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H2020 Model Grant Agreements: Table of changes: V3.0 – dd.mm.2016

ENANNEX XXIII

Table changes for H2020 MGAs

In red – new text added to the ArticlesStrikethrough – text removed from the ArticlesRetroactive – changes applicable/not applicable to grant agreements signed with the old text (old versions)

No MGA concerned Change Type of change (clerical error/clarification/correction/

new rule)

Retroactive (Yes/No)

VERSION 3.01. All MGAs PREAMBLE/Accession Form/Annex 3a

[full official name (short name)][legal form], [official registration No], established in [official address in full], [OPTION for beneficiaries with VAT: VAT number [insert number], represented for the purposes of signing the Agreement by [function, forename and surname]

clarification/correction Yes

2. All MGAs mono-beneficiary

Preamble [full official name (short name)], established in [official address in full], [OPTION for beneficiaries with VAT: VAT number [insert number]] [OPTION for beneficiaries not receiving EU funding: , as ‘beneficiary not receiving EU funding’ (see Article 9)]]


3. All MGAs(except MSCA, SME Instrument Phase 1, Lump sum)

ARTICLE 4 — ESTIMATED BUDGET AND BUDGET TRANSFERS4.2 Budget transfersThe estimated budget breakdown indicated in Annex 2 may be adjusted – without an amendment (see Article 55) by transfers of amounts between beneficiaries, or between budget categories and/or forms of costs set out in Annex 2 (or both). This does not require an amendment according to Article 55, if the action is implemented as described in Annex 1. [OPTION if lump sum foreseen in Article 5.2: Moreover, lLump sums set out in Annex 2 can never be adjusted.]

new rule Yes(in favour of

beneficiaries)

4. All MGAs (exceptMSCAs, SME Instrument Phase 1, Lump sum)

ARTICLE 5 — GRANT AMOUNT, FORM OF GRANT, REIMBURSEMENT RATES AND FORMS OF COSTS5.2 Form of grant, reimbursement rates and forms of costsPersonnel costs for SME owners or beneficiaries that are natural persons not receiving a salary (see Article 6.2, Points A.4 and A.5) must be declared on the basis of the amount per unit set out in Annex 2a (unit costs);…(f) [OPTION for specific unit costs (if unit cost foreseen by Commission decision and applicable

to the grant): for [insert name of specific cost category(ies)1]: on the basis of the amount(s)

clarification (Annex 2a has always been part of Annex 2)

Yes

1



new rule)


per unit set out in Annex 2a2 (unit costs).]5. All MGAs 5.3 Final grant amount – Calculation

Step 4 – Reduction due to improper implementation substantial errors, irregularities or fraud or serious breach of other obligations

For reduction for substantial errors, irregularities or fraud:

new rule

For rest:clarification/correction

No

Yes

6. All MGAs 5.3.4 – Reduction due to substantial errors, irregularities or fraud improper implementation or serious breach of other obligations - Reduced grant amount — CalculationIf the grant is reduced (see Article 43), the [Commission][Agency] will calculate the reduced grant amount by deducting the amount of the reduction (calculated in proportion to the improper implementation of the action or to the seriousness of the errors, irregularities or fraud or breach of obligations in accordance with Article 43.2) from the maximum grant amount set out in Article 5.1.


new rule

For rest: clarification/correction

No

Yes

7. All MGAs 5.4 Revised final grant amount — Calculation- in case of reduction of the grant: by calculating the concerned beneficiary’s share in the

grant amount reduced in proportion to its improper implementation of the action or to the seriousness of the errors, irregularities or fraud its or breach of obligations (see Article 43.2).


new rule


No

Yes

8.A

All MGAs (except MSCA, SME Instrument Phase 1, Lump sum)

ARTICLE 6 — ELIGIBLE AND INELIGIBLE COSTS 6.1 General conditions for costs to be eligible(b) for unit costs:

(i) they must be calculated as follows:{amounts per unit set out in Annex 2a or calculated by the beneficiary in accordance with its usual cost accounting practices (see Article 6.2, Point A)

clarification Yes

9. All MGAs (except MSCA, ERANET, SME Instrument Phase 1, Lump sum)

6.2.A Direct personnel costs [(not covered by Point F)]Types of eligible personnel costs

clarification Yes

1

2 Annex 2a must clearly show, for each beneficiary (and linked third party) concerned, all the parameters for the unit cost (i.e. the unit(s), the amount(s) per unit, the research installation/infrastructure for which it is used, the clinical study for which it is used, etc).

