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Rules for Participation and Dissemination

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Title: Rules for Participation and Dissemination


1
Rules for Participation and Dissemination
Elements of the H2020 Model Grant Agreement
THE EU FRAMEWORK PROGRAMME FOR RESEARCH AND
INNOVATION
HORIZON 2020
  • Alexandros IATROU
  • DG RTD G.7

2
  • Rules for participation Three main objectives
  • Innovation,
  • Simplification
  • and Coherence

Innovation
Coherence
Simplification
3
  • I. Simplification and Coherence Main Principles
  • A single set of rules
  • A single funding rate
  • A single indirect cost model
  • Further simplification efforts

4
  • A single set of rules

Covering all H2020 research and innovation actions
EU FinancialRegulation Specific rules for
participation
Keeping flexibility where needed.
5
  • A new framework for the Euratom Fusion main
    programme

EFDA, COA, exploitation of JET to be integrated
under a Programme Co-Fund Action GRANT taking
full advantage of clarity of H2020 rules,
supported by a new contract for the operation of
JET
Article 6.3 Order
EU FinancialRegulation Specific rules for
participation
FU07-CT-2007-00059
FU07-CT-2007-00048
FU07-CT-2007-00049
FU07-CT-2007-00050
FU07-CT-2007-00051
FU07-CT-2007-00052
FU07-CT-2007-00053
FU07-CT-2007-00054
Exploitation
JIA
Priority support
6
  • A single funding rate

FP7
  • One project One rate
  • For all beneficiaries and all activities in the
    grant.
  • Defined in the Work Programme
  • Up to 100 of the eligible costs
  • but limited to a maximum of 70 for innovation
    projects (exception for non-profit organisations
    - maximum of 100)
  • Specific reimbursement rates for programme
    co-fund actions

Maximum reimbursement rates Research and technological development activities () Demonstration activities Other activities
Network of excellence 50 75 () 100
Collaborative project() 50 75 () 50 100
Coordination and support action 100 ()
() Research and technological development
includes scientific coordination. () For
beneficiaries that are non-profit public bodies,
secondary and higher education establishments,
research organisations and SMEs () The
reimbursement of indirect eligible costs, in the
case of coordination and support actions, may
reach a maximum 7 of the direct eligible costs,
excluding the direct eligible costs for
subcontracting and the costs of resources made
available by third parties which are not used on
the premises of the beneficiary. () Including
research for the benefit of specific groups (in
particular SMEs)
7
  • Single indirect cost model

8
  • New funding model what impact on the EU
    contribution?
  • An example

        Direct costs Indirect costs Total costs EU contribution EU contribution
Flat-rate (60) Flat-rate (60) Flat-rate (60) 100 60 160 75 120
FP7
Majority of HES RTOs
        Direct costs Indirect costs Total costs EU contribution EU contribution
100/25 Funding 100/25 Funding 100/25 Funding 100 25 125 100 125
9
  • Time to grant speeding up the process
  • A maximum TTG of 8 months

3 monthsfor signature of GA
Some exceptions apply, including complex actions
or where requested by applicants
10
  • Time to grant speeding up the process cont'd
  • How to speed upthe process
  • Preparation rather than negotiation
  • - Each proposal evaluated 'as it is', not as
    'what could be'
  • - Final GA based to maximum extent possible on
    Part B of the proposal
  • Legal entity validated in parallel
  • No more paper
  • e-communication e-signature of grants.

11
  • Other Simplification Efforts

12
  • Controls and Audits

13
  • II. What is new?
  • Types of actions and forms of funding
  • Specific Instruments
  • Importance of Work Programme
  • International Participation and IPR
  • Elements of the Model Grant Agreement

14
  • Conditions for Participation
  • Minimum conditions
  • Standard collaborative actions
  • At least three legal entities each established in
    a different Member State or an Associated
    Country
  • ERC, SME instrument, programme co-fund,
    coordination and support, training and mobility
    actions
  • One legal entity established in a Member State or
    in an Associated Country
  • Additional Conditions
  • In the work programme
  • Number of participants, nature of participants

15
  • Forms of funding
  • WE KEEP
  • Use of Grant Agreements
  • Actual costs

16
  • Forms of funding cont'd

NEW
  • What is
  • Specific provisions targeting innovation
  • pre-commercial procurement
  • procurement of innovative solutions
  • inducement prizes
  • Financial instruments
  • a debt financial instrument,
  • a financial instrument providing equity finance
    for RI, etc.
  • Possibility of output-based grants (lump-sums per
    project)
  • Enhanced use of other lump-sums, flat rates and
    unit costs

