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EMPIR Reporting Guidelines Part 0 Guide to the parts - PDF
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1 Part 0 Guide to the parts EMPIR Reporting Guidelines Part 0 Guide to the parts EURAMET MSU, Hampton Road, Teddington, Middlesex, TW11 0LW, UK Phone: msu.euramet.org
2 CONTENTS 1 Introduction General guidance Reporting requirements Interim reporting Periodic reporting Final publishable report Other reporting Requests for amendments or suspension arising outside the reporting activities Amendment to the JRP or SIP protocol Amendment to the budget Reporting responsibilities Reporting timetable Annexes Annex A: List of EMPIR Reporting Templates Reporting Templates Annex B: Submission of documents to the EURAMET Publications Repository If you require further help or guidance after reading this document, please contact the helpline Telephone: Part 0 Guide to the parts 2/11
3 1 Introduction The EMPIR Reporting Guidelines are divided into Parts 0-8 (see below) and these form the reference documents for reporting for JRPs, SIPs and ERMGs in accordance the relevant clauses of the EMPIR Grant Agreement and EMPIR Researcher Grant Agreement. Part 0: Guide to the parts This guide defines the parts of the EMPIR Reporting Guidelines, provides general guidance about EMPIR reporting, further information on reporting requirements and responsibilities, a reporting timetable, guidance on amendments, a list of reporting templates (Annex A) and guidance on the submission of documents to the EURAMET repository (Annex B). In addition to the EMPIR Reporting Guidelines, Reporting Templates are provided to ensure that the reports are comprehensive and presented in a uniform manner. Part 1: Writing a Publishable Summary Part 1 provides guidance on how to write a publishable summary. A publishable summary should be prepared as part of interim, and final reporting by Joint Research Projects (JRPs) and Support for Impact Projects (SIPs). Reporting Templates 1 and 2 (for JRPs and SIPs respectively) are linked to this part of the EMPIR Reporting Guidelines. The publishable summary should be a standalone / self-contained document that can be read and understood out reading any of the previous outputs or documentation from the project. It should be of suitable quality to enable direct publication by EURAMET and the Commission. The publishable summary is an important public document that explains, to a non-specialist audience, the need for the research and why it will be of benefit to society. This audience includes key policy-makers, regulators, industrialists, officials at standards developing organisations and at research funding bodies and the European public. The publishable summary will be publicly available via the EURAMET website and text from the publishable summary will be used by EURAMET to create promotional material (posters and brochures), for promoting EMPIR funded projects, in particular to the European Commission. Part 2a: Writing a Technical Report (Progress) Part 2a provides guidance on how to write a technical report (progress). A technical report (progress) should be prepared as part of interim, and final reporting by JRPs and SIPs. Reporting Template 3 is linked to this part of the EMPIR Reporting Guidelines. In EMPIR, the technical report (progress) is completed in exactly the same way for interim and /final reports. It provides an overview of progress towards the objectives of the project and an explanation of the work carried out, as well as summarising the work done, providing information on deviations from Annex 1 and the consequences and proposed corrective actions, and information on ethical issues. Part 2b: Completing the Technical Report (Finance) Part 2b provides guidance for each funded partner and linked third party on how to complete their financial reporting. Additionally it provides guidance for the on how to compile the summary workbook containing the financial reports of all funded partners. Part 3: Completing the Output and Impact Report Part 3 provides guidance on how to complete the output and impact report. An output and impact report should be prepared as part of JRP / SIP interim, and /final reporting. Reporting Template 4 is linked to this part of the EMPIR Reporting Guidelines. This report provides information on the scientific and dissemination outputs and impacts that the project has delivered including how the knowledge and capabilities produced in the project have been adopted at NMIs/DIs and in the wider user community in Europe and beyond. It should also provide information on exploitable results and how the consortium intends to ensure that they will be exploited to realise impact. The data in the Output and Impact Report is collated across all EMPIR projects and reported to the Commission at programme level. Therefore the template is a spreadsheet that contains many drop-down menus to Part 0 Guide to the parts 3/11