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new rule)


A.4 Costs of owners of beneficiaries that are small and medium-sized enterprises (‘SME owners’), who are working on the action and who do not receive a salary are eligible personnel costs, if they correspond to the amount per unit set out in Annex 2a multiplied by the number of actual hours worked on the action.A.5 Costs of ‘beneficiaries that are natural persons’ not receiving a salary are eligible personnel costs, if they correspond to the amount per unit set out in Annex 2a multiplied by the number of actual hours worked on the action.


6.2.A Direct personnel costs [(not covered by Point F)]Types of eligible personnel costsCalculation The ‘hourly rate’ is one of the following:

(a) for personnel costs declared as actual costs: the hourly rate is the amount calculated per full financial year as follows:

{actual annual personnel costs (excluding additional remuneration) for the person

divided by

number of annual productive hours}.

The beneficiaries must use using the annual personnel costs and the number of annual productive hours for each full financial year covered by the reporting period concerned. If a financial year is not closed at the end of the reporting period, the beneficiary must use the hourly rate of the last closed financial year available.…

As an alternative, beneficiaries may calculate the hourly rate per month as follows:{actual monthly personnel cost (excluding additional remuneration) for the person

divided by

{number of annual productive hours / 12}.

using the personnel costs for each month and (one twelfth of) the annual productive hours calculated according to either option (i) or (iii) above, i.e.:

- fixed number of hours or- standard annual productive hours.

Time spent on parental leave may not be deducted when calculating the hourly rate per month. However, beneficiaries may declare personnel costs incurred in periods of parental leave in proportion to the time the person worked on the action in that financial year.If parts of a basic remuneration are generated over a period longer than a month, the beneficiaries may include only the share which is generated in the month

new rule Yes (in favour of beneficiaries)

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new rule)


(irrespective of the amount actually paid for that month).Each beneficiary must use only one option (per full financial year or per month) for each full financial year.

11. All MGAs (except(MSCA, SME Instrument Phase 1, ERANET, Lump sum)

6.2.A Direct personnel costs [(not covered by Point F)]Types of eligible personnel costsCalculationThe ‘hourly rate’ is one of the following:

(b) for personnel costs declared on the basis of unit costs: the hourly rate is one of the following:a. for SME owners or beneficiaries that are natural persons: the hourly rate set out in

Annex 2a (see Points A.4 and A.5 above), or

clarification Yes

12. All MGAs (exceptMSCA, SME Instrument, ERANET, PCP-PPI, Lump sum)

6.2.C Direct costs of providing financial support to third parties [(not covered by Point F)][OPTION 1a to be used if Article 15.1 applies: C.1 Direct costs of providing financial support are eligible if the conditions set out in Article 15.1.1 or 15.2.1 are met.][OPTION 1b to be used if Article 15.2 applies: C.2 Direct costs of providing financial support in the form of prizes are eligible if the conditions set out in Article 15.2.1 are met.]


13. All MGA (except ERC, SME Instrument Phase 1 and Phase 2, Lump sum, MSCA, ERANET Cofund, EJP Cofund)

6.2.D Other direct costs [(not covered by Point F)]D.2 …[OPTION (in addition to one of the two first options above) for trans-national and virtual access to research infrastructure: As an exception, the beneficiaries must not declare such costs (i.e. costs of renting, leasing, purchasing depreciable equipment, infrastructure and other assets) for providing trans-national or virtual access to research infrastructure (see Article 16.1).][OPTION (in addition to one of the two first options above) for virtual access to research infrastructure, unless the work programme explicitly allows capital investments for virtual access to research infrastructure: As an exception, the beneficiaries must not declare such costs (i.e. costs of renting, leasing, purchasing depreciable equipment, infrastructure and other assets) for providing virtual access to research infrastructure (see Article 16.2).]


beneficiaries)

4



new rule)


14. All MGAs multi(except MSCA SME Instrument, ERANET Cofund, Lump sum)

6.2.FF. [OPTION: [Insert name of specific cost category(ies)3][OPTION if no specific cost categories applicable to the grant: Specific cost category(ies)][OPTION for specific unit costs (if unit cost foreseen by Commission decision and applicable to the grant): [Insert name of specific cost category] are eligible, if they correspond to the amount per unit set out in Annex 2a multiplied by the number of actual units [and if [insert eligibility conditions, if any]].]

