2 Rules for participation: Three main objectives Innovation,Simplificationand CoherenceInnovationRfPHorizon2020SimplificationCoherence
3 1. A single set of rules Keeping flexibility where needed. etc. EU Financial RegulationSpecific rules for participationCovering all H2020 research and innovation actionsEU Financial RegulationSpecific rules for participationKeeping flexibility where needed.Based on the new Financial Regulation and its Rules of Application;Coherent with the rules of the other EU programmes(CIP, art.185 initiatives, art. 187 initiatives, EIT, Euratom);
4 2. Conditions for Participation Minimum conditionsStandard collaborative actionsAt 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 (for CSA and mobility actions anywhere in the world).Additional ConditionsIn the work programme or work plan.
5 STANDARD AWARD CRITERIA 3. Evaluation of proposalsSTANDARD AWARD CRITERIAQUALITY &EFFICIENCYOF THE ACTIONIMPACTEXCELLENCEERC frontier Research actions only EXCELLENCEInnovation actions higher weighting for "IMPACT"
6 5 mont hs for informin g all applican ts on scientifi c evaluati on 4. Time to grant: speeding up the process - IA maximum TTG of 8 months5 mont hs for informin g all applican ts on scientifi c evaluati on3 months for signature of GAERC, duly justified cases (complex actions) or where requested by applicantsSome exceptions apply
7 5. Time to grant: speeding up the process - II How to speed up the processNo more negotiations:each proposal evaluated 'as it is',not as 'what could be';Legal entity validated in parallel.No more paper:e-communication & e-signature of grants.Based GAs to the maximum extent possible on the Description of Work proposed by the applicant;
8 6. Forms of funding - IWE KEEPUse of Grant AgreementsActual costs
9 NEW 7. Forms of funding - II What is Specific provisions targeting innovation:pre-commercial procurement,procurement of innovative solutionsand inducement prizes.Financial instruments:a debt financial instrument,a financial instrument providing equity finance for R&I, etc.Possibility of output-based grants (lump-sums per project).Enhanced use of other lump-sums, flat rates and unit costs.
10 Maximum reimbursement rates Demonstration activities 8. A single funding rateFP7One project = One rateFor 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%).Maximum reimbursement ratesResearch and technological development activities (*)Demonstration activitiesOther activitiesNetwork of excellence50%75% (**)100%Collaborative project(****)Coordination and support action100% (***)(*) 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)
11 9. Cost reimbursement Personnel costs Wider acceptance of average personnel costsAcceptance of supplementary paymentsfor non-profit organisations of up to euros/year/personSimplifying participation for SMEsLess requirements for time records…and more in the Horizon Model Grant AgreementCost system for SME owners and physical persons without a salaryNo time records for researchers working exclusively on the projectSimplified provisions on productive hours and clear minimum rules on time-recording
12 FP7 10. Single indirect cost model 20% ? 60% ? Real ? Simplified? Single model:25 % Flat RateFP7Simplifying project management and reducing recurrent errors. Combined with practical guidance for large research infrastructures on how costs can be accepted as direct costs
13 11. New funding model: what impact on the EU contribution? An exampleDirect costsIndirect costsTotal costs% EU contributionEU contributionFlat-rate (60%)1006016075%€ 120FP7Majority of HES & RTOsDirect costsIndirect costsTotal costs% EU contributionEU contribution100/25 Funding10025125100%€ 125In FP7, around 90 % of the Universities and more than a half of the Research Organisations apply the 60 % flat-rate for indirect costs.For all these participants the impact on the EU contribution of the H2020 funding model will be favourable:
14 12. Specific procedures - I Fast Track to Innovation Pilot:To be launched in 2015, with the following featuresmaximum of 5 partners/ maximum €3 M per projectBottom-up approachContinuously open call with three cut-off dates per yearTime to grant not exceeding 6 monthsCovering all fields across LEITs (Leadership in enabling and industrial technologies) and Societal Challenges
15 13. Specific procedures - II SME Instrument:Implemented via single centralised management structureBottom-up approachContinuously open callOnly SMEs eligible for participation
16 14. Controls and Audits Financial viability Audit certificates Restricted to coordinators for projects ≥ €500 k€Audit certificatesOnly for final payments/per beneficiary /for actual costs ≥ € €Optional Certificates on average personnel costsEx-post auditsProvisions in Horizon 2020 Regulation!Commission's audits up to two years after payment of the balanceAudit strategy focused on risk and fraud preventiondetails in the MGAExtrapolationNew Financial Regulation will applyContinuity with FP7Guarantee Fund
17 15. International Cooperation - I Participation Open for all legal entities established in third countries and for international organisations.Restrictions only possible if introduced in the work programme.For reciprocity reasons;For security reasons.