4 standardise the way much of the information reported. The drop-down menus must be used. However there are also open fields to enable additional information to be provided. Part 4: Completing the Questionnaire Part 4 provides guidance on how to complete the Horizon 2020 questionnaire. A Horizon 2020 questionnaire should be completed as part of reporting by JRPs and SIPs. Reporting Template 7 is linked to this part of the EMPIR Reporting Guidelines. The Horizon 2020 questionnaire is designed to allow each project to provide the necessary statistical information to EURAMET so that a programme level report can be submitted to the Commission as part of programme level reporting requirements. Part 5: Submitting Deliverables and Ethics reports Part 5 provides guidance for the submission of the deliverables and ethics reports produced by JRPs and SIPs. No Reporting Templates are linked to this part of the EMPIR Reporting Guidelines. Deliverables the should send the JRP or SIP s deliverables to EURAMET by the delivery dates stated in the Annex 1 to the EMPIR Grant Agreement. Ethics reports when requested in the Annex 1 to the EMPIR Grant Agreement, the should send a report to EURAMET addressing the specified ethical issues. Part 6: Preparing for Mid-Term Reviews Part 6 provides guidance on how JRP representatives should prepare for mid-term reviews. Reporting Template 5 is linked to this part of the EMPIR Reporting Guidelines. A mid-term review meeting is held for JRPs (not for SIPs) to supplement the documentary based reviews. All of the JRPs will be reviewed at a high level by a group of external expert reviewers. JRP representatives will be informed about requirements and about the date, location and format of the mid-term review meeting by EURAMET in due time. The external expert reviewers will suggest improvements that should be made to the projects. Part 7: Writing a Final Publishable Report Part 7 provides guidance on how to write a final JRP / SIP publishable report. Reporting Template 6 is linked to this part of the EMPIR Reporting Guidelines. The final publishable report is a comprehensive public document that explains the purpose, results and impact of the project to a non-technical audience. It is similar in structure to the publishable summary; the main difference is that there is a much longer section to describe the scientific and technical activities and outputs/conclusions. The final publishable report is targeted at a more technically literate audience in the business, policy-making and standards communities than the publishable summary. It is for people who seek to understand the project in greater depth, understand its relevance to their work and who might as a result go on to read the project s other publications and outputs. Part 8: Submitting ERMG reports Part 8 provides guidance on the EMPIR Researcher Mobility Grant (ERMG) reports which are to be completed by ERMG researchers at the end of their grants. Reporting Template 8 is linked to this part of the EMPIR Reporting Guidelines. ERMG reports provide an overview of progress towards the objectives of the project and an explanation of the work carried out, as well as summarising the work done, and providing input on ethical issues. The ERMG Researcher will also contribute to the parent JRP s output and impact report by providing the necessary information to the at the end of the ERMG. In all other aspects, ERMG reporting is a separate activity from JRP reporting. Part 0 Guide to the parts 4/11
5 2 General guidance Reporting serves a number of functions, specifically: Providing the the information necessary to manage the project. Enabling the to make a formal declaration regarding JRP / SIP progress. Allowing EURAMET to monitor progress of the JRP / SIP / ERMG against its stated objectives. Providing specific information related to dissemination, knowledge transfer, impact and exploitation of the research to EURAMET for promotion of EMPIR as a whole. Providing the information needed to establish the appropriateness of the claimed costs for each individual partner. Enabling EURAMET to meet its programme level reporting obligations. The approval of the reports by EURAMET is a prerequisite for the and final payments to the JRP/SIP partners and ERMG researchers by EURAMET. Payments will only be made after EURAMET s approval of the reports. Delays in submission of acceptable reports by individual partners or organisations will result in delays in payment for all JRP / SIP partners. s are responsible for compiling reports in cooperation the partners and EMRG Beneficiaries and making a high-level assessment of progress