clarification Yes

15. All MGAs (except SME Instrument Phase 1, MSCA)

ARTICLE 10 — PURCHASE OF GOODS, WORKS OR SERVICES10.1 Rules for purchasing goods, works and services10.1.2 Beneficiaries that are 'contracting authorities' within the meaning of Directive 2004/18/EC4 (or 2014/24/EU5) or 'contracting entities' within the meaning of Directive 2004/17/EC6 (or 2014/25/EU7) must comply with the applicable national law on public procurement.

clarification (new Directives automatically replace the old

ones)

Yes

16. All MGAs (except SME Instrument Phase 1, MSCA)

ARTICLE 13 — IMPLEMENTATION OF ACTION TASKS BY SUBCONTRACTORS13.1 Rules for subcontracting action tasks[OPTION only for actions involving PPI: Participation in PPI tendering procedures must be open on equal terms to tenderers from EU Member States, associated countries and other countries with which the EU has an agreement in the field of public procurement. If the WTO Government Procurement Agreement applies, PPI subcontracts must also be open to tenderers from States that have ratified this agreement.If the procurement of the innovative solution (PPI) consists (and is limited to) buying a set of prototypes and/or test products that were developed during a preceding PCP Cofund action, the beneficiaries do not need to make an open market consultation, contract notice and contract award notice under Points (a), (b) and (e) above. In this case, they must make a request for tenders from at least three providers (including the providers that participated in the preceding PCP), in accordance with the negotiated procedure without publication under Directives 2004/18/EC (or 2014/24/EU) and 2004/17/EC (or 2014/25/EU)29 .]13.1.2 The beneficiaries must ensure that their obligations under Articles 35, 36, 38 and 46 also


ones)

Yes

3 Insert precise name of the cost category (as in the Commission decision authorising the use of the unit cost/lump sum). For example: ‘access costs for providing trans-national access to research infrastructure’, ‘costs for clinical studies’, ‘costs for energy efficiency measures in buildings’.

4 Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public work contracts, public supply contracts and public service contracts (OJ L 134, 30.04.2004, p. 114).5 Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC. (OJ L 94, 28.03.2014, p. 65).6 Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors (OJ L 134, 30.04.2004, p. 1)7 Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243).

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new rule)


apply to the subcontractors.Beneficiaries that are 'contracting authorities' within the meaning of Directive 2004/18/EC (or 2014/24/EU) or 'contracting entities' within the meaning of Directive 2004/17/EC (or 2014/25/EU) must comply with the applicable national law on public procurement.

17. All MGAs (exceptMSCA, SME Instrument Phase 1)

13.1 Rules for subcontracting action tasks[OPTION for classified results information: Classified results Action tasks involving classified information may be subcontracted only after explicit approval (in writing) from the [Commission][Agency] (see Article 37).]

clarification/correction (classified results are results

that involve classified information)

Yes

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new rule)


18. All MGAs (except ERC and SME Instrument Phase 1)

ARTICLE 20 — REPORTING — PAYMENT REQUESTS20.3 Periodic reports – Requests for interim payments(a) a 'periodic technical report' containing:….(ii) …The report must also detail the exploitation and dissemination of the results and — if required in Annex 1 — an updated ‘plan for the exploitation and dissemination of the results’.The report must also indicate the communication activities.

new rule No

19. All MGAs (except ERC, MSCA, SME Instrument, ERANET Cofund, EJP Cofund, Lump sum)

20.3 Periodic reports – Requests for interim payments(a) a 'periodic technical report' containing:….(ii) …[OPTION for providing access to trans-national access to research infrastructure: The report must detail the access activity, indicating the members of the selection panel, the selection procedure, the exact amount of access provided to the user groups, the description of their work, and information on the users (including names, nationality and home institutions);] [OPTION for providing virtual access to virtual services research infrastructure: The reports must detail the access activity, with statistics on the virtual access provided in the period, including quantity, geographical distribution of users and, whenever possible, information/statistics on scientific outcomes (publications, patents, etc.) acknowledging the use of the infrastructure;]


20. All MGAs (except ERC, MSCA ITN, SME Instrument Phase 1, ERANET Cofund, Lump sum)

20.4 Final report – Request for payment of the balance…(b) a 'final financial report' containing:(i) …financial summary statement (see Annex 4) …

correction Yes

21. All MGAs (except ERC, SME Instrument Phase 1, ERANET Cofund, Lump sum)

20.5 Information on cumulative expenditure incurred[OPTION for big grants above 5 million EUR with reporting periods beyond 18 months8: In addition to the reporting requirements set our above (Article 20.1 to 20.3), the coordinator must inform the [Commission][Agency] by [31 December][30 November] each year of the cumulative expenditure incurred by the beneficiaries from the starting date of the action.….]


