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H2020: rules for participation

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Page 1: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

H2020: rules for participation

Page 2: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

•Innovation,

•Simplification

•and Coherence

Rules for participation: Three main objectives

RfP

Horizon

2020

Coherence Simplification

Innovation

Page 3: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Single set of rules

• Covering all research and innovation programmes, initiatives and funding bodies (art. 185 and art. 187 initiatives, EIT,…), but flexible to accommodate specificities where needed (through delegated acts)

• Coherent with the rules contained in the Financial Regulation (FR), but containing "derogations"

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Forms of funding • Grants

• Direct financial contribution by way of donation in order to finance an action

• Prizes • Financial contribution given as reward following a

contest

• Procurement • Supply of assets, execution of works or provision of

services against payment

• Financial instruments • Equity or quasi-equity investments; loans; guarantees;

other risk-sharing instruments

Page 5: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

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 Skłodowska-Curie (separate Work Programme)

European Joint Programme

Other Types of Actions

SME Instrument

Financial Instruments

Prizes

Procurement (studies, conferences, specific services)

Types of Actions

Page 6: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

GRANTS

Page 7: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Conditions for participation

• Minimum conditions • For standard collaborative actions

• At least, 3 legal independent entities, each established in different MS/AC

• For SME Instrument, ERC, MSC, programme co-fund, CSA • 1 legal entity established in a MS/AC

• For Fast Track to Innovation • Max. 5 participants

• Additional conditions • To be set out in the Work Programme (i.e. number of participants,

type of participants, etc.)

Page 8: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

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)

Types of Actions – Research/Innovation

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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

Types of Actions – Research/Innovation

Page 10: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

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.

• 100% funding rate

• Substantially similar to FP7

Types of Actions – Coordination and Support

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SME Instrument:

Implemented via single centralised management structure

Bottom-up approach

Continuously open call

Only SMEs eligible for participation

Specific types of action – SME

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Fast Track to Innovation Pilot: To be launched in 2015, with the following features

maximum of 5 partners/ maximum €3 M per project

Bottom-up approach

Continuously open call with three cut-off dates per year

Time to grant not exceeding 6 months

Covering all fields across LEITs (Leadership in enabling and industrial technologies) and Societal Challenges

Placeholder text only in Energy WP

Specific types of action – FTI

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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 Skłodowska-Curie (separate stand-alone H2020 WP)

•European Joint Programme ('EJP') – Euratom WP only (Fusion, radioprotection)

Specific types of action – Programme co-fund

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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

The importance of the Work Programme

Page 15: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Eligibility for funding

• Entities established in Member States or associated countries or third country identified in the WP

• Entities created under Union law

• International European interest organisation

• Other entities may receive funding if: • participation is essential or

• such funding foreseen in bilateral arrangement between the Union and third country/international organisation

Disclaimer : legally not binding

Page 16: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Call for proposals • Call for proposals shall be issued in accordance with the FR/RAP

• Exceptions to call for proposals :

• For CSAs and programme co fund actions to be carried out by entities identified in the work programme

• For cases provided for in the RAP (Monopoly situations,…)

• Rules regarding joint calls with third countries or international organisations

Page 17: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Evaluation of proposals

• Award criteria • Excellence

• Sole criterion for ERC frontier research actions

• Impact • Higher weighting for innovation actions

• Quality and efficiency in the implementation

• Details, Weightings and thresholds to be laid down in WP

• Evaluation to be carried out by independent expert

• Possibility of a 2 stage submission procedure

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Selection criteria

• Operational capacity (no specific provisions) • Operational capacity means that the applicants must have the professional competencies and

qualifications required to complete the proposed action or work programme: it may be assessed on the basis of specific qualifications, professional experience and references in the field concerned.