towards the objectives of the project. s are responsible for the delivery of the reports to EURAMET. s can only meet their obligations if the other partners in their consortia fully discharge their reporting responsibilities. The reports explain the work carried out in relation to the objectives and the deliverables of the original work plan, discussing issues encountered, and the solutions found. If any deviations from the work plan and schedule of deliverables have occurred or are expected to occur in the next period, these shall be explained in the relevant report. EURAMET recommends that the s of JRPs / SIPs inform their partners and ERMG researcher(s) at an early stage about the contents and deadlines of the required reports and that they set clear assignments and responsibilities taking account of: What information has to be passed in the consortium for each partner and ERMG researcher to fulfil his/her obligations. The overall timescale for the generation of the various reports. The time taken to prepare a financial statement and, where applicable, to obtain the certificate on the financial statement. As per Article 20.8 of the EMPIR Grant Agreement, if the of a JRP or a SIP breaches its obligation to submit the reports and if it fails to comply this obligation in 30 days following a written reminder sent by EURAMET the Agreement may be terminated. The partners, the work package leaders and/or task leaders as well as ERMG researchers as appropriate, shall provide all required information to the of the JRP / SIP, and support the in drafting/writing the reports. Please ensure that any acronyms used in reports are clearly explained. Every report submitted to EURAMET shall indicate the confidentiality status on the front cover, using the classification below: PU = Public PP = Restricted to other Horizon 2020 Programme participants (including EURAMET and the European Commission Services) RE = Restricted to a group specified by the consortium (including EURAMET and the European Commission Services) CO = Confidential, only for members of the consortium (including EURAMET and the European Commission Services) Technical reports (progress) and ERMG reports shall bear the classification Confidential, financial reports will automatically be assumed to be Confidential. All reports submitted shall be in English and shall be of sufficient quality to enable a meaningful review. Additionally reports intended for publication shall be of suitable quality to enable direct publication out Part 0 Guide to the parts 5/11
6 additional editing. By submitting the publishable reports to EURAMET, the partners (and ERMG Researcher(s) as appropriate) are also certifying that they include no confidential material. A summary of the reports to be provided in each period is detailed in Sections 5-6 below. Electronic reports/documents should be ed to EURAMET at whilst hard copies of documents (where requested see Sections 5-6) should be sent to the EURAMET-MSU Finance Officer, EURAMET-MSU, National Physical Laboratory, Hampton Road, Teddington, Middlesex, UK, TW11 0LW. If you wish to submit a report or deliverable confidentially (eg encrypted) to EURAMET then please telephone the MSU helpline, or your EURAMET Project Officer, on to discuss an appropriate method. Submission by the consortium Except where identified below, the consortium shall transmit the reports through the to EURAMET electronically as excel or word files or hard copies (according to specified requirements). Submission by the participating organisations All inputs to reporting from participating organisations should be submitted to the using the format agreed the. 3 Reporting requirements 3.1 Interim reporting Interim Reporting is not required for JRPs / SIPs of less than 25 months duration. For JRPs / SIPs of greater than 24 months duration, the consortium shall provide Interim Reports summarising progress in the periods specified in Annex 1 of the Grant Agreement. Each Interim Report shall be provided to EURAMET in 45 days of the end of the period. Interim reporting gives the consortium the opportunity for a brief review of progress specifically indicating whether the JRP / SIP is on target, identifying any issues, consequences and remedial actions. Interim reporting comprises: Publishable Summary (Reporting Templates 1 or 2) - see EMPIR Reporting Guidelines Part 1 Technical Report (Progress) (Reporting Template 3) - see EMPIR Reporting Guidelines Part 2a Output and Impact Report (Reporting Template 4) - see EMPIR Reporting Guidelines Part Periodic reporting Each project must prepare two reports: the first as close as possible to the mid-term and the second at the end of the project. The periods are specified in Annex 1 of the Grant Agreement. Periodic Reports shall be provided to EURAMET in 60 days