22. All MGAs (except FPAs) 20.8 Consequences of non-compliance-Suspension of the payment deadline-Termination clarification/correction Yes

8 To be added in the case of grants of more than EUR 5 million for which a pre-financing is paid and the reporting periods for interim payments or payments of the balance exceed eighteen months.

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new rule)


If the coordinator breaches its obligation to submit the reports and if it fails to comply with this obligation within 30 days following a written reminder, sent by the [Commission][Agency], may terminate the Agreement may be terminated (see Article 50) or apply the other measures described in Chapter 6.

23. All MGAs multi-beneficiaries (except Lump sum)

ARTICLE 21 — PAYMENTS AND PAYMENT ARRANGEMENTSArticle 21.4 Payment of the balance – Amount – Calculation – Release of the amount retained for the Guarantee Fund….The amount to be paid may however be offset — without the beneficiary beneficiaries’s consent — against any other amount owed by a the beneficiary to the [Agency, the] Commission or an[other] executive agency (under the EU or Euratom budget), up to the maximum EU contribution indicated, for that beneficiary, in the estimated budget (see Annex 2).


24. All MGAs Article 21.8 Bank account for paymentsAll payments will be made to the following bank account:

Name of bank: […]Address of branch: […]Full name of the account holder: […]Full account number (including bank codes): […][IBAN code: […]]9

correction Yes

25. All MGAs mono-beneficiary

Article 22 CHECKS, REVIEWS, AUDITS AND INVESTIGATIONS — EXTENSION OF FINDINGSThe [Agency or the ]Commission may request beneficiaries to provide such information to it directly.

correction Yes

26. All MGAs 22.5.3.1 (Procedure audit extension)The [Agency or the] Commission may then start a rejection procedure in accordance with Article 42, amounts to be rejected will be determined on the basis of:- the revised financial statements, subject to their approval if approved;- the proposed alternative correction method, if acceptedor- the initially notified correction rate for extrapolation, if it If the [Agency or the] Commission does not receive any observations or revised financial statements, does not accept the observations or the proposed alternative correction method or does not approve the revised financial statements;, it will formally notify the beneficiary concerned the application of the initially notified correction rate for extrapolation.


9 BIC or SWIFT code applies to for countries if the IBAN code does not apply.

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new rule)


Article 22.5.3.2. (Procedure audit extension)If the findings concern substantial errors, irregularities or fraud improper implementation or a serious breach of another obligation: the formal notification will include:…The [Agency or the] Commission may then start a reduction procedure in accordance with Article 43, on the basis of:- the proposed alternative flat-rate, if accepted or- the initially notified flat-rate, if it If the [Agency or the] Commission does not receive any observations or does not accept the observations or the proposed alternative flat-rate, it will formally notify the beneficiary concerned the application of the initially notified flat-rate.If the [Agency or the] Commission accepts the alternative flat-rate proposed by the beneficiary concerned, it will formally notify the application of the accepted alternative flat-rate.

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new rule)


27. All MGAs ARTICLE 34 — ETHICS AND RESEARCH INTEGRITY34.1 Obligation to comply with ethical principles and research integrity principlesThe beneficiaries must carry out the action in compliance with:

(a) ethical principles (including the highest standards of research integrity — as set out, for instance, in the European Code of Conduct for Research Integrity5 — and including, in particular, avoiding fabrication, falsification, plagiarism or other research misconduct)

and(b) applicable international, EU and national law.

Funding will not be granted for activities carried out outside the EU if they are prohibited in all Member States or for activities which destroy human embryos (for example, for obtaining stem cells).