• Financial capacity

• Only coordinator of actions equal or superior 500k EUR, except specific cases

• No verification for public bodies , entities guaranteed by MS or AC and higher and secondary education establishments

• Financial Viability Self-Check: http://ec.europa.eu/research/participants/portal/desktop/en/organisations/lfv.html

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Process to grant and signature of GA

Remarks : • no changes of the composition of the consortium (removal or substitution

needs to be duly justified) before signature of the grant agreement

• No provision for competitive call in order to include new beneficiaries

A maximum Time To Grant of 8 months

5 months for informing all applicants

on scientific evaluation

3 months for signature of GA

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TEMPISTICA PER I PAGAMENTI (art.21)

ALTRE NOVITA’ INTRODOTTE DAL REGOLAMENTO FINANZIARIO (già operative in FP7, a partire dal 1 Gennaio 2013)

CONTO CORRENTE FRUTTIFERO: non più obbligatorio per il coordinatore

INTERESSI SUL PRE-FINANCING: non più richiesti al coordinatore

PRESENTAZIONE ELETTRONICA DEI FORM C

PAGAMENTI CE: 90 anziché 105 giorni dalla

presentazione del Periodic Report

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Implementation of the action • In accordance with RfP, FR, RAP, WP, call and the

grant agreement • Need to have the appropriate resources • Third parties may be called upon :

• Third parties carrying out work • Subcontractors • Third parties making resources available

• Financial support to third parties under conditions set in the FR/RAP

• May involve PCP/PPI (see procurement part)

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Consortium

• Coordinator = principal point of contact with EU

• Consortium agreement • compulsary (exception : see WP)

• Rights and obligations

• Internal organisation

• Distribution of EU funding

• IPR provisions

• Internal disputes

• Liability, confidentiality, indemnification

Page 23: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Simplified Funding Model • 1 reimbursement rate by action (same rate for all beneficiaries and

all activities): • Up to 100% for Research and Innovation actions

• Up to 70% for innovation (non-profit entities up to 100%)

and programme co-fund actions

• 1 method for calculation of indirect costs: • Flat rate of 25% of total direct costs, excluding subcontracting, costs of third parties and

financial support to third parties

• If provided in WP, lump sum or unit costs

• Funding of the action not exceed total eligible costs minus receipts

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FINANZIAMENTO DELL’AZIONE (Art. 28)

UNICA % DI RIMBORSO PER PROGETTO, SENZA DISTINZIONE

TRA BENEFICIARI •fino al 100% dei costi eleggibili per

progetti R&S (cd. RESEARCH & INNOVATION action)

• fino al 70% per progetti dimostrativi cd. INNOVATION action (fatta

eccezione per organismi no-profit, finanziabili fino al 100%) e CO-FUND

NEW

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Direct costs

Indirect costs

Total costs

% EU contribution

EU contribution

100 / 25 Funding 100 25 125 100% € 125

Example: in FP7, about 90 % of Universities and almost 50% of research organizations recurred to the special flat rate (60%) for the overheads reimbursement:

Direct costs

Indirect costs

Total costs

% EU contribution

EU contribution

Flat-rate (60 %) 100 60 160 75% € 120

New funding model

Page 26: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

EX.: RTD PROJECT IN FP7

26

Participant

short name

Fun-

ding

rate

for

RTD

%

Indi-

rect

costs

metho

d

RTD Demonstration

(50%

reimbursement

)

Management

(100%

reimburse-

ment)

Other (100%

reimburse-

ment) Total

costs

EU

contribu-

tion

Direct

costs

Indi-

rect

costs

Direct

costs

Indi-

rect

costs

Direct

costs

Indi-

rect

costs

Direct

costs

Indi-

rect

costs

University A 75 60% 100 60 100 60 100 60 480 440

Foundation

B

50 20%

100 20 100 20 240 120

University C 75 Simplif

ied 100 46 146 109.5

SME D 75 60% 100 60 100 60 100 60 480 360

Enterprise E 50 Real 100 104 100 104 408 204

SME F 75 Real 100 78 100 78 100 78 534 356

Total 600 368 400 262 100 60 300 198 2288 1589.5

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27

Participant short

name

Estimated eligible

costs

Total costs

EU

contribution

(100%) Direct

costs

Indirect

costs

(25%)