of the end of the period. Periodic reporting provides a review of progress specifically indicating whether the JRP / SIP is on target, analysing financial activity to date, identifying any issues, consequences and remedial actions required. Downloadable Reporting Templates are available for these reports. Periodic reporting comprises: Publishable Summary (Reporting Templates 1 or 2) - see EMPIR Reporting Guidelines Part 1 Technical Report (Progress) (Reporting Template 3) - see EMPIR Reporting Guidelines Part 2a Technical Report (Financial) (Reporting Templates 20, 21, 22, 30, 31) - see EMPIR Reporting Guidelines Part 2b Output and Impact Report (Reporting Template 4) - see EMPIR Reporting Guidelines Part 3 Horizon 2020 Questionnaire (Reporting Template 7) - see EMPIR Reporting Guidelines Part Final publishable report At the end of a JRP or SIP, in addition to the second report, the consortium shall provide a final publishable report, covering the whole project, in 60 days of the end of the project. See EMPIR Reporting Guidelines Part 7 and Reporting Template 6. Part 0 Guide to the parts 6/11
7 3.4 Other reporting Other reporting includes Completed Deliverables - see EMPIR Reporting Guidelines Part 5 An Ethics Report (if required in Annex 1) - see EMPIR Reporting Guidelines Part 5 ERMG Report(s) (as required in any ERMG Grant Agreement) (Reporting Template 8) - see EMPIR Reporting Guidelines Part 8 4 Requests for amendments or suspension arising outside the reporting activities Requests for amendments to the EMPIR Grant Agreement and/or suspension to the JRP or SIP (or to the EMPIR Researcher Grant Agreement) should be made in accordance Article 55 Amendments to the Agreement and Chapter 6 Section 3 Suspension and Termination of the EMPIR Grant Agreement, or the relevant articles of the EMPIR Researcher Grant Agreement. Requests for changes might include: Revised delivery / end dates, particularly those that change periods and/or require re-planning of labour and budgets or redistribution of activities between partners in the case of the JRP or SIP. Optimising work plans and therefore redefining activities / deliverables, whilst retaining JRP, SIP or ERMG targets. Modifying the target of activities / deliverables due to technical challenges or external factors. Modifications to the consortium or ERMG researcher. 4.1 Amendment to the JRP or SIP protocol If any changes are needed to the implementation of the JRP, SIP or ERMG (eg deliverables, research plan, etc.), the changes must be approved by EURAMET in advance and in writing. Please contact EURAMET in writing as soon as possible once the need for change is identified to gain approval before implementation. 4.2 Amendment to the budget If a significant change in the budget distribution between partners is needed, the relevant partner(s) should contact EURAMET through the and submit a request in good time before the change is needed. Please note that it is rare for additional funding to be available for a JRP or SIP. Part 0 Guide to the parts 7/11
8 5 Reporting responsibilities WHO WHAT WHEN HOW By : Publishable Summary for JRPs (Template 1) By each partner, including and by each Linked Third Party: By ERMG Researcher: ERMG Employing Organisation Technical Report (Progress) (Template 3) Initial: + 1 month from signature of the EMPIR Grant Agreement Interim: + 45 days after end of period (if required) Mid-term/Final Periodic: + 60 days after end of period Interim: + 45 days after end of period (if required) Mid-term/Final Periodic: + 60 days after end of period Interim: + 45 days after end of period (if required) Mid-term/Final Periodic: + 60 days after end of period Electronically (word) Electronically (word) Electronically (excel) JRP Self-Assessment Mid-Term TP review (JRPs only) (Template 5) Mid-term Periodic: as requested by EURAMET Electronically (word) Final Publishable Report (Template 6) Final Periodic: + 60 days after end of period Electronically (word) Horizon 2020 Questionnaire (Template 7) Mid-term/Final Periodic: + 60 days after end of period Electronically (excel) Project Financial Report (Template 20) Mid-term/Final Periodic: + 60 days after end of period Electronically (excel) Interim: + 45 days after end of period (if required) Electronically (excel) (JRPs incorporate ERMG Final Output & Impact Reports as required) Mid-term/Final Periodic: + 60 days after end of period Submit to Horizon 2020 Questionnaire (Template 7) Mid-term/Final Periodic: + 60 days after end of period Electronically (excel) Submit to Resource and Cost report (Template 21 for partners and Template 22 Mid-term/Final Periodic: deadline to be agreed Electronically (excel) for ) Submit to Original signed Financial Statement (Template 21 for partners and Mid-term/Final Periodic: deadline to be agreed Signed hard copy Template 22 for ) submitted to Original signed Certificates on the Financial Statements of all partners that require one (Template 30) Mid-term/Final Periodic: + 60 days after end of period Complete set of Signed hard copies ERMG Report (Template 8) At end of the ERMG Electronically as required by. Also a word copy to MSU ERMG reporting obligations (incorporated in the ERMG Payment Request form) The ERMG Payment Request form will be sent to the Employing Organisation by the MSU. This should be completed by the Employing Organisation and returned to the MSU before the next advance payment is due Electronically Part 0 Guide to the parts 8/11