The beneficiaries must ensure that the activities under the action have an exclusive focus on civil applications.The beneficiaries must ensure that the activities under the action do not:

(a) aim at human cloning for reproductive purposes;(b) intend to modify the genetic heritage of human beings which could make such changes

heritable (with the exception of research relating to cancer treatment of the gonads, which may be financed), or

(c) intend to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer.

The beneficiaries must respect the highest standards of research integrity — as set out, for instance, in the European Code of Conduct for Research Integrity10.This implies notably compliance with the following essential principles:

- honesty;- reliability;- objectivity;- impartiality;- open communication;- duty of care;

Clarification

new rule

Yes

No

10 European Code of Conduct for Research Integrity of ALLEA (All European Academies) and ESF (European Science Foundation) of March 2011.http://www.esf.org/fileadmin/Public_documents/Publications/Code_Conduct_ResearchIntegrity.pdf.

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new rule)


- fairness and- responsibility for future science generations.

This means that beneficiaries must ensure that persons carrying out research tasks:- present their research goals and intentions in an honest and transparent manner;- design their research carefully and conduct it in a reliable fashion, taking its impact on

society into account;- use techniques and methodologies (including for data collection and management) that

are appropriate for the field(s) concerned;- exercise due care for the subjects of research — be they human beings, animals, the

environment or cultural objects;- ensure objectivity, accuracy and impartiality when disseminating the results;- allow — [OPTION for actions participating in the Open Research Data Pilot: in addition

to the open access obligations under Article 29.3] as much as possible and taking into account the legitimate interest of the beneficiaries — access to research data, in order to enable research to be reproduced ;

- make the necessary references to their work and that of other researchers;- refrain from practicing any form of plagiarism, data falsification or fabrication;- avoid double funding, conflicts of interest and misrepresentation of credentials or

other research misconduct.

28. All MGAs 34.2 Activities raising ethical issuesActivities raising ethical issues must comply with the ‘ethics requirements’ set out as deliverable in Annex 1.Before the beginning of an activity raising an ethical issue, the coordinator must submit (see Article 52) to the [Commission][Agency] copy of each beneficiary must have obtained:

(a) any ethics committee opinion required under national law and(b) any notification or authorisation for activities raising ethical issues required under national and/or European law.needed for implementing the action tasks in question.

The documents must be kept on file and be submitted upon request by the coordinator to the [Commission][Agency] (see Article 52). If these documents they are not in English, the coordinator they must be also submitted together with an English summary, which shows that the action tasks in question are covered, and includes of the submitted opinions, notifications and authorisations (containing, if available, the conclusions of the committee or authority concerned (if available)).


beneficiaries)

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new rule)


If these documents are specifically requested for the action, the request must contain an explicit reference to the action title. The coordinator must submit a declaration by each beneficiary concerned that all the submitted documents cover the action tasks.

29. All MGAs 34.3 Activities involving human embryos or human embryonic stem cellsActivities involving research on human embryos or human embryonic stem cells may be carried out, in addition to Article 34.1, only if:- they are set out in Annex 1 or- the coordinator has obtained explicit approval (in writing) from the [Commission][Agency] (see Article 52).

new rule No

30. All MGAs (except SME Instrument Phase 1)(see specific change in MSCA IF, ITN, RISE)

ARTICLE 36 — CONFIDENTIALITY36.1 General obligation to maintain confidentialityThe [Commission][Agency] may disclose confidential information to its staff, other EU institutions and bodies. It may disclose confidential information to or third parties, if:(a) this is necessary to implement the Agreement or safeguard the EU’s financial interests and(b) the recipients of the information are bound by an obligation of confidentiality.

new rule No

12



new rule)


SME Instrument Phase 1 MGA

36.1 General obligation to maintain confidentialityThe parties must keep confidential any data, documents or other material (in any form) that is identified as confidential at the time it is disclosed (‘confidential information’).They may use confidential information to implement the Agreement. The Agency may disclose confidential information also to its staff, other EU institutions and bodies.The confidentiality obligations no longer apply if:

(a) the disclosing party agrees to release the other party;(b) the information was already known by the recipient or is given to him without

obligation of confidentiality by a third party that was not bound by any obligation of confidentiality;

(c) the recipient proves that the information was developed without the use of

clarification (SME Ph1 has a more general provision on confidentiality; use for the

implementation of the agreement automatically

means to be able to disclose it to staff and other EU

institutions and bodies)

Yes

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new rule)


confidential information;(d) the information becomes generally and publicly available, without breaching any

confidentiality obligation, or(e) the disclosure of the information is required by EU or national law.