University A 100 25 125 125

Foundation B 100 25 125 125

University C 100 25 125 125

SME D 100 25 125 125

Enterprise E 100 25 125 125

SME F 100 25 125 125

Total 600 150 720 750

EX.: RESEARCH & INNOVATION ACTION IN H2020

Page 28: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Participant

short name

Fun-

ding

rate

for

RTD

%

Indirect

costs

method

RTD Demonstra-tion

(50% reimburse-

ment)

Management

(100%

reimbursement)

Other (100%

reimburse-

ment)

Total

costs

EU

contri-

bution

Direct

costs

Indi-

rect

costs

Direct

costs

Indi-

rect

costs

Direct

costs

Indi-

rect

costs

Direct

costs

Indi-

rect

costs

University A 75 60% 100 60 100 60 320 200

Enterprise B 50 20% 100 20 120 60

University C 75 Simpli-fied

100 46 100 46 292 182.5

SME D 75 60% 100 60 160 80

Enterprise E 50 Real 100 104 204 102

SME F 75 Real 100 78 178 89

Total 200 104 500 308 100 60 1274 713.5

EX.: DEMONSTRATION PROJECT IN FP7

28

Page 29: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Participant

short name

Estimated eligible costs

Total costs

Requested EU

contribution

(70%) Direct costs

Indirect

costs (25%)

University A 100 25 125 87,5

Enterprise B 100 25 125 87,5

University C 100 25 125 87,5

SME D 100 25 125 87,5

Enterprise E 100 25 125 87,5

SME F 100 25 125 87,5

Total 600 150 750 525

29

EX.: INNOVATION ACTION IN H2020

Page 30: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

Funding of the action

• The funding shall not exceed the total eligible costs minus the receipts of the action

• Receipts of the action: • Resources made available by third parties

• Income generated by the action, except income generated by the exploitation of the results

• Income generated from the sale of assets purchased under the GA

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Funding of the action (2)

• Single reimbursement rate

• 100% of the total eligible costs

• 70% of the total eligible costs for: • Innovation actions, except for non-profit legal entities 100%

• Programme co-fund actions

• Indirect costs: flat rate of 25% of the total direct eligible costs

• Excluding subcontracting

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REGOLE DI FINANZIAMENTO

32

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Ineligible costs

• Future losses or charges

• Exchange losses

• Costs related to return on capital

• Costs reimbursed in respect of another Union action or programme

• Debt and debt service changes and excessive or reckless expenditure

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AMMISSIBILITA’ DEI COSTI (MGA art. 26, art.27)

TUTTI I COSTI ELEGGIBILI CHE POSSONO ESSERE RICONDOTTI

ALL’ATTIVITA’ PROGETTUALE

ELEGGIBILITA’ DELL’IVA , SE NON RECUPERABILE (richiamo implicito al

REGOLAMENTO FINANZIARIO)

POSSIBILITA’ DI UTILIZZARE COSTI MEDI DEL PERSONALE, SE IN LINEA

CON LE PROCEDURE CONTABILI DELL’ENTE

POSSIBILITA’ DI RENDICONTARE BONUS PAYMENT PER

ORGANIZZAZIONI NO PROFIT, SE PREVISTO DAL REGOLAMENTO

INTERNO, NEI LIMITI DI 8000€/anno/persona

COSTI ELEGGIBILI

NEW

Page 35: H2020: rules for participation - Camera di commercio, Torino · 2015. 10. 1. · H2020: rules for participation ... ktop/en/organisations/lfv.html . Process to grant and signature

ORE PRODUTTIVE ANNUALI (Art. 31)

SCELTA TRA MONTE ORE FISSO (eg. 1720 ore) OPPURE DETERMINATO SECONDO I

PRINCIPI CONTABILI DELL’ENTE

COSTI DEL PERSONALE AMMISSIBILI SOLO SE RICONDUCIBILI A PERSONE CHE

LAVORANO NELL’AMBITO DELL’AZIONE TRAMITE UN SISTEMA DI REGISTRAZIONE DEL

TEMPO LAVORATO (eg. TIME-SHEET)

