatory note of any major cost items. •Section 1.2 "Summary explanation of impact of major deviations from budgets": brief descriptions of any major deviations from cost budget and/or person-month budget, explaining which RT the deviation relates to. This section should be consistent with information provided to RT and WP leaders for Sections 1.3 and 2.c of the PAR. • Table 3 "Budget vs Actual Costs": a tabular overview of budgeted costs and actual costs for your institute's involvement in the project as a whole (not separated into RTs), itemised by major cost item including personnel. Please complete the column "Period 3" for year 3 for your institute. See for more information. •Provide the total person months used for each WP for your institute in year 3. For AC partners please also include your own staff numbers (i.e. the "additional cost" bit). The form provides an example of the sort of information needed, but it doesn't have to be in a table - as long as we can identify how many person months for each WP. Table4_months_25-42 shows your intended person months for the 18 month period Sep06-Feb08 for reference.
2.Form C: Financial statement per activity for the contractual reporting period (year 3 = 1 September 2006-31 August 2007). Please read the following important points: • Follow the guidance notes for completing Form C. • Send two signed copies by post. Only print out the "Participant 1" sheet, not the "Summary Report". • E-mail an electronic version of the Form C spreadsheet to ensemblesfp6@metoffice.gov.uk
3. An updated 18 month Detailed Implementation Plan budget, for months 37-54 using the Section9.4_DIP spreadsheet. See
4. An audit certificate to accompany Form C is required once a partner's total requested EC contribution from the start of the project to date reaches or exceeds €150,000. Use the template (page 216 onwards) as a model. See for more information

Summary of forms required

Further guidance

Table 3 "Budget vs Actual Costs"

Partners need to take into account what money they have already received, what they have claimed on previous Form Cs and what their total five year budget is. This information is contained in the summary spreadsheet (please note that this is a working document).
All figures are for total eligible costs, not "requested EC contribution"
The "BUDGET" column shows the total eligible costs for the 5 years, taken from the Dow
The "ACTUAL COSTS" column corresponds with the costs reported on your Form C, but with slightly different categories. In particular, check that the total costs under column "Period 3" is the same as the total eligible cost in cell L38 of your Form C
The note in red "*) total budget figures - not EC funded" means all figures should refer to each partner's total eligible costs. For FC/FCF partners this will be at least double the requested EC contribution. For AC partners this will be at least equal to the requested EC contribution.
The EC's guidelines don't specify what constitutes a "major cost", so please use your best judgement.

Detailed Implementation Plan

Remember that each RT and each partner have total budgets for the 5 years which cannot be exceeded without Management Board approval (see Contract Preparation Form A3.1 in the Dow for partners' budgets). Refer to the summary spreadsheet for your institute's budget and expenditure (please note this is a working document).
All figures should be given to the nearest Euro (i.e. no decimal places).
For AC partners, indirect costs cannot be more than 20% of direct costs.
Please make sure that the total (orange) box at cell L8 is completed if you are requesting money.

Audit certificate

As an example, if your requested contribution for year 1 was €80,000 and the contribution for year 2 was €80,000 then you would need to provide an audit certificate with your year 2 Form C, and in all subsequent years.
Those partners who have not yet requested €150,000 or more do not have to provide an audit certificate (this is Special Clause 39 to the ENSEMBLES contract), but you are strongly encouraged to consider providing one for the following reasons:

All partners receiving an EC contribution will need to produce at least one audit certificate by the end of the project.
This will help you to uncover any FP6-accounting problems as soon as possible, and make subsequent annual accounting easier. Correcting problems from previous years will be difficult, and avoiding the problems is the best strategy.
It has been agreed by all partners that the cost of the audit certificate shall not be charged to the ENSEMBLES project (please see the Consortium Agreement).

Working notes for contractors and certifying entities are available from the Cordis website. Please follow the instructions contained within the notes very carefully, particularly the wording in Annex 2. The EC advised that several audit certificates needed revising after years 1 and 2.

The Commission's Guide to Financial Issues states in several places that "the expenses needed to implement the indirect action shall be certified by an external auditor or, in the case of public bodies, a competent public officer". Page 94 is slightly more informative, and hopefully will tell you what the rules are in choosing an auditor for your organisation.