Research Executive Agency

Katrien Steijleman

REA.A1 « FP7 Support Unit »

URF – PDM Presentation

Coordinators Information day7 May 2012

AgendaAgenda

• Part 1: How to obtain a PIC in the URF• Part 2: The validation process

• 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

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

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

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

Click on ‘register’Click on ‘register’

Part 1:How to obtain a PIC

Welcome page in the registration processWelcome page in the registration process

Part 1:How to obtain a PIC

Part 1:How to obtain a PIC

Step 1: Enter the status of the organisationStep 1: Enter the status of the organisation

Part 1:How to obtain a PIC

Step 2: Enter organisation informationStep 2: Enter organisation information

Part 1:How to obtain a PIC

Step 3: Enter address informationStep 3: Enter address information

Part 1:How to obtain a PIC

Step 4: Enter contact informationStep 4: Enter contact information

Part 1:How to obtain a PIC

Step 5: Enter the ICMStep 5: Enter the ICM

Part 1:How to obtain a PIC

Step 6: review the dataStep 6: review the data

Part 1:How to obtain a PIC

PIC registration donePIC registration done

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

PART II: The validation process

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: REA-URF-Validation@ec.europa.eu;

• When sending an e-mail, always quote your PIC number and proposal number (when applicable) in the subject title.

Part 2: The validation process

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

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

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

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

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

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

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.

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

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

 

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

PART III: After Validation

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

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

Questions?

Contact details:

REA-URF-Validation@ec.europa.eu