32. All MGAs(except SME Instrument Phase 1)

ARTICLE 37 — SECURITY-RELATED OBLIGATIONS37.1 Results with a security recommendation[OPTION 1 if applicable to the grant: The beneficiaries must comply with the ‘Results with a security recommendation(s)’ set out in Annex 1.)For security recommendations restricting disclosure or dissemination, the beneficiaries must — bBefore disclosingure or dissemination such results to a third party (including linked third parties, such as affiliated entities) —inform the coordinator, which the beneficiary must request written approval from the [Commission][Agency].In case of change to the security context, the beneficiaries must inform the coordinator which must immediately inform the [Commission][Agency] and, if necessary, request for Annex 1 to be amended (see Article 55).][OPTION 2: Not applicable]37.2 Classified information results[OPTION 1 if applicable to the grant: The beneficiaries must comply with the security classification set out in Annex 1 ('security aspect letter (SAL) and 'security classification guide (SCG)').Information that is classified Activities related to ‘classified results’ (see Annex 1) must be treated in accordance with the security aAspect letter (SAL) and Decision No 2015/44411 —the Security Classification Guide (SCG)) set out in Annex 1 until they are it is declassified.Action tasks related to involving classified results information may not be subcontracted without prior explicit written approval from the [Commission][Agency].In case of change to the security context, the beneficiaries must inform the coordinator which must immediately inform the [Commission][Agency] and, if necessary, request for Annex 1 to be amended (see Article 55).]The beneficiary must inform the [Commission][Agency] of any changes in the security context and — if necessary — request for Annex 1 to be amended (see Article 55).][OPTION 2: Not applicable]37.3 Activities involving dual-use goods or dangerous materials and substances[OPTION 1 if applicable to the grant: Activities involving dual-use goods or dangerous materials

clarifications/correction(classified results are

results that involve classified information)

Yes

11 Commission Decision 2015/444/EC, Euratom of 13 March 2015 on the security rules for protecting EU classified information.

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new rule)


and substances must comply with applicable EU, national and international law.Before the beginning of the activity, the beneficiary must submit to the [Commission][Agency] (see Article 52) a copy of any export or transfer licences required under EU, national or international law.][OPTION 2: Not applicable]

33. All MGAs ARTICLE 38 — PROMOTING THE ACTION — VISIBILITY OF EU FUNDING38.1.3 Disclaimer excluding [Commission][Agency and] Commission responsibilityAny communication activity related to the action must indicate that it reflects only the author's view and that the [Commission][Agency and the] Commission [is] [are] not responsible for any use that may be made of the information it contains.


34. All MGAs 38.2 Communication activities by the [Agency and the] Commission][Agency]38.2.1 Right to use beneficiaries’ materials, documents or informationThe [Agency and the ]Commission][Agency] may use, for its communication and publicising activities, information relating to the action, documents notably summaries for publication and public deliverables as well as any other material, such as pictures or audio-visual material that it receivesd from any beneficiary (including in electronic form).This does not change the confidentiality obligations in Article 36 and the security obligations in Article 37, all of which still apply.However, if If the [Agency's or the] Commission’s][Agency's] use of these materials, documents or information would risk compromising legitimate interests, the beneficiary concerned may request the [Agency or the] Commission][Agency] not to use it (see Article 52).The right to use a beneficiary’s materials, documents and information includes:

(a) use for its own purposes (in particular, making them available to persons working for the [Agency, the] Commission][Agency] or any other EU institution, body, office or agency or body or institutions in EU Member States; and copying or reproducing them in whole or in part, in unlimited numbers);

…(h) the right to authorise third parties to act on its behalf or sub-license the modes of use

set out in Points (b), (c), (d) and (f) to third parties if needed for the communication and publicising activities of the [Agency or the] Commission][Agency].

