Research Executive Agency
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Research Executive Agency
Katrien Steijleman
REA.A1 « FP7 Support Unit »
URF – PDM Presentation
Coordinators Information day7 May 2012
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AgendaAgenda
• Part 1: How to obtain a PIC in the URF• Part 2: The validation process
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• URF – Unique Registration Facility• PDM – Participant Data Management • PIC – Participant Identification Code• LEAR – Legal Entity Appointed Representative• VS – Validation Services
AcronymsAcronyms
Part 1:How to obtain a PIC
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What is the URF ?What is the URF ?
A facility to support the validation of a legal entities by:
• Submitting data over a web interface• Generating a Participant Identification Code (PIC)• Nominating a Legal Entity Representative (LEAR)
Part 1:How to obtain a PIC
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How to register in URF?How to register in URF?
• When you connect the first time to URF (not being a LEAR), you have to self register as participant.
• In your browser you connect to URF, using the following URL: http://ec.europa.eu/research/participants/portal/
• To access URF, you have to use your ECAS login and password (if you don’t have it you must register)
Part 1:How to obtain a PIC
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Log on to the Participant Portal Log on to the Participant Portal You have to use your ECAS login and password (if you don’t have it you must register)
Part 1:How to obtain a PIC
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Click on ‘register’Click on ‘register’
Part 1:How to obtain a PIC
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Welcome page in the registration processWelcome page in the registration process
Part 1:How to obtain a PIC
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Part 1:How to obtain a PIC
Step 1: Enter the status of the organisationStep 1: Enter the status of the organisation
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Part 1:How to obtain a PIC
Step 2: Enter organisation informationStep 2: Enter organisation information
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Part 1:How to obtain a PIC
Step 3: Enter address informationStep 3: Enter address information
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Part 1:How to obtain a PIC
Step 4: Enter contact informationStep 4: Enter contact information
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Part 1:How to obtain a PIC
Step 5: Enter the ICMStep 5: Enter the ICM
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Part 1:How to obtain a PIC
Step 6: review the dataStep 6: review the data
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Part 1:How to obtain a PIC
PIC registration donePIC registration done
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Once the registration done:Once the registration done:
• Please upload the relevant documents
• You will be able to introduce corrections to the data in URF until REA starts the validation process.
• During the validation process, modifications are immediately processed by the REA VS
Part 1:How to obtain a PIC
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PART II: The validation process
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The validation process:The validation process:
• The validation of a participant is unique and valid throughout the entire FP7 programme;
• During the validation of a legal entity, the validation services verify
the (i) legal existence and (ii) FP7 status of an applicant and (iii) the ICM;
• These verifications are based on supporting documents;
• Documents can be uploaded directly on the URF or sent via e-mail to the validation mailbox: [email protected];
• When sending an e-mail, always quote your PIC number and proposal number (when applicable) in the subject title.
Part 2: The validation process
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Types of Legal Entities under FP7:Types of Legal Entities under FP7:
• Public and Private• International Organisation• Higher or Secondary Education• Profit and non-profit• Research organisation• Enterprise• SME
The legal status of an organisation determines:• The maximum level of EC financial contribution for RTD
activities• The Indirect Cost Model
Part 2: The validation process
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Documents required for the validation:Documents required for the validation:
For All Types of entities:• The Legal Entity Form, dated, duly filled-in, signed and stamped
(please use only that which is appropriate to your status "Public" or "Private"); http://ec.europa.eu/budget/contracts_grants/info_contracts/legal_entities/legal_entities_en.cfm
For Public Entities:• A copy of the resolution or law or decree or decision legally
establishing your organisation; • Extract proving your VAT registration number or proof of VAT
exemption (not older than 6 months);
Note: Note: a "public body" has to be a legal entity established as such by national law, and international organisations. "Established" in turn signifies that the legal entity either has to be incorporated as a public body in the formal act or, governed by public law. (Article 2.13 of the FP7 rules)
Part 2: The validation process
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For Private Entities• An extract of registration in the Chamber of Commerce
(or its equivalent: Company Register, Official Journal etc) showing the name of your organisation, the address of the head office, its registration number.
• Extract proving your VAT registration number or proof of VAT exemption (not older than 6 months);
Part 2: The validation process
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Documents required for the validation:Documents required for the validation:
For Research Organisations: A legal document that proves that your organisation is:• considered as a non-profit organisation by national or international
law; and• carries out research or technological development as one of its main
objectives
For Non–profit Organisations:• A legal document which mentions the non-profit character of your
organisation.
Note:Note: (i)The absence of a lucrative aim does not necessarily imply the absence of profits; (ii) the commitment from an organisation to not redistribute profits to its shareholders is not a sufficient condition for the entity to be considered as "non profit".
