Horizon 2020 Annotated Model Grant Agreements
Horizon 2020Annotated Model Grant AgreementsGeneral Model Grant Agreementand specific Model Grant Agreements (ERC, SME Instrument, ERA-NET Cofund,PCP-PPI Cofund, EJP Cofund, Framework Partnerships and Specific Agreements)Version 1.6.217 July 2014Disclaimer:The purpose of this document is to provide explanations on the main financial provisions of the MGA. Please notethat the final version of this document is still under discussion and may still change. The final version will beavailable in the first half of 2014. For any questions about any aspects of European research in general and the EUResearch Framework Programmes in particular, please send them to Horizon 2020 Helpdesk.
History of changesVersionDateChange1.120.12.2013 Article 6 added1.217.02.2014 Articles 7 to 14, 17 to 19, 23a to 25, 35, 52 to 54, 56 and 58 added1.326.03.2014 Articles 16, 32 to 34 and 41 to 44 added1.416.04.2014 Articles 4 to 6, 9 to 16, 20, 21, 23, 24, 39, 40, 45 to 52 and 57added or revised1.525.04.2014 Articles 22, 26 to 31, 36 to 38, and 55 added1.602.05.2014 New annotations regarding the following derived model grantagreements: ERC, SME Instrument, ERA-NET COFUND, PCP-PPICOFUND, EJP COFUND, Framework Partnerships and specificagreements1.6.116.06.2014 Clickable table of contents added1.6.217.07.2014 Links to timesheet model and declaration model for personnel costs
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014ForewordThe Horizon 2020 Annotated Model Grant Agreements (‘AGA’) is a user guide that aims toexplain the General Model Grant Agreement (‘General MGA’) and the different specific ModelGrant Agreements (‘Specific MGAs’) for the Horizon 2020 Framework Programme for 20142020 1.The purpose of this document is to help users understand and interpret the GAs, by avoidingtechnical vocabulary, legal references and jargon, and seeking to help readers find answers to anypractical questions they may have about particular parts of the GAs.In the same spirit, the document’s structure mirrors that of the GAs. It explains each GA Articleand includes examples where appropriate.Since the Specific MGAs have a similar set-up and provisions as the General MGA (i.e. they areall derived from the General MGA), the annotations will focus mainly on the General MGA (andthe annotations of the other MGAs will be limited to major differences from that MGA). The keyprovisions on the amount, cost forms and conditions for eligibility of your grant are howeverexplained for all MGAs (see Articles 4-6 of each MGA).The annotations are — with some exceptions — done on the multi-beneficiary versions. Themulti- and mono-beneficiary versions are largely identical.Our approach1. The text of the relevant article appears shaded in grey, to differentiate it from theannotations.The concepts that are annotated are in bold and blue.The annotations to the article are immediately underneath.Long articles are split into different parts, so the annotations can be placed below therelevant parts.Examples, best practices, lists and procedures are in bold and turquoise.Specific cases and exceptions are in bold and orange.2. As the AGA intends to be comprehensive, it will cover all possible options envisaged inthe different GA articles.1H2020 Framework Programme — Regulation (EU) No 1291/2013 of the European Parliament and of theCouncil of 11 December 2013 establishing Horizon 2020 - The Framework Programme for Research andInnovation (2014-2020) (OJ 347, 20.12.2013, p. 104).Euratom Research and Training Programme (2014-2018) — Council Regulation (Euratom) No 1314/2013 of16 December 2013 on the Research and Training Programme of the European Atomic Energy Community (20142018) complementing the Horizon 2020 – The Framework Programme for Research and Innovation (OJ L 347,20.12.2013, p. 948).H2020 Specific Programme — Council Decision 2013/743/EU of 3 December 2013 establishing the SpecificProgramme Implementing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020)(OJ L 347, 20.12.2013, p. 965).Rules for Participation (RfP) — Regulation (EU) No 1290/2013 of the European Parliament and of the Councilof 11 of December 2013 laying down the rules for the participation and dissemination in Horizon 2020 – theFramework Programme for Research and Innovation (2014-2020) (OJ L 347, 20.12.2013, p.81).1
