HORIZON
2020
HORIZON 2020
Model Grant Agreement
DG Research and Innovation
Horizon 2020 model Grant Agreement:
Simplification
• Provisions
• Wording
Coherence
• Within H2020 and
with other EU
programmes
Objectives
Flexibility
• To accommodate
particularities
• Usual cost accounting
practices
Continuity
• Where possible and
adequate
Horizon 2020 model Grant Agreement:
Accommodating specificities
ERC MGA
MarieSklodowska
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
• 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
Flat rate
Lump sum
• Example: Indirect costs = 25 % Direct costs
• 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(****)
50%
75% (**)
Coordination
and support
action
Demonstration
activities
Other
activities
100%
50%
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
20% ?
60% ?
FP7
Real ?
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
100/25 Funding
Direct
costs
Indirect
costs
Total
costs
% EU
contribution
EU
contribution
100
60
160
75%
€ 120
Direct
costs
Indirect
costs
Total
costs
% EU
contribution
EU
contribution
100
25
125
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
 Only to coordinators for projects ≥ €500 k
Certificates
 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!
Ex-post audits
 Commission's audits up to two years after
payment of the balance
 Audit strategy focused on risk and fraud prevention
Extrapolation
 New Financial Regulation applies
Guarantee Fund
 Continuity with FP7
7. Large Research Infrastructures - I
The commitment
•
Commission's
statement
at
the
Council
"Competitiveness"
meeting on 10/11 October 2012
"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