18 16. International Cooperation II FundingThird country identified in the Work Programme orparticipation deemed by the Commission essential in the action orwhen provided under a bilateral scientific and technological agreement
19 17. Intellectual Property Rights - I We keepOwnershipfor the participant who generates results,joint-ownership only in specific circumstancesProtection where appropriateExploitationGeneral obligation to exploitDisseminationprinciple maintained;
20 18. Intellectual Property Rights - II Transfer and exclusive licences outside the Union/Associated Countriesthe grant agreement may foresee right to object if a participant has received Union fundingAccess rightsfor implementation and for exploitation purposes (also for affiliated entities established in MS/AC)Tailor-made provisions in the MGA for:security-related activities,ERC frontier research,SME instrument,mobility,
21 NEW 19. Intellectual Property Rights - III What is Additional exploitation /dissemination obligations(in the work programme)Open access:obligatory for scientific publications and,to research data (in appropriate areas and when foreseen in the work programme)Access rights:for the Union under all parts of the programme and,for MS under 'Secure societies',
22 Published as a Commission Decision in December 2013 Model Grant AgreementPublished as a Commission Decision in December 2013
23 Simplification Flexibility Coherence Continuity Horizon 2020 model Grant Agreement:ObjectivesSimplificationProvisionsWordingFlexibilityTo accommodate particularitiesUsual cost accounting practicesCoherenceWithin H2020 and with other EU programmesContinuityWhere possible and adequate
24 Accommodating specificities Horizon 2020 model Grant Agreement:Accommodating specificitiesGeneral Model Grant AgreementERC MGASME instrument MGACo-fund MGAMarie-Sklodowska Curie MGA
25 General conditions Annex II Specific provisions Annexes III Horizon 2020 model Grant Agreement:A single document with all provisionsGeneral conditions Annex IICore textSpecial clausesSpecific provisions Annexes IIIFP7
26 Grant AgreementSome noveltiesGlobal architecture common with the other EU programmes; with all the possibilities offered by the new FRTerminology: terms and meanings defined in the Financial Regulation except for those terms specific to H2020On-line explanations for each article of the grant ("annotated GA")26
27 Electronic communication for the management of the Grant: Electronic signatureOf the Grant AgreementOf the AmendmentsFinancial Statements and Technical reportsCommunication between the Commission and the beneficiariesThrough the Participant PortalElectronic-only submission of reports
28 H2020 Grant Agreement Chapter 1: General Chapter 2: Action Single article: subject of the agreementChapter 2: ActionAction, duration and budgetChapter 3: GrantAmount, reimbursement rates, eligible costsChapter 4: Rights and obligationsTo implement the action: resources, in-kind contributions, subcontractsGrant administration: reporting, payments, auditsBackground and results: access rights, protection of results, exploitation, disseminationOthers: gender equality, ethics, confidentialityChapter 5: Division of rolesRoles and responsibilities, internal arrangementsChapter 6: Rejection, reduction, penalties, termination, etcRejection, reduction, recovery and penaltiesSuspension and termination of the actionChapter 7: Final provisionsAccession, entry into force, amendments, applicable law
29 Annexes to the grant Horizon 2020 model Grant Agreement: Annex I: Description of the actionAnnex II: Estimated budgetAnnex III: Accession FormAnnex IV: Financial statementsAnnex V: Certificate on the financial statementsAnnex VI: Certificate on the methodology
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