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014Many of these options may not be relevant to your grant (and will not appear in the grantagreement you sign, or will be marked ‘not applicable’).The chosen options will appear in italics (without brackets and without the option title), toallow you to easily spot that a specific rule applies.UpdatesOver the next months, this text will be transformed into an on-line version.It will be periodically updated with new examples and explanations, based on practical experienceand on-going developments.Other informationThe AGA is limited to annotations to the provisions of the Horizon 2020 MGAs. For a moregeneral overview of how Horizon 2020 grants work, see the Horizon 2020 Online Manual.A comprehensive list of all Horizon 2020 reference documents (including legislation, workprogramme and templates) can be found in the ‘Reference documents’ section of the ParticipantPortal.Horizon 2020 terms are explained in the Glossary of the Participant Portal.2
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014TABLE OF CONTENTSI. GENERAL MODEL GRANT AGREEMENTI.1 Background information55MULTI-BENEFICIARY GENERAL MODEL GRANT AGREEMENT . 6CHAPTER 1GENERAL . 9CHAPTER 2ACTION . 10CHAPTER 3GRANT . 16CHAPTER 4RIGHTS AND OBLIGATIONS OF THE PARTIES. 95SECTION 1RIGHTS AND OBLIGATIONS RELATED TO IMPLEMENTINGTHE ACTION . 95SECTION 2RIGHTS AND OBLIGATIONS RELATED TO THE GRANTADMINISTRATION . 132SECTION 3RIGHTS AND OBLIGATIONS RELATED TO BACKGROUNDAND RESULTS . 175SECTION 4OTHER RIGHTS AND OBLIGATIONS . 203CHAPTER 5DIVISION OF BENEFICIARIES’ ROLES AND RESPONSIBILITIES [—RELATIONSHIP WITH COMPLEMENTARY BENEFICIARIES] [— RELATIONSHIPWITH PARTNERS OF A JOINT ACTION] .226CHAPTER 6REJECTION OF COSTS — REDUCTION OF THE GRANT —RECOVERY — PENALTIES — DAMAGES — SUSPENSION — TERMINATION —FORCE MAJEURE .233SECTION 1CHAPTER 7REJECTION OF COSTS — REDUCTION OF THE GRANT —RECOVERY — PENALTIES . 233FINAL PROVISIONS .284II. ERC303II.1 Background information and approach303II.2 ERC General MGA: Annotations306ERC MULTI-BENEFICIARY MODEL GRANT AGREEMENT .306IV. SME INSTRUMENT343IV.1 Background information and approach343IV.2 SME Instrument Phase 1: Annotations345IV.3 SME Instrument Phase 2: Annotations363V. ERA-NET COFUND374V.1 Background information and approach374V.2 ERA-NET Cofund Annotations376VI. PCP-PPI COFUNDVI.1 Background information and approach4024023
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014VI.2 PCP/PPI Cofund AnnotationsVII. EJP COFUND404448VII.1 Background information and approach448VII.2 EJP Cofund Annotations449VIII. FRAMEWORK PARTNERSHIPS AND SPECIFIC AGREEMENTS461VIII.1 Background information and approach461VIII.2 Annotations466FRAMEWORK PARTNERSHIP AGREEMENT.466CHAPTER 1GENERAL .469CHAPTER 2FRAMEWORK PARTNERSHIP .470VIII.3 Model Specific Agreement specific annotations485SPECIFIC AGREEMENT .4854
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014I. General Model Grant AgreementI.1 Background informationThe General MGA is used for grants for all types of research and innovation actions (RIA),innovation actions (IA) and coordination and support actions (CSA).Examples: Energy Challenge actions (see the Smart Cities and Communities calls); actions under the ResearchInfrastructures Part (see a Research Infrastructure call); Health Challenge actions, etc For more information on research and innovation actions, innovation actions and coordination andsupport actions, see Article 2.The General MGA is not used for actions that fall under one of the Specific MGAs (i.e. ERC,MSC, SME Instrument, ERA-NET Cofund, Pre-commercial procurement or Public procurementof innovative solutions (PCP-PPI) Cofund, European Joint Programme (EJP) Cofund, FrameworkPartnerships).5
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014I.2 AnnotationsMULTI-BENEFICIARY GENERAL MODEL GRANT AGREEMENTGRANT AGREEMENTNUMBER [insert number] — [insert acronym]This Agreement (‘the Agreement’) is between the following parties:on the one part,[OPTION 1: the European Union (‘the EU’, represented by the European Commission (‘the Commission’),][OPTION 2: the European Atomic Energy Community (‘Euratom’), represented by the EuropeanCommission (‘the Commission’),][OPTION 3: the [Research Executive Agency (REA)] [European Research Council Executive Agency(ERCEA)] [Innovation and Networks Executive Agency (INEA)] [Executive Agency for Small andMedium-sized Enterprises (EASME)] (‘the Agency’), under the powers delegated by the EuropeanCommission (‘the Commission’),]represented for the purposes of signature of this Agreement by [[function, [Directorate-General, Directorate,Unit] [Department]], [forename and surname],2andon the other part,1. ‘the coordinator’:[full official name (short name)][legal form], [official registration No], established in [official address infull], [VAT number], represented for the purposes of signing the Agreement by [function, forename andsurname]and the following other beneficiaries, if they sign their ‘Accession Form’ (see Annex 3 and Article 56):2. [full official name (short name)][legal form], [official registration No], established in [official address infull] [VAT number],[OPTION for beneficiaries not receiving EU funding: X. [full official name (short