REQUISITI MINIMI PER IL SISTEMA DI REGISTRAZIONE TEMPO LAVORATO/DEFINIZIONE

NUMERO ORE PRODUTTIVE ANNUALI PREVISTI DAL GA

SISTEMA DI REGISTRAZIONE NON RICHIESTO SE LA PERSONA LAVORA

ESCLUSIVAMENTE SULL’AZIONE (sufficiente una dichiarazione del Resp. scientifico)

CRITERI ELEGGIBILITA’ COSTI PERSONALE

NEW

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Personnel costs (1)

• Salaries + social security charges + other costs included in the remuneration arising from national law/employment contract

• Additional remuneration up to 8000 EUR (per person, per year) for non-profit legal entities, if

• It is part of the usual remuneration practices • The criteria used to calculate the supplementary payments are

objectives

• Actual worked hours

• Evidence : normally through time recording system except for staff working full time on EU action

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Personnel costs (2)

• Actual costs

• Unit costs for

• average personnel costs

• Calculation based on the total actual personnel costs recorded in the participant's accounts

• Provisions on productive hours

• SME owner and natural person with no salary

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Subcontracting

• Subcontracts' costs may be eligible if • foreseen in Annex 1 of the grant agreement

• Not foreseen in Annex 1 only "in duly justified cases that could not be clearly foreseen at the time of its entry into force"

• WP may impose further requirements for subcontracting

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Costs of third parties • Carrying out work, costs may be eligible if

• Third party eligible for funding • Affiliated or legal link with a beneficiary • Identified in the GA • Abides by the rules (inter alia on costs eligiblity and

control) applicable to the beneficary • Accepts – if requested by EU - Joint and several liability

with the participant

• Making resources available, costs may be eligible if conditions of the GA are met

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COSTI INDIRETTI (Art. 29)

STANDARD FLAT RATE (20%) SPECIAL FLAT RATE (60%) SIMPLIFIED METHOD or ACTUAL INDIRECT COSTS

UNICO TASSO FORFETARIO DEL 25% DEI COSTI DIRETTI

(ECCETTO I SUBCONTRATTI E COSTI DELLE RISORSE MESSE A

DISPOSIZIONE DA TERZI CHE NON VENGONO UTILIZZATE NEI LOCALI DEL BENEFICIARIO, NONCHÉ DEL SOSTEGNO FINANZIARIO A TERZI)

NEW

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CERTIFICATE ON FINANCIAL STATEMENT (Art. 34)

AL RAGGIUNGIMENTO DELLA SOGLIA CUMULATIVA DI

CONTRIBUTO UE ≥ 375.000€ (oppure un unico CFS alla fine del progetto se ≤ 2 reporting

period)

ALLA FINE DEL PROGETTO, PER IMPORTI

RENDICONTATI (SOLO real

costs e unit costs, NO lump sum

e flat rate ) ≥ 325.000€

NEW

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Controls and audits • Certificates on financial statements

• Only for final payments when total EU contribution claimed on the basis of actual costs +average personnel costs ≥ 325,000 EUR

• Certificates on the methodology • Optional certificates on average personnel costs

• Ex-post audits • Audits limited to 2 years after payment of the balance

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EX POST AUDITS

ENTRO CINQUE ANNI DALLA FINE DEL

PROGETTO

ENTRO DUE ANNI DAL PAGAMENTO FINALE

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IMPLEMENTATION of THE ACTION (art.23)

RESPONSABILITA’

TECNICA

I BENEFICIARI SONO

RESPONSABILI CONGIUNTAMENTE ED IN

SOLIDO NEI CONFRONTI DELLA CE.

