Model Grant Agreement

DG Research and Innovation

Horizon 2020 model Grant Agreement: Objectives

Simplification

• Provisions • Wording

Flexibility

• To accommodate particularities • Usual cost accounting practices

Coherence

• Within H2020 and with other EU programmes

Continuity

• Where possible and adequate

Horizon 2020 model Grant Agreement: Accommodating specificities ERC MGA Marie Sklodowska Curie MGA General Model Grant Agreement Co-fund MGA SME instrument MGA

Horizon 2020 model Grant Agreement: A single document with all provisions Core text Special clauses General conditions Annex II FP7 Specific provisions Annexes III

Grant Agreement

Some novelties

 Global architecture common with the other EU programmes; with all the possibilities offered by the new FR  Terminology: terms and meanings defined in the Financial Regulation except for those terms specific to H2020  On-line explanations for each article of the grant ("annotated GA")

Electronic communication for the management of the Grant:

Electronic signature

• • •

Of the Grant Agreement Of the Amendments Financial Statements and Technical reports

Communication between the Commission and the beneficiaries

•

Through the Participant Portal

•

Electronic-only submission of reports

Chapter 1: General

• Single article: subject of the agreement

Chapter 2: Action

• Action, duration and budget

Chapter 3: Grant

• Amount, reimbursement rates, eligible costs

Chapter 4: Rights and obligations

• To implement the action: resources, in-kind contributions, subcontracts • Grant administration: reporting, payments, audits • Background and results: access rights, protection of results, exploitation, dissemination • Others: gender equality, ethics, confidentiality

Chapter 5: Division of roles

• Roles and responsibilities, internal arrangements

Chapter 6: Rejection, reduction, penalties, termination, etc

• Rejection, reduction, recovery and penalties • Suspension and termination of the action

Chapter 7: Final provisions

• Accession , entry into force, amendments, applicable law

Horizon 2020 model Grant Agreement: Annexes to the grant

Annex I: Description of the action Annex II: Estimated budget Annex III:Accession Form Annex IV: Financial statements Annex V: Certificate on the financial statements Annex VI: Certificate on the methodology

1. Forms of costs

Actual Unit costs Flat rate

• Costs actually incurred, identifiable and verifiable, recorded in the accounts, duration, etc • A fixed amount per unit determined by the Commission, except for average personnel costs • Example: SME owner unit costs • A percentage to be calculated on the eligible costs • Example: Indirect costs = 25 % Direct costs

Lump sum

• A global amount to cover the whole costs of the project or one cost category • Example: Phase 1 of the SME instrument

2. Funding rate

FP7 Maximum reimbursement rates Research and technological development activities (*) Network of excellence 50% 75% (**) Collaborative

project

(****)

Coordination and support action 50% 75% (**) Demonstration activities Other activities 50% 100% 100% 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)

One project = One rate for research actions



For all beneficiaries and all activities in the grant.



Defined in the Work Programme:

‒

Up to 100 % of the eligible costs for research actions;

‒

up to 70 % for innovation actions (exception for non-profit organisations – up to 100%).

3. Single indirect cost rate

60% ?

Real ?

20% ?

FP7 Simplified?

Single Flat Rate: 25 %

4.

New funding model: what impact on the EU contribution?

An example

FP7

Majority of HES & ROs

75/60 Funding Direct costs Indirect costs

100 60

Total costs % EU contribution EU contribution 160

75%

€ 120 100/25 Funding Direct costs Indirect costs

100 25

Total costs 125 % EU contribution EU contribution

100%

€ 125

5. Personnel Costs - I

CALCULATING PERSONNEL COSTS UNIT COSTS ACTUAL PERSONNEL COSTS

Calculation method defined in the model grant agreement

Calculated by the beneficiary according to its usual accounting practices

(Average personnel cost)

Fixed by

Commission for SME owners and natural persons without a salary

5. Personnel Costs - II Personnel costs



Acceptance of Additional remuneration

for non-profit organisations of up to 8000 euros/year/person 

Less requirements for time records



…and more in the Horizon 2020 Grant Agreement

6. Controls and Audits

Financial viability Certificates Ex-post audits Extrapolation Guarantee Fund

 Only to coordinators for projects ≥ €500 k 

CFS

: Only for final payments/per beneficiary/for actual costs and unit costs based on usual accounting practices ≥ €325 000 

Methodology

on average personnel costs:

Optional

 Provisions in

Horizon 2020 Regulation!

 Commission's audits up to two years after payment of the balance  Audit strategy focused on risk and fraud prevention  New Financial Regulation applies  Continuity with FP7

7. Large Research Infrastructures - I The commitment

•

Commission's statement at meeting on 10/11 October 2012 the Council "Competitiveness"

"For large infrastructures, the Commission will, based on best

practices, issue guidelines on how some indirect costs can be moved to direct costs, i.e. where those costs can be directly attributed to the

project".

7. Large Research Infrastructures - II The deliverable

The guidelines have been issued

•

The guidelines are being adopted by Commission decision The MGA includes definitions and conditions

• • • •

Research Infrastructure according to FP art. 2,f 20M€ (large) 75% (research as the core business) Ex-ante positive assessment (legal certainty)

8. Intellectual Property Rights - I

We keep

• • 

Ownership

for the participant who generates results, joint-ownership only in specific circumstances 

Exploitation

• • General obligation to exploit 

Dissemination

principle maintained;

9. Intellectual Property Rights - II

• 

Transfer and exclusive licences outside the Union/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:

security-related activities, ERC frontier research, SME instrument, mobility

10. Intellectual Property Rights - III What is



NEW

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', • • 

Specific provision:

for pre-commercial public procurement and for procurement of innovative solutions

HORIZON 2020

Thank you very much for your attention!

Find out more:

www.ec.europa/research/horizon2020