Innovation and Networks Executive Agency

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Innovation and Networks Executive Agency

TENtec Action Status Report (ASR) module (release 3.0) User Manual

Date: 02/03/2016

Version: 0.2

Authors: Martin Valovic

Revised by: TBD

Approved by: TBD

Public: Yes

Reference Number: 0.2

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TABLE OF CONTENTS

1. INTRODUCTION .......................................................................................................................................... 4

1.1. Contact ..................................................................................................................................................... 4

2. YOUR CEF ANNUAL STATUS REPORTS SCREEN .......................................................................................... 5

3. MAIN INFORMATION SCREEN .................................................................................................................... 5

4. STEP 1: ACTION PROGRESS SCREEN ........................................................................................................... 6

4.1. Edit actual/foreseen Action dates ............................................................................................................ 6 4.2. Edit Overview of progress of the Action in % ........................................................................................... 6 4.3. Action progress ........................................................................................................................................ 7 4.4. Overview of progress since the start of the Action .................................................................................. 7

5. STEP 2: ACTIVITIES OVERVIEW SCREEN ..................................................................................................... 8

5.1. Page 1 of 2 under step 2 .......................................................................................................................... 8 5.1.1. Activity details ....................................................................................................................................... 9 5.1.2. Milestone progress ............................................................................................................................. 10 5.2. Page 2 of 2 under step 2 ........................................................................................................................ 11 5.2.1. Technical progress .............................................................................................................................. 11 5.2.2. Costs .................................................................................................................................................... 11

6. STEP 3: ACTIVITY PROGRESS SCREEN ....................................................................................................... 12

7. STEP 4: VISIBILITY AND OTHER SOURCES OF EU FUNDS SCREEN ............................................................ 13

8. STEP 5: COMPLIANCE WITH EU LAW SCREEN .......................................................................................... 14

9. STEP 6: IMPLEMENTATION SCREEN ......................................................................................................... 14

10. ATTACH SUPPORTING DOCUMENTS SCREEN ........................................................................................ 16

10. CHECK ASR WORKFLOW STATUS SCREEN .............................................................................................. 17

10.1. ASR submission workflow .................................................................................................................... 18 10.1.1. NOT STARTED .................................................................................................................................... 18 10.1.2. DRAFT ................................................................................................................................................ 18 10.1.3. MS_CERTITICATION ........................................................................................................................... 18 10.1.4. SUBMITTED ....................................................................................................................................... 18

MS CERTIFICATION AND SUBMISSION ........................................................................................................ 19

11. FURTHER PRE-FINANCING ...................................................................................................................... 20

12. DOWNLOAD SCREEN .............................................................................................................................. 26

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Document History

Version Date Comment Modified Pages

0.1 29/01/2016 Document created by VALOVIC Martin all

0.2 02/03/2016 Further pre-financing added 2, 4, 20-26

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1. INTRODUCTION

TENtec Action Status Report (ASR) module is accessible via a direct link https://webgate.ec.europa.eu/tentec/grant/asreport/

or via TENtec portal https://webgate.ec.europa.eu/tentec

It is strongly suggested to encode the information according to the steps visible on the left-side bar.

1.1. Contact

For ASR related questions you can contact the agency at INEA-ASR@ec.europa.eu .

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2. YOUR CEF ANNUAL STATUS REPORTS SCREEN

The first screen shows the list of all the Annual Status Reports (ASRs) where you are assigned as an author.

There is an entry for each ASR where you are the author (if you are reporting for several Actions). The ASR status is NOT_STARTED and will change to DRAFT when you introduce any changes.

The table shows Action code, title, ASR exercise year and the status for each report. Click anywhere in the table row to select an ASR for encoding.

3. MAIN INFORMATION SCREEN

The "Main information" screen shows information on the Action, reporting period, exercise year and author(s). All data in this screen are read-only.

