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Summary of MS questions on the Commission\'s proposal for. Rules for Participation and Dissemination. DG Research & Innovation. Research and Innovation. Article 2 Definitions. Definition of Foreground : why to change? Definition of “ Associates countries ”: applicable criteria

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Summary of MS questions

on the Commission\'s proposal for

Rules for Participation and Dissemination

DG Research & Innovation

Research and



Article 2


  • Definition of Foreground: why to change?
  • Definition of “Associates countries”: applicable criteria
  • Definition of “Background”: differences with previous FPs
  • Definition of “Exploitation”
  • Definition of “Action”
  • Legal entities without legal personality

Article 4Information to be made available

  • IPR / Secure Societies: Why does the Commission foresee specific rules for actions in the activity “Secure societies” in art. 4 and 46?

(treated under article 46)

Article 5Forms of funding

  • Contrary to FP7: no list of funding schemes for grants
  • Which programme will enhance the use of lump-sums, scales of unit, prizes, etc?

Article 8Conditions for participation

  • SME instrument: EU added value in single beneficiary grants

Article 10 Calls for proposals

  • Procedure for coordination and support actions
  • Improvements
  • Information to the MS
  • Selection of named beneficiaries


Article 11 Joint calls

  • Will joint calls be used in the three priorities?

Article 14

Selection and award criteria

  • About the criteria
  • On the evaluation processes
  • One stage vs two stage
  • On expert panel composition: will they vary depending on priorities?
  • About proposals: performance indicators
  • About financial capacity: “guaranteed” by a MS

Article 15Evaluation review procedure

  • How many days for reviewing the coordinator request?

Article 16Grant agreement

  • Meaning of ““Specific grants for actions may form part of a framework partnership according to the provisions of Regulation…”

Article 17Grant decisions

  • Grant decisions vs grant agreements: what and when

Article 18Secure electronic system

  • What is the “secure electronic system”?; what is its legal value?

Article 19Implementation of the action

  • Amendments to the technical annex
  • Costs incurred by third parties
  • Subcontracts for carrying out certain elements of the action

Article 20Consortium

  • The role of the coordinator
  • Guidance on Consortium Agreements
  • Addition and removal of participants

Article 22

Funding of the action

  • How to determine the applicable reimbursement rate
  • Impact on the EU contribution of the 100 / 20 system
  • Reimbursment rate for the management costs
  • Simplification value of the system
  • State Aid Rules
  • Other issues: ICPC, income from the action, co-financing

Article 23 Eligibility of costs

  • Eligibility of VAT?
  • Eligibility of depreciation


Article 24 Indirect costs

  • Why is not possible to use “actual indirect costs”?
  • Article 24.2-derogation to the 20 % flat rate: "Indirect costs may be declared in the form of a lump sum or scale of unit costs when provided for in the work programme or work plan"

Article 25Annual productive hours

  • Calculation of personnel costs and differences with FP7
  • What will the Commission define in the GA regarding annual productive hours?

Article 27Scales of unit costs

  • Examples of scale of unit costs
  • Article 27.2 (a): how ‘total actual personnel costs’ should be interpreted?

Article 28 Certificate on the financial statements

  • Explanation on the EUR 325.000 threshold: how does it lead to less certificates required?
  • What is the “payment of the balance of the grant”?
  • What is the impact of the certificate in the final payment?


Article 29 Certificates on the methodology

  • Will be a FP7 certificate valid for Horizon 2020?

Article 31Cumulative funding

  • How will it work in practice the “cumulative funding”?

Article 32Participant Guarantee Fund

  • Does this article apply also to training and mobility actions?

Article 35Procurement, pre-commercial procurement and public procurement of innovative solutions

  • How PCP and PPI will work in practice?

Article 36Financial instruments

  • Why there is no detailed information on the financial instruments?
  • Which principles will apply the Commission to chose using financial instruments instead of other forms of funding?

Article 37Appointment of independent experts

  • In view of article 37.2:Does the Commission intend to publish calls including classified information?
  • How will the right balance attained in the evaluation committees?

Article 38Ownership of results

  • Joint ownership: rule and default option

Article 39Protection of results

  • What are the differences with FP7?
  • Definition of “appropriate period” and ”appropriate territorial coverage”
  • Clarification on the cases where the Commission can protect intellectual property of results if participants do not protect those themselves

Article 40

Exploitation and dissemination of results

  • Open Access
    • Will Open access be limited to Green open access or will it apply to Gold access?
    • How the Commission intends to ensure the implementation of the provision on open access?
  • How will the right balance between commercial interests and dissemination of results be attained?

Article 41Transfer and licensing of results

  • Prior notice to participants and possibility for Commission to object

Article 42Background

  • Ways to identify background
  • Relationship with article 44

Article 43Access rights principles

  • Impact of default on access rights
  • Conditions for access: Fair & reasonable which may be royalty-free

Article 45Access rights for exploitation

  • Access rights for affiliates?

Article 46Access rights for the Union and the Member States

  • General rule: why & scope
  • Secure societies: why different + role of EDA

Article 48Prizes

  • Applicable rules


  • References to the Work Programmes in the Rules
  • Shall the new rules affect only new Article 185 Instruments or also the current ones that are continuing beyond 2014?
  • How the Commission intends to reduce the time-to-grant?
  • What changes for CIP?