9 6 Reporting timetable Timeline Report Prepared by Submitted by/to Project start + one month Publishable Summary for JRPs (Template 1) Interim 1 (if required) Interim 1 (if required) Mid-term Mid-term Mid-term Mid-term Mid-term + 45 days Publishable Summary for JRPs (Template 1) Technical Report (Progress) (Template 3) to EURAMET to EURAMET Partner input to Interim Report Partners Partners to + 60 days Publishable Summary for JRPs (Template 1) Technical Report (Progress) (Template 3) Horizon 2020 Questionnaire (Template 7) Project Financial Report (Template 20) Complete set of Financial Statements (Template 21 for partners and Template 22 for ) Certificates on the Financial Statements of all partners that require one (Template 30) to EURAMET Partner input to Periodic Report Partners Partners to Resource and Cost report (Template 21 for partners and Template 22 for ) Original signed Financial Statements (Template 21 for partners and Template 22 for ) Original signed Certificate on the Financial Statements (Template 30 i.e. the standard Horizon 2020 template) Only if total cumulative project costs (excluding overheads) exceed 375 k Partners/ to Partners/ to Partners/ to Part 0 Guide to the parts 9/11
10 Interim 2 (if required) Interim 2 (if required) Final / Final / Final / Final / Final / Timeline Report Prepared by Submitted by/to + 45 days Publishable Summary for JRPs (Template 1) Technical Report (Progress) (Template 3) to EURAMET Partner input to Interim Report Partners Partners to + 60 days Publishable Summary for JRPs (Template 1) Technical Report (Progress) (Template 3) Final Publishable Report (Template 6) Horizon 2020 Questionnaire (Template 7) Project Financial Report (Template 20) Complete set of Financial Statements (Template 21 for partners and Template 22 for ) Certificates on the Financial Statements of all partners that require one (Template 30) to EURAMET Partner input to Final / Periodic Report Partners Partners to Resource and Cost report (Template 21 for partners and Template 22 for ) Original signed Financial Statements (Template 21 for partners and Template 22 for ) Original signed Certificate on the Financial Statements (Template 30 i.e. the standard Horizon 2020 template) Only if total cumulative project costs (excluding overheads) exceed 375 k Partners/ to Partners/ to Partners/ to Final + 30 days ERMG Report (Template 8) ERMG Researcher ERMG Researcher to and to EURAMET All ERMG reports must be delivered to EURAMET by the 30-days after the end of the ERMG reporting period (please note that the majority of ERMG reports will not align the due dates of JRP reports). The ERMG researcher will only contribute to the JRP Output and Impact Report by providing the necessary information to the at the end of the ERMG. In all other aspects, ERMG reporting is a separate activity from JRP reporting. Part 0 Guide to the parts 10/11
11 7 Annexes 7.1 Annex A: List of EMPIR Reporting Templates The following Reporting Templates should be downloaded from: Reporting Templates Template 1 Template 2 Template 3 Template 4 Template 5 Template 6 Template 7 Template 8 Publishable Summary for JRPs Publishable Summary for SIPs Technical Report (Progress) Output and Impact Report JRP Self-Assessment Mid-Term Review Final Publishable Report Horizon 2020 Questionnaire ERMG Report Template 20 Project Financial Report Template 21 Funded Partner s Resource and Cost Report Template 22 Linked Third Party s Resource and Cost Report Template 30 Certificate on the financial statements* Template 31 Certificate on the methodology* * - these are standard H2020 templates. EURAMET does not provide templates for deliverables or ethics reports (see EMPIR Reporting Guidelines Part 5 for further details). 7.2 Annex B: Submission of documents to the EURAMET Publications Repository Each partner must ensure open access (free of charge, online access for any user) to all peer-reviewed scientific publications relating to its results in accordance Article 29 of the EMPIR Grant Agreement. s should directly submit documents to the EURAMET Publications Repository by completing the online form: Part 0 Guide to the parts 11/11