All CEF Transport Actions have only one ASR author. CEF Energy Actions without a co-ordinator might have more than one author, in such a case all the authors have to finalize before the ASR can be submitted.

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4. STEP 1: ACTION PROGRESS SCREEN

This page is divided into parts 'Overall progress of the Action', 'Action cumulative progress', 'Action progress' and 'Overview of progress since the start of the Action'.

To enter data press the corresponding 'Edit' button, fill in the pop-up window and save your changes.

Actual/foreseen start & end dates must be filled in before you can proceed with Step 2. The foreseen duration of the Action determines the costs structure (years for which there are costs reported in Step 2).

4.1. Edit actual/foreseen Action dates

The actual/foreseen start and end dates mark the total duration of the Action. All other dates reported in this report must fall within those dates. All milestones, activities and costs can occur only within the period specified here.

4.2. Edit Overview of progress of the Action in %

Progress of the Action should be 100% by the end of the Action. If not, please make sure to explain under points 2.4.1 and/or 2.5 why the Action will not be 100% implemented by the actual/foreseen end date reported above. The progress is cumulative, e.g. if for the first year you mark a progress of 10%, for the second year the progress must be of a least 10%.

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4.3. Action progress

Progress achieved at the end of the reporting period must be a number (%).

Explanation how the percentage is calculated is a text not longer than 2000 characters.

4.4. Overview of progress since the start of the Action

The overview should include a description of the actual progress at the end of the reporting period, referring to the main issues, milestones and events that affected progress.

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5. STEP 2: ACTIVITIES OVERVIEW SCREEN

Before you start filling in the forms in Step 2 please make sure you entered the actual/foreseen start & end dates in Step 1 (the start & end dates of the Action). Unless those dates are provided you will not be able to proceed in this screen.

This screen contains a list of all Action's activities ordered in a table showing activity number, title and, when encoded, the actual/foreseen start and end dates. Click anywhere in an activity row to open a pop-up window to edit the data per activity.

For each activity there are two pop-up pages to work with. The 1st page is dedicated to activity duration, progress for the reporting period and milestones. The 2nd page contains activity technical progress during the lifecycle of the activity and cost data.

5.1. Page 1 of 2 under step 2

The page is divided in two parts: Activity details and Milestone progress.

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All fields are mandatory except 'Explanation for deviation' if the milestone's 'planned completion date' does not deviate from 'actual/foreseen completion date'.

5.1.1. Activity details

1. Actual/foreseen start and end dates of the activity

2. Progress achieved at the end of the reporting period (in %)

3. Explanation how the percentage has been extimated/calculated

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5.1.2. Milestone progress

The numbering of milestones corresponds to their number in the Grant Agreement. For each milestone enter the actual/foreseen completion date. Answer whether the milestone was completed (yes or no). If the planned completion date and actual/foreseen completion dates differ provide as well an explanation for this deviation.

Only milestones with completion date in the past can be labeled as reached. If the foreseen date is in the future the milestone must be labeled as not reached.

To save entered data and to proceed to page 2 of step 2 click the button 'Save and proceed'.

After pressing 'Save and proceed' button on pages 1 you may be asked to confirm the Action duration. Whenever the duration of an activity changes to last more, additional cells to accommodate costs in the added years are created and the author of report must confirm this. Similar confirmation appears when duration is shortened and cells from cost table will be deleted.

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5.2. Page 2 of 2 under step 2

5.2.1. Technical progress 'Cumulative progress % updated' fields gather data on current assessment of activity progress. Fill in values that describe activity progress.

'Cumulative progress % previous ASR' shows progress reported in previous ASR and is read-only. It shows no values for the first ASR.

Enter values in the 'Cumulative progress % updated' fields.

5.2.2. Costs

The page is prefilled with the information from the Grant Agreement (for the first ASR) and displays a grid with columns for each year of activity duration and a row for each beneficiary linked to this activity. Two decimals are allowed when entering costs. For CEF-energy Actions without a coordinator the authors of the ASR should closely coordinate the encoding.