DEFAULTING PARTNER =

GLI ALTRI BENEFICIARI SONO TENUTI A PORTARE A TERMINE L’ATTIVITÀ PREVISTA DAL GA

SENZA ALCUN CONTRIBUTO UE AGGIUNTIVO A MENO CHE LA

COMMISSIONE PREVEDA ESPRESSAMENTE DIVERSAMENTE

DEFAULTING PARTNER = LA COMMISSIONE PUO’

TRASFERIRE AL

COORDINATORE

L’AMMONTARE

NECESSARIO,

ATTINGENDO AL FONDO

DI GARANZIA

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IMPLEMENTATION of THE ACTION (art.23)/OPERATION OF THE FUND (art.39)

RESPONSABILITA’

FINANZIARIA

RESP. LIMITATA AI PROPRI DEBITI

FONDO DI GARANZIA = IL 5%

DEL CONTRIBUTO TRATTENUTO AL MOMENTO

DELL’EROGAZIONE DELL’ANTICIPO. INTERESSI GENERATI DAL FONDO A COPERTURA DI PERDITE

FINANZIARIE CE

ASSOGGETTAMENTO

DELLA PARTE TERZA A

RESPONSABILITA’ CONGIUNTA E SOLIDALE

CON IL BENEFICIARIO NEI

LIMITI DEL CONTRIBUTO UE

DICHIARATO

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Participant Guarantee Fund

• Continuity of the system applied in FP7 : H2020 GF replaces

and succeeds to the FP7 GF

• Considered as sufficient guarantee under the FR

• No additional guarantee or security may be accepted from participants or imposed on them

• 5% contribution of the EU funding retained from the initial prefinancing

• 5% contribution returned to participants at the end of the action

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Controls and Audits

Financial viability

Restricted to coordinators for projects ≥ €500 k€

Audit certificates

Only for final payments/per beneficiary /for actual costs ≥ €325 000 €

Optional Certificates on average personnel costs

Ex-post audits

Provisions in Horizon 2020 Regulations!

Commission's audits up to two years after payment of the balance

Audit strategy focused on risk and fraud prevention

Continuity with FP7

Guarantee Fund

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DIRITTI DI PROPRIETA’ INTELLETTUALE

48

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Intellectual Property Rights (IPR)–in a nutshell - Results

• Ownership • Participant generating the results

• Joint-ownership in specific circumstances

• Protection • If results capable of commercial/industrial exploitation

• If no protected, EU may assume ownership

• Exploitation • Best efforts obligation; WP may foresee additional obligations

• Transfer and exclusive licences to a third country • EC may object (competitiveness, ethical principles, security)

• Dissemination • Open access to scientific publications and under certain conditions to research

data

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IPR in a nutshell – Access Rights • For implementation

• To background / results (royalty free) if needed

• For exploitation • To background / results (under fair and reasonable

conditions) if needed to exploit own results • Also applicable to affiliates established in MS/AC

• For EU/MS • Non-commercial use and policy related purpose (under

"Secure societies") • On a royalty-free basis

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RESULTS (artt. 41-44)

PROPRIETA’: chi genera i risultati ne è il proprietario (mantenuto il regime di default nel caso di COMPROPRIETA’) PROTEZIONE: se risultati suscettibili di sfruttamento commerciale/industriale. SE il proprietario non può/vuole proteggere, può farlo la CE SFRUTTAMENTO: il WP/GA possono prevedere obblighi specifici (es. ‘Draft dissemination and exploitation plan’ in fase di proposta) TRASFERIMENTO E LICENZE ESCLUSIVE A PAESI TERZI: diritto di obiezione da parte della CE

RISULTATI

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ACCESS RIGHTS TO BACKGROUND & RESULTS/SPECIFIC PROVISIONS (artt. 45-49)

DIRITTI DI ACCESSO

PREVISIONI SPECIFICHE

NUOVI STRUMENTI H2020

► PARTECIPANTI ALLA STESSA AZIONE PER IMPLEMENTAZIONE E SFRUTTAMENTO (E LORO AFFILIATI STABILITI IN STATI MEMBRI O ASSOCIATI) ► UNIONE EUROPEA PER MOTIVI NON-COMMERCIALI E POLITICI

► SICUREZZA, ERC, SME INSTRUMENT, MARIE CURIE, KICS, ETC…

► MAGGIORE FLESSIBILITA’ PER PRE-COMMERCIAL PROCUREMENT, PROCUREMENT OF INNOVATIVE SOLUTIONS E PREMI

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VALORIZZAZIONE E DIFFUSIONE DEI RISULTATI (Art. 43)