name)] [legal form],[official registration No], established in [official address in full] [VAT number], as ‘beneficiary not receivingEU funding’ (see Article 9),][same for each beneficiary][OPTION if the JRC is a beneficiary: and X. the Joint Research Centre (JRC) established in [officialaddress in full], if it signs the administrative arrangement (see Annex 3b)].Unless otherwise specified, references to ‘beneficiary’ or ‘beneficiaries’ include the coordinator [OPTION ifthe JRC participates: and the Joint Research Centre (JRC)].The parties referred to above have agreed to enter into the Agreement under the terms and conditions below.By signing the Agreement or the Accession Form [OPTION if the JRC is a beneficiary: or theadministrative arrangement], the beneficiaries accept the grant and agree to implement the action under theirown responsibility and in accordance with the Agreement, with all the obligations and conditions it sets out.6
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014The Agreement is composed of:Terms and ConditionsAnnex 1Description of the actionAnnex 2Estimated budget for the actionAnnex 3Accession Forms[OPTION to be used if Article 14 applies if joint and several liability has been requested bythe [Commission][Agency]: 3a Declaration on joint and several liability of linked thirdparties][OPTION if the JRC participates: 3b Administrative arrangement]Annex 4Model financial statementsAnnex 5Model for the certificate on the financial statementsAnnex 6Model for the certificate on the methodology2Text in italics shows the options of the Model Grant Agreement that are applicable to this Agreement.The person representing the [Commission][Agency] must be an authorising officer (by delegation or sub-delegation) designated inaccordance with document 60008 of 22.2.2001 ‘Mise en place de la Charte des ordonnateurs’.1. Coordinator — Beneficiaries‘Beneficiaries’ means the legal entities who have signed the Grant Agreement (GA) with theCommission/Agency (i.e. a ‘participant’ 2 in an action supported by a grant).The ‘coordinator’ is the beneficiary which is the central contact point for theCommission/Agency and represents the consortium (vis-à-vis the Commission/Agency).Both beneficiaries and coordinators must have a sufficient financial capacity to be able toimplement the action (i.e. achieve its expected objectives and results).The Commission/Agency will systematically verify the financial capacity of the coordinator,if the requested EU contribution for the action is equal or superior to EUR 500 000.Exceptionally, it will also verify the financial capacity (of the coordinator or otherbeneficiaries), if there are grounds to doubt their financial capacity. 3 For more information on the rules regarding the financial viability and financial capacity checks,see the Horizon 2020 Online Manual.The division of roles and responsibilities within the consortium is explained in Article 41.2.Generally speaking: the coordinator must coordinate and manage the grant and is the central contact pointfor the Commission/Agency23For the definition, see Article 2.1(15) of the Rules for Participation: ‘participant’ means any legal entitycarrying out an action or part of an action under Regulation (EU) No 1291/2013 having rights and obligationswith regard to the Union or another funding body under the terms of this Regulation.See Article 15(9) of the Rules for Participation.7
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014 the beneficiaries must all together contribute to a smooth and successfulimplementation of the grant (i.e. contribute to the proper implementation of the action,comply with their own obligations under the GA and support the coordinator in hisobligations).The signature arrangements are the following: the coordinator directly signs the GA the other beneficiaries sign the GA by signing the Accession Form (see Article 56).Amendments to the GA, if any, will be signed by the coordinator on their behalf.Applicants who accept the grant (by signing the GA) becomes a beneficiary of the grant and isbound by the entirety of its terms and conditions.This means that the beneficiaries must: carry out the project (and especially the research work) as detailed in Annex 1(‘technical implementation’) and comply with all the other provisions of the GA and all the applicable provisions of EU,international and national law.Other entities which participate in the action but do not sign the GA (including entities linkedto the beneficiaries) are considered as ‘third parties involved in the action’ (see Article 8).They are not bound by the terms and conditions of the GA; conversely, theCommission/Agency has no obligation vis-à-vis third parties.2. Name, legal form, address — Legal entity dataThe legal entity data (legal name, address, legal form, legal representatives, etc.) of thebeneficiaries comes from the ‘Beneficiary Register’ of the Participant Portal.These data will be automatically used for all communications concerning this grant (see Article52) and other Horizon 2020 grants.The beneficiaries must therefore keep this data up-to-date at all times, including after the endof this grant (see also Article 17).In case of changes to these data, the Legal Entity Appointed Representative (LEAR) of theconcerned beneficiary must introduce a change request via the electronic exchange system (seeArticles 17 and 52). For more information on beneficiary registration, validation and data updates, see the Horizon 2020Online Manual.8