'Cancel and back' button will take you back to page 1.

'Finish' will save the page 2 (costs), close the popup and show the list of all activities.

'Cancel' will discard the changes you made to page 2, close it and show the list of all activities.

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6. STEP 3: ACTIVITY PROGRESS SCREEN

This page contains 3 questions of which all need to be answered.

The answer length is limited to 2000 characters. To answer a question click on the 'Edit' button and enter your answer in the pop-up window that appears.

To save your answer and close the pop-up press the 'Save' button.

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7. STEP 4: VISIBILITY AND OTHER SOURCES OF EU FUNDS SCREEN

To answer the question 3 Visibility of Union funding click on the 'Edit' button and enter your answer in the popup window. For CEF-energy only the same should be repeated for the question 4 Other Sources of EU funds. The length of the answer is limited to 2000 characters.

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8. STEP 5: COMPLIANCE WITH EU LAW SCREEN

There are two questions to be answered in screen 'Step 5: Compliance with EU law'. Both answers are mandatory and limited to 2000 characters in length. To answer a question click on the 'Edit' button and enter your answer in the pop-up window.

9. STEP 6: IMPLEMENTATION SCREEN

This page asks three questions about the implementation schedule, governance and monitoring and other relevant administrative provisions. Pressing 'Edit' button will cause a pop-up window to appear where you can type the answer. All answers are mandatory and must not be longer than 2000 characters.

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10. ATTACH SUPPORTING DOCUMENTS SCREEN

To upload a document (other than the MS certification) press the 'Upload an additional file' button. The maximum file size of uploaded file is 30 MB.

Navigate to the file you wish to upload and press the 'Upload' button.

The added file appears in the 'Supporting documents' table together with author identification, upload date and a file delete button. The file name is an active link to the uploaded file.

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10. CHECK ASR WORKFLOW STATUS SCREEN

This screen shows the ASR status and additional information depending on the ASR status.

While the status is DRAFT the page lists all validation errors (missing mandatory data) that prevent the report from finalising. You can check the ASR Workflow Statis screen at any time while you are encoding information.

Once you fill in all mandatory data the 'Finalize ASR' button will appear.

Clicking 'Finalize ASR' will promt you to confirm the Action and when done so, the status will change to MS_CERTIFICATION.

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10.1. ASR submission workflow

10.1.1. NOT STARTED The ASR's first status, until you make any changes, is NOT_STARTED. It is shown in the list of your ASRs and in the tab "Check ASR workflow status".

10.1.2. DRAFT

ASR status DRAFT applies from your first edit to the ASR until you finalise it. ASR finalisation is necessary to proceed to Member State certification.

The 'Finalise ASR' button will appear in the tab 'Check ASR workflow status' when you fill in all mandatory data. Clicking 'Finalise ASR' will promt you to confirm the Action and when done so, the status will change to MS_CERTIFICATION.

10.1.3. MS_CERTITICATION Status MS_CERTIFICATION means that ASR was finalized by the author and Member State (MS) certification is ongoing.

Upload the signed certification form and submit the ASR.

10.1.4. SUBMITTED MS certified ASR is considered submitted.

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MS CERTIFICATION AND SUBMISSION

This screen shows a list of all beneficiaries that should provide MS Certification form.

After you upload the certificate for each beneficiary, the 'Submit ASR' button is activated and you can submit the ASR. The maximum file size of uploaded file is 30 MB.

If your ASR has multiple authors, each of them need to press the 'Submit ASR' button after MS certification forms were uploaded.

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11. FURTHER PRE-FINANCING

This screen will be displayed only for the actions receiving a first and further pre-financings. You should refer to the article 4 of the grant agreement in order to know if you are eligible or not. Please consult the grant agreement articles II.23.1.1 & II.24.1.3 where all the conditions are described.

In case you are eligible for a further pre-financing, you will find the legal name of the coordinator (or Beneficiary) with the option "Opt in/out". Please note that no default option is pre-selected and that to opt out you will have to go throughout the opt in option first.