17
  • Types of Actions
  • Research and Innovation Actions v. Innovation
    Actions (through collaborative projects)
  • Coordination and Support Actions (through calls
    for proposals or to identified beneficiaries)
  • Programme Co-fund Actions
  • ERA-NET
  • PCP-PPI (not in current Energy WPs)
  • Marie Sklodowska-Curie (separate Work Programme)
  • European Joint Programme (Euratom Work Programme
    only)
  • Other Types of Actions
  • SME Instrument
  • Financial Instruments
  • Prizes
  • Procurement (studies, conferences, specific
    services)

18
  • Types of Actions Research/Innovation
  • Research and Innovation Actions NO RfP
    definition but description in the WP annexes
  • They are actions with Research and Development
    activities as the core of the project intending
    to establish new scientific and technical
    knowledge and/or explore the feasibility of a new
    or improved technology, product, process, service
    or solution
  • - may include basic and applied research,
    technology development and integration, testing
    and validation on a small-scale prototype in a
    laboratory or simulated environment
  • - may contain closely connected but limited
    demonstration or pilot activities aiming to show
    technical feasibility in a near to operational
    environment
  • 100 funding rate
  • "Pure" Innovation Actions RfP definition
  • "'Innovation action' means an action primarily
    consisting of activities directly aiming at
    producing plans and arrangements or designs for
    new, altered or improved products, processes or
    services. For this purpose they may include
    prototyping, testing, demonstrating, piloting,
    large-scale product validation and market
    replication"
  • 70 funding rate (100 for non-profit legal
    entities)

19
  • Types of Actions Research/Innovation cont'd
  • Overlaps
  • 'prototyping', 'testing', 'demonstrating' and
    'piloting' not specific to innovation activities
    they are also used to describe research and
    development activities (100 funding)
  • In the case of a Research and Innovation action,
    these activities are undertaken on a small scale
    prototype, in a laboratory or simulated
    environment
  • Innovation projects may include limited research
    and development activities
  • Type of project expected, funding and
    Technology Readiness Level scale indicated in
    the WP topics

20
  • Types of Actions Coordination and Support
  • Coordination and Support Action
  • Actions consisting primarily of accompanying
    measures such as standardisation, dissemination,
    awareness-raising and communication, networking,
    coordination or support services, policy
    dialogues and mutual learning exercises and
    studies, including design studies for new
    infrastructure and may also include complementary
    activities of strategic planning, networking and
    coordination between programmes in different
    countries.
  • Substantially similar to FP7

21
  • Specific types of action
  • SME Instrument
  • Fast Track to Innovation Pilot
  • NOT IN EURATOM H2020 REGULATION OR WORK PROGRAMME

22
  • Specific types of action Programme co-fund
  • Programme co-fund
  • 'programme co-fund action' means an action funded
    through a grant the main purpose of which is
    supplementing individual calls or programmes
    funded by entities, other than Union bodies,
    managing research and innovation programmes. A
    programme co-fund action may also include
    complementary activities of networking and
    coordination between programmes in different
    countries'
  • ERA-NET
  • Pre-Commercial Procurement and Public Procurement
    of Innovative Solutions ('PCP'-'PPI')
  • - Not in Energy WP (only preparatory CSA
    actions)
  • Marie Sklodowska-Curie (separate stand-alone
    H2020 WP)
  • European Joint Programme ('EJP') Euratom WP
    only (Fusion, radioprotection)

23
  • Specific types of actions - Prizes
  • Inducement and recognition prizes
  • Three main aims
  • Stimulate groundbreaking technologies
  • Mobilize private research and innovation
    investments
  • Generate public enthusiasm for new technologies
  • Subject to contests
  • Directly foreseen in the Work Programme
  • Organized by a beneficiary of a CSA
  • Rules exhaustively set in Work Programme

24
  • The importance of the Work Programme
  • Work Programme may
  • Restrict eligibility of participants from third
    countries (e.g. security concerns, reciprocity)
  • Introduce additional eligibility criteria
  • Number of participants, type of participant and
    place of establishment
  • Lay down further details for the application of
    the award criteria, and specify weighting and
    thresholds see general annexes
  • Specify third countries that are eligible for
    funding
  • Specify the funding rate for an action
  • Specify that lump sums or scale of unit costs can
    be used for an action (subject to prior separate
    Commission Decision)
  • Identify beneficiaries for grants without a call
    for proposals

25
  • International Cooperation
  • ParticipationOpen for all legal entities
    established in third countries and for
    international organisations.
  • Funding
  • Third country identified in the Work Programmeor
  • participation deemed by the Commission essential
    in the actionor

