H2020 - Rules for participation and financial rules

Katarina Lenova, 14 January 2015

Rules for participation

• GSA type of actions• Admissibility and eligibility criteria• Associated countries• Who can get funding• Company registration and validation

GSA: 3 topics & 1 type of actions

Innovation action (IA)(activities aimed at producing plans and arrangements or designs for new, altered or improved products, processes or services.)

• GALILEO-1-2014: EGNSS applications• GALILEO-2-2014: Small and Medium Enterprise (SME) based EGNSS

applications• GALILEO-3-2014: Releasing the potential of EGNSS applications through

international cooperation

Standard admissibility criteria

• Submitted in the electronic submission system before the deadline -> Acknowledgement of Receipt

• Complete (requested administrative forms + proposal description + supporting documents)

• Readable, accessible and printable• Include a draft plan for the exploitation and

dissemination of the results (in case specified in the WP)

Standard eligibility criteria

• Content corresponds, wholly or in part, to topic description against which it is submitted

• Proposal complies with the minimum participation and any other eligibility conditions set out for the type of action. Innovation action:– Three legal entities. – Each of the three shall be established in a different Member

State or associated country. – All three legal entities shall be independent of each other.

• GSA encourages creating consortia with more beneficiaries!• GALILEO-2-2015: Small and Medium Enterprise (SME)

based EGNSS applications -> Coordinator must be an SME

Who can get funding?

• EU member state• The Overseas Countries and Territories (OCT) linked to

the MS• Horizon 2020 associated countries:

– Up to date info available at: http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/international-cooperation_en.htm

• Third countries listed in General Annex A• International European interest organisations

Countries eligible to receive funding

• Legal entities established in countries not listed in Annex A and international organisations will only be eligible for funding:– If explicitly mentioned in the call text.– When funding for such participants is provided for under a bilateral

scientific and technological agreement or any other arrangement between the Union and an international organisation or a third country

– When the Commission deems participation of an entity essential for carrying out the action funded through Horizon 2020. Decision based on evaluator's judgement. Elements may include 'outstanding competence and expertise, access to unique now-how, access to research infrastructure, access to data, …

Company registration

• Registration:– Every participant has to register!– To check if registered:

http://ec.europa.eu/research/participants/portal/desktop/en/organisations/register.html

– Info for registration:• legal status and • info on finances

Proposal submission

Validation of organisationRegistration of organisation

Financial viability checkLEAR appointment

Company validation

• Validation:– Only if proposal accepted– Supporting docs will be requested to prove legal name, form and

address• LEAR - Legal Entity Appointed Representative• Financial viability check

– Always for coordinators of projects with > EUR 500K funding unless they are public bodies

– May be needed for others – EC contacts you

Proposal submission

Validation of organisationRegistration of organisation

Financial viability checkLEAR appointment

Financial Rules

• Funding rates• Indirect cost rate• Subcontracting • 3rd parties• Reporting requirements• Payments

Single funding rate for direct costs

One project = one rate

• Same rate for all beneficiaries and all activities in the grant.

• Rate depends on the type of action

Maximum reimburseme

nt 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% (***)

Funding rates for GSA grants under 2nd call

• Innovation action (IA)– 70% of the total eligible costs– Exception: 100% of the total eligible costs for non-

profit legal entities

No differences among cost categories (RTD, MGT, DEM, OTH)!

Indirect costs

• 20%?• 60%?• Real?• Simplified?

• 25% of the total eligible costs excluding:– Subcontracting– Costs of resources made available

by 3rd parties – Financial support to 3rd parties

Third parties

Definition: entities which participate in the action but do not sign the GA

!!! If somebody is working on the project that does not have a direct employment contract

with the beneficiary!!!

Bene

ficia

ry Affiliated entities

Third parties with a legal link

Subcontractors

• Similar to FP7 Special Clause 10

• Must be identified in the GA

• Same cost eligibility criteria as beneficiaries

• NEW: COM or Agency may request them to accept joint and several liability for their EU contribution

Linked third parties

!

Third parties

Bene

ficia

ry Affiliated entities

Third parties with a legal link

Subcontractors

Linked third parties

Third parties

• Covers limited part of the project

• Ensure best value for money and avoid any conflict of interests

• Not possible to subcontract among the beneficiaries

• 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)

!

Bene

ficia

ry Contracts necessary for the implementation

Contributions in kind

Third parties

• For the purchase of goods, works or services

• Ensure best value for money and avoid any conflict of interests

• Free of charge or against payment are eligible costs if they meet the eligibility conditions

• Must be set out in Annex 1

• NEW: if not identified in Annex 1, Commission may still approve them (beneficiary bears the risk of rejection)

!

Bene

ficia

ry

Financial support to 3rd parties

Third parties

• 'Cascading grants': Equivalent to FP7 Special Clause 42

• Prizes: awarded by the beneficiary as part of the action

• Option to be used ONLY if foreseen in the Work Programme

• Conditions set out in Annex 1

Reporting – working time

• Time recording: – Still needed for everybody– Exception: when person is working full-time on

the project

Reporting - certificates

• Certificate on methodology:− For getting additional assurance on cost accounting practices − For direct personnel costs declared as unit costs calculated in

accordance with the beneficiary’s usual cost accounting practices

− Certificate must be approved by the EC− Certificates issued for FP7 not valid in H2020

• Certificate on the financial statement - CFS:– Total EU contribution ≥ EUR 325.000– At the end of project– Issued by external auditor using prescribed template in Annex 5

THANK YOU

Additional information:

–H2020 EC website: http://ec.europa.eu/programmes/horizon2020/en –Participant Portal:http://ec.europa.eu/research/participants/portal/desktop/en/home.html–Horizon 2020 On-line Manual:http://ec.europa.eu/research/participants/portal/desktop/en/funding/guide.html# –Horizon 2020 Annotated Grant Agreement:http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/amga/h2020-amga_en.pdf