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014CHAPTER 1 GENERALARTICLE 1— SUBJECT OF THE AGREEMENTThis Agreement sets out the rights and obligations and the terms and conditions applicable to the grantawarded to the beneficiaries for implementing the action set out in Chapter 2.9
H2020 Annotated Model Grant Agreement: General MGA: Junely 2014CHAPTER 2 ACTIONARTICLE 2— ACTION TO BE IMPLEMENTED [— COMPLEMENTARY GRANT] [—JOINTLY FUNDED ACTION]The grant is awarded for the action entitled [insert title of the action] — [insert acronym] (‘action’), asdescribed in Annex 1.[OPTION for complementary grants if foreseen in the work programme: The grant is a ‘complementarygrant’ to [the grant agreement(s) under the call(s) for proposals [call identifier(s): H2020 — theme —]] [thefollowing complementary grant agreement(s) No(s):-[insert number] [insert acronym]-[insert number] [insert acronym]].][OPTION for joint actions (joint call with a third country or an international organisation): The action isa ‘jointly funded action’ which must be coordinated with the ‘joint action’ called [insert the name of thethird country or international organisation action], as described in Annex 1.]1. RIA, IA and CSA actionsThe term ‘action’ is used in the Financial Regulation 4 and means ‘project’, which is the termtraditionally, used in EU Research Framework Programmes.The RIA, IA and CSA actions of the General MGA are mono- or multi-beneficiary actions withthe following activities: for research and innovation actions (RIA): activities aiming to establish newknowledge or explore the feasibility of a new technology, product, process, service orsolution. For this purpose they may include basic and applied research, technologydevelopment and integration, testing and validation on a small-scale prototype in alaboratory or simulated environment) for innovation actions (IA): activities directly aiming at producing plans andarrangements or designs for new, altered or improved products, processes or services.For this purpose they may include prototyping, testing, demonstrating, piloting, largescale product validation and market replication) 5 for coordination and support actions (CSA): accompanying measures such asstandardization, dissemination, awareness-raising and communication, networking,45Financial Regulation (FR) — Regulation (EC, Euratom) No 966/2012 of the European Parliament and of theCouncil of 25 October 2012 on the financial rules applicable to the general budget of the European Union (OJ L298, 26.10.2012, p.1).Rules of Application (RAP) — Commission Regulation (EC, Euratom) No 1268/2012 of 29 October 2012 onthe rules of application of l Regulation (EC, Euratom) No 966/2012 of the European Parliament and of theCouncil on the financial rules applicable to the general budget of the Union (OJ L 298, 26.10.2012, p.1).For the definition, see Article 2.1(6) of the Rules for Participation: ‘innovation action’ means an actionprimarily consisting of activities directly aiming at producing plans and arrangements or designs for new, alteredor improved products, processes or services. For this purpose they may include prototyping, testing,demonstrating, piloting, large-
The AGA is limited to annotations to the provisions of the Horizon 2020 MGAs. For a more general overview of how Horizon 2020 grants work, see the . Horizon 2020 Online Manual. A comprehensive list of all Horizon 2020 referen
Oct 30, 2015 · 4 The ‘. IMPORTANT NOTICE AGA —Annotated Model Grant Agreement’ is a user guide that aims to explain to applicants and beneficiaries the General Model Grant Agreement (‘General MGA’) and the different specific Model Grant Agreements (‘Specific MGAs’) for the Horizon 2020 Framework Programme for 2014-2020. The p
5 . IMPORTANT NOTICE The AGA — Annotated Model Grant Agreement is a user guide that aims to explain to applicants and beneficiaries the General Model Grant Agreement (General MGA) and the different specific Model Grant Agreements (‘Specific MGAs’) for the Horizon 2020 Framework Programme for 2014-2020
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