‘OPEN ACESS’ ALLE PUBBLICAZIONI SCIENTIFICHE:

CLAUSOLA SPECIALE 39 (specifica per le tematiche

AMBIENTE, ENERGIA; SALUTE, ICT, SSH, INFRASTRUTTURE, SIS)

OBBLIGO DI ‘OPEN ACCESS’ ALLE PUBBLICAZIONI SCIENTIFICHE

(sia GREEN che GOLD Open Access) DISCIPLINATO DALLE CONDIZIONI

GENERALI DEL GRANT AGREEMENT. ELEGGIBILITA’ DEI COSTI RELATIVI

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PRIZES

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Prizes • Rules for participation refer to Title VII of the Financial

Regulation (FR) and the Rules of Application (RAP)

• Provisions on Dissemination of results contained in the RfP apply

• Workprogramme may contain specific obligations regarding exploitation and dissemination

• The following 2 slides are general information on prizes (not specific to H2020)

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Prizes - Programing • Prizes may be used to

• Recognise past achievements (“recognition prizes”), or

• Induce future activities, (“inducement prizes”)

• Prizes must comply with the principle of equal treatment and transparency on the basis of procedures comparable to the ones applying to grants, with 2 exceptions: • Prizes may never be awarded without a contest

• However, contests for Prizes equal to or above 1M EUR may not be published if they are not foreseen in the activity statements accompanying the draft budget

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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

Specific types of actions - Prizes

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Prizes - Implementation • Prizes may not be fully outsourced to external

contractors • Contractors may not be in charge of the launching and running of the contest, the

appointment of the panel of judges, the selection of the winners or award the Prizes

• Beneficiaries of a grant may award Prizes under the same conditions for the award of financial support to third parties • The amount of the Prize is not limited to 60,000 EUR

• The applications must include:

• The conditions for participation; the award criteria; the amount of the prize; the payment arrangements

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PROCUREMENT

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General provisions

• Union funding may also take the form of Pre-Commercial Procurement and Public Procurement for Innovation

• Results generated by procurement owned by EU, unless otherwise agreed in call for tenders

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Pre-Commercial Procurement / Public Procurement for Innovation

• Procedures • Procurements carried out by EC on its own behalf or jointly with MS

• Principles of transparency, non-discrimination, equal treatment, sound financial management, proportionality

• Award to the best value for money offer

• Specific provisions regarding place of performance

• Award of multiple contracts within the same procedure may be authorised

• IPR • Results generated by procurement owned by EU, unless otherwise agreed in

call for tenders

• For PCP specific provisions (ownership, access rights and licensing)

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Other instruments • SME Instrument (1 SME or consortium of SME)

• Implemented via a single management structure

• Continuously open call; organised around 3 rounds

1. lump sum to explore technical feasibility and commercial potential of a new idea

2. grants to perform R&I with a particular focus on demonstration activities

3. support measures and networking actions for helping exploitation of outcomes

• Fast Track to Innovation • Any legal entity

• For innovation actions related to any technology field under LEIT and SC

• Open calls with 3 cut-off dates per year, 6 months between cut-off date and grant signature

• The criterion of impact given a higher weighting

• Pilot to be launched in 2015

• Max. 3M €; max. 5 participants; no comitology

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Acronym • RfP: Rules for Participation • FR: Financial Regulation • RAP: Rules of Application • WP: Work Programme • EIT: European Institute of Innovation and Technology • GA: Grant Agreement • MS: Member States • AC: Associated countries • SME: Small Medium Enterprise • ERC: European Research Council • MSC: Marie S. Curie • CSA: Coordination and Support Actions • PCP: Pre-Commercial Procurement • PPI: Procurement of innovative solutions • GF: Participant Guarantee Fund • IPR: Intellectual Property Right • FTI: Fast Track to Innovation action • SC: Societal Challenge • LEIT: Leadership in enabling and industrial technologies