For actions without coordinator, each beneficiary will have access to the screen.

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You can access to the dedicated window by clicking on the legal name.

The window contains a maximum 4 blocks which are independent from each other. Depending on the condition of the grant agreement, you may have only 2 or 3 blocks available.

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Block I – Amount of previous pre-financing(s) used to cover costs of the Action

As foreseen in the grant agreement, you must at least certify that 70% of the previous pre-financing(s) received has been already used, in order to be eligible for a full further pre-financing. The verification of the condition is made automatically by comparing your total eligible costs reported for the previous reporting period(s) and the pre-financing payment(s) already made.

In case, your action does not comply with the rule, a reduction will be automatically calculated which corresponds to the difference between the 70% threshold and the amount used.

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Block II – Amount of the requested further pre-financing

The amount of the further pre-financing payment is calculated automatically taking into account:

1. the total eligible costs reported until the end of the current reporting period in the financial tables

2. the total financing needs reported until the end of the current reporting period in the financial tables

3. the further pre-financing rate as specified in the grant agreement

4. the possible reduction of the pre-financing in case the 70% rule is not fulfilled (see block I)

In addition to the above, the system will implement additional controls to verify that the conditions set out in the grant agreement are respected, in particular (1) the limitation of the further pre-financing amount which should not exceed the maximum pre-financing the action is entitled to receive and (2) the ceiling applicable for the total pre-financing and interim payments made before the payment of the balance, where

(1) Grant agreement – article 4.1.2

Max Pre-financing = Pre-financing rate * total EU contribution for the Action (or for the beneficiary in case there is no coordinator)

(2) Grant agreement – article 4.1.3

Max payment for pre-financing(s) and interim payments set at 80% = Total payments made is limited to 80% * total EU contribution for the Action (or for the beneficiary in

case there is no coordinator)

The rules will apply to the full action (with a coordinator) or to the individual beneficiaries (without a coordinator)

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Block III (if applicable) – Allocation of the amounts to be paid to each beneficiary and the methodology used

In case the grant agreement foresees that the coordinator is not the sole recipient of the payments, the coordinator notifies the Agency of the amounts which should be paid to each co-beneficiaries.

Under this block, the coordinator shall include the amounts to be paid and the method for allocating the amounts to be paid to each beneficiary (he will be requested to include a free text to briefly state the method). At this stage, the coordinator should not provide long and detailed analysis but rather the general principle which is applied.

Please note that the sum of the amounts allocated to each beneficiary cannot be greater than the further pre-financing amount calculated under Block II.

Block IV (if applicable) – The financial guarantee(s)

As stipulated in article 4.1.2 of the grant agreement, the payment of the further pre-financing may be subject to the receipt of a financial guarantee.

a. actions where both the co-ordinator and co-beneficiary(ies) are subject to submit a guarantee

The coordinator will be asked to submit a guarantee for the full amount of the further pre-financing. The guarantee can be reduced at a later stage after the receipt of the proof that the amounts have been distributed to the co-beneficiaries.

b. actions where only the co-beneficiary(ies), not the co-ordinator, are subject to submit a guarantee

The coordinator will be responsible to include the amounts which will be distributed to the beneficiaries listed. The financial guarantees should be provided to the Agency for the corresponding amounts.

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c. actions with no coordinator

The amount reported in the block should be equal to the amount of the further pre-financing the beneficiary is entitled to.

Please take note that the further pre-financing will only be paid upon receipt of the original financial guarantees

The data registered in the further pre-financing screen will be used to establish your further pre-financing request and therefore the ASR author should carefully verify all the information included in the tab and in particular the amounts included in Block III and IV.

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12. DOWNLOAD SCREEN

This screen contains links to all files that you can download from the ASR application at any time during encoding.

- MS Word version of the Annual Status Report

- Financial annex

- if applicable the further pre-financing request