Restrictions only possible if introduced in the
work programme.
  • For reciprocity reasons
  • For security reasons
  • when provided under a bilateral scientific and
    technological agreement

26
  • Intellectual Property Rights

We keep
  • Transfer and exclusive licences outside the
    EU/Euratom/Associated Countries
  • the grant agreement may foresee right to object
    if a participant has received Union funding
  • Access rights
  • for implementation and for exploitation purposes
    (also for affiliated entities established in
    MS/AC)
  • Tailor-made provisions in the MGA for EURATOM
  • Ownership for the participant
  • Protectionwhere appropriate
  • Exploitation
  • Dissemination

27
  • IPR Dissemination - Access

NEW
  • What is
  • Additional exploitation/dissemination
    obligations
  • (in the Work Programme)
  • Open access
  • obligatory for peer-reviewed scientific
    publications and,
  • to research data (in appropriate areas and when
    foreseen in the work programme)
  • Access rights
  • for the Union/Euratom under all parts of the
    programme and,
  • for MS under 'Secure societies'
  • Specific provisions
  • for pre-commercial public procurement and
  • for procurement of innovative solutions

28
  • Open Access
  • Decision whether to publish or not belongs to
    beneficiary
  • Once decision taken
  • Deposit machine-readable electronic copy of the
    published version or final peer-reviewed
    manuscript accepted for publication in a
    repository for scientific publications
  • Ensure open access through
  • Self-archiving / 'green' OA through the
    depositary within a maximum of six months from
    publication
  • Open access publishing / 'gold' OA, through open
    access journals
  • Costs of open access incurred during the GA are
    eligible for reimbursement
  • See also Participant portal - Guidelines on Open
    Access to Scientific Publications and Research
    Data

29
  • The H2020 Model Grant Agreement

30
  • MGA Annexes to the grant

Disclaimer Information not legally binding
31
  • MGA - Implementation
  • The beneficiaries must have the appropriate
    resources to implement the action
  • If it is necessary to implement the action, they
    may however
  •  
  • purchase goods, works and services best value
    for money basis
  • Public authorities subject to procurement rules
  • use subcontracting to implement action tasks
    best value for money basis
  • Public authorities subject to procurement rules
  • call upon "Linked Third Parties" to implement
    action tasks
  • use in-kind contributions (resources) provided by
    third parties against payment or free of charge
  • In principle, all major costs, third party
    involvement and subcontracting to be indicated in
    the Description of Work

32
MGA - Personnel costs novelties
  • Less requirements for time records
  • Example No time records for researchers working
    exclusively on the project.
  • Wider acceptance of average personnel costs
  • Broadening the acceptance of usual cost
    accounting practices (including cost-centre
    approaches) as unit costs.
  • Acceptance of additional remuneration
  • ? Limited to non-profit legal entities
  • ? Up to 8000 Euro/year/person working full-time
    exclusively in the action
  • ? Subject to specific conditions

33
MGA - Third Parties carrying out work in the
action Linked Third Parties
  • Equivalent to FP7 Special Clause 10
  • Must be identified in the GA
  • Same cost eligibility criteria than beneficiaries
  • NEW COM or Agency may request them to
    accept joint and several liability for their EU
    contribution
  • Article 14 MGA

Linked third parties
!
34
MGA - Third Parties carrying out work in the
action - Subcontractors
Linked third parties
  • Ensure best value for money and avoid any
    conflict of interests
  • Estimated costs and tasks must be identified in
    the budget and Annex 1
  • NEW if not identified in Annex 1,
    Commission may still approve them (beneficiary
    bears the risk of rejection)
  • Article 13 MGA

!
35
MGA Other Third Parties
  • For the purchase of goods, works or services
  • Ensure best value for money and avoid any
    conflict of interests
  • Article 10 MGA
  • Free of charge or against payment are eligible
    costs if they meet the eligibility conditions
  • Must be set out in Annex 1
  • NEWif not identified in Annex 1,
    Commission may still approve them (beneficiary
    bears the risk of rejection)
  • Articles 11 12 MGA

!
36
  • Further Information

Participant Portal - http//ec.europa.eu/research/
participants/portal/desktop/en/home.html
Horizon 2020 Documents http//ec.europa.eu/researc
h/participants/portal/desktop/en/funding/reference
_docs.html
Horizon 2020 On-line Manual http//ec.europa.eu/re
search/participants/portal/desktop/en/funding/guid
e.html
  • Questions? Research Enquiry Service
    http//ec.europa.eu/research/enquiries

37
Thank you very muchfor your attention!
  • Find out more
  • www.ec.europa/research/horizon2020
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