Part 2: The validation process
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Definition of an ENTERPRISEDefinition of an ENTERPRISECOMMISSION RECOMMENDATION OF 6 MAY 2003
concerning the definition of micro, small and medium enterprises
– Article 1
«AN ENTERPRISE IS CONSIDERED TO BE AN ENTITY ENGAGED IN AN ECONOMIC ACTIVITY, IRRESPECTIVE OF ITS LEGAL FORM. THIS INCLUDES, IN PARTICULAR, SELF-EMPLOYED PERSONS AND FAMILY BUSINESS ENGAGED IN CRAFT OR OTHER ACTIVITIES, AND PARTNERSHIPS OR ASSOCIATIONS REGULARLY ENGAGED IN AN ECONOMIC ACTIVITY »
23Part 1: SME definition
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THE THRESHOLDSTHE THRESHOLDSCOMMISSION RECOMMENDATION OF 6 MAY 2003
concerning the definition of micro, small and medium enterprises
– STAFF HEADCOUNT (ARTICLE 5)
– ANNUAL TURNOVER (ARTICLE 4)
– ANNUAL BALANCE SHEET (ARTICLE 4)
ENTERPRISE
CATEGORY
STAFF
HEADCOUNT
ANNUAL TURNOVER OR ANNUAL BALANCE
SHEET TOTAL
•Medium-sized •< 250 •≤ EUR 50 million
AND/OR
•≤ EUR 43 million
•Small •< 50 •≤ EUR 10 million
AND/OR
•≤ EUR 10 million
•Micro •< 10 •≤ EUR 2 million
AND/OR
•≤ EUR 2 million
Part 2: The validation process
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AUTONOMOUS, PARTNER OR LINKED?AUTONOMOUS, PARTNER OR LINKED?COMMISSION RECOMMENDATION OF 6 MAY 2003
AUTONOMOUS
(Article 3.1)
PARTNER
(Article 3.2)
LINKED
(Art.3.3)
-Totally independent
-Holds less than 25% (capital or voting rights) in another and/or
-Another holds less than 25%
- Holds between 25% and 50% (capital or voting rights) in another and/or-Another holds between 25% and 50% - Not linked to another enterprise
-Direct or indirect control of the majority of voting rights/Capital
Part 2: The validation process
EXCEPTIONS (Art.3.2 (a-d)):
•Venture Capital Companies, Universities, Institutional Investors and Autonomous local authorities are permitted to hold a stake between 25% and 50% without affecting company’s autonomous status.
•An enterprise is NOT an SME if 25% or more of capital or voting rights are directly or indirectly controlled, jointly or individually, by one or more public bodies.
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Documents required for the validation of SME’s:Documents required for the validation of SME’s:• SME CHECK LIST
– Duly signed and bearing the name of the legal representative (provided by the REA)
• BALANCE SHEET– Clear mention of company’s total assets and liabilities (ANNUAL BALANCE SHEET
THRESHOLD)
• PROFIT & LOSS ACCOUNT• Clear mention of company’s turnover (ANNUAL TURNOVER THRESHOLD)
• The kind of income the company generates help us understand if it is involved in a commercial/economic activity.
• STATEMENT OF THE STAFF HEADCOUNT – In case there is no mention on any of the Balance Sheet, the Profit & Loss account
or accompanying notes
NB. According to Art.339 of the Lisbon Treaty « EC Staff is not allowed to disclose any information about undertakings, their business relations or their cost components. » Protection of data is also mentioned in the Code of Good Administrative Behaviour and FP7 rules for participation.
26Part 2: The validation process
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Part 2: The validation process
The ICM options:The ICM options:• In FP7- 4 methods available for overheads:
– 1.a Actual (real) indirect costs; – 1.b Simplified method for determining real indirect costs; – 2. Standard Flat Rate (20%)
– 3 . Specific Flat Rate of 60%.
• The choice of the ICM is related to the legal status of your organisation and to the type of accounting system that you use.
• ICM is unique for the legal entity in all grants
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Once the validation completed:Once the validation completed:
• Based on the supporting documents, the Validation Services determines the FP7 status of the organisation;
• The participant receives an e-mail with his final PIC number, his FP7 status and the link for appointing the Legal Entity Appointed Representative (LEAR). http://cordis.europa.eu/fp7/urf-lear_en.html
Part 2: The validation process
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PART III: After Validation
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LEAR role and responsibilities:LEAR role and responsibilities:
• Contact person between an organisation and the EC;
• responsible for providing the Commission with up-to-date legal and financial data and commits to maintain the information up-to-date ;
• communicates his/her role internally in his/her organisation and provides the PIC to other employees dealing with proposals and grant agreements;
• Only person allowed to request updates to a valid PIC number;
• Can nominate account administrator in the Participant Portal
Part 2: The validation process
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Part 3: After validation
LEAR request: WorkflowLEAR request: Workflow
• LEAR registers change request via URF
• Validation Services request supporting documents
• Analysis of the documents received
• Validation Services accept or reject the change request
• Confirmation mail is sent to LEAR
• Automatic notification to all project officers of grants (ongoing and in negotiation) in which the PIC appears