If the right of use is subject to rights of a third party (including personnel of the beneficiary), the beneficiary must ensure that it complies with its obligations under this Agreement (in particular, by obtaining the necessary approval from the third parties concerned).Where applicable (and if provided by the beneficiaries), the [Agency or the] Commission][Agency]

clarification/correction (material could already be

made available to the Commission under point a)

Yes

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new rule)


will insert the following information:

35. All MGAs mono-beneficiary (except MSCA)

ARTICLE 41 — DIVISION OF BENEFICIARIES’ ROLES AND RESPONSIBILITIES — RELATIONSHIP WITH COMPLEMENTARY BENEFICIARIES — RELATIONSHIP WITH PARTNERS OF A JOINT ACTION41.1 Role and responsibility towards the [Commission][Agency]…The beneficiary is itself responsible for:…

(a)submitting the deliverables and reports to the [Commission][Agency] (see Articles 19 and 20);

(b) submitting to the [Commission][Agency] in good time any documents or information required by it

and may not delegate or subcontract these tasks to any third party (including linked third parties).


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new rule)


36. All MGAs multi-beneficiary (except MSCA)

Article 41.2 Internal division of roles and responsibilitiesThe coordinator may not delegate or subcontract the above-mentioned tasks to any other beneficiary or subcontract them or third party (including linked third parties).


37. General MGAs (mono and multi beneficiary) and PCP-PPI MGA

Article 41.1/41.2

[OPTION to be used when the coordinator is an European Research Infrastructure Consortium (ERIC)[1][1] without own resources: As an exception, the coordinator delegates the tasks set out in Point 2(b)(i) to (iv) above to [insert name of member of the ERIC]. The coordinator retains sole responsibility for compliance with the obligations under the Agreement.]


beneficiaries)

38. All MGAs CHAPTER 6 REJECTION OF COSTS — REDUCTION OF THE GRANT — RECOVERY — SANCTIONS PENALTIES — DAMAGES — SUSPENSION — TERMINATION — FORCE MAJEURE SECTION 1 REJECTION OF COSTS — REDUCTION OF THE GRANT — RECOVERY — SANCTIONS PENALTIES

New rule No

39. All MGAs multi-beneficiaries (except lump sum, SME Instrument Phase 1)

ARTICLE 42 — REJECTION OF INELIGIBLE COSTS42.1 Conditions42.1.1 The [Commission][Agency] will — at the time of an interim payment, after termination of the participation of a beneficiary, at the payment of the balance or afterwards — reject any costs which are ineligible (see Article 6), in particular following checks, reviews, audits or investigations (see Article 22).42.1.2 The rejection may also be based on the extension of findings from other grants to this grant, under the conditions set out in (see Article 22.5.2).

clarification/correction (rejection of costs already part of the beneficiary termination procedure in Article 50 (only

costs approved by the Commission/Agency))

Yes

40. All MGAs 42.2 Ineligible costs to be rejected — Calculation —Procedure…If the [Commission][Agency] rejects rejection of costs does not lead to a without reduction of the grant (see Article 43) or recovery of undue amounts (see Article 44), it the [Commission][Agency] will formally notify the coordinator or beneficiary concerned of the rejection of costs, the amounts and the reasons why (if applicable, together with the notification of amounts due; see Article 21.5). The coordinator or beneficiary concerned may — within 30 days of receiving notification — formally notify the [Commission][Agency] of its disagreement and the reasons why.If the [Commission][Agency] rejects rejection of costs leads to a with reduction of the grant or recovery of undue amounts, it the [Commission][Agency] will follow the contradictory procedure

clarification Yes

[1] [1] See Council Regulation (EC) No 723/2009 of 25 June 2009 on the Community legal framework for a European Research Infrastructure Consortium (ERIC) (OJ L 206, 08.08.2009, p.1).

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new rule)


with formally notify the rejection in the ‘pre-information letter’ on reduction or recovery set out in Articles 43 and 44.


42.3 EffectsIf the [Commission][Agency] rejects costs at the time of an interim payment or the payment of the balance, it will deduct them from the total eligible costs declared, for the action, in the periodic or final summary financial statement (see Articles 20.3 and 20.4). It will then calculate the interim payment or payment of the balance as set out in Articles 21.3 or 21.4.If the [Commission][Agency] rejects costs after termination of the participation of a beneficiary, it will deduct them from the costs declared by the beneficiary [and its linked third parties] in the termination report and include the rejection in the calculation at termination (see Article 50.2 and 50.3).…

clarifications/correction Yes

42. All MGAs multi-beneficiaries (except Lump sum, SME Instrument Phase 1)

ARTICLE 43 – REDUCTION OF THE GRANT43.1 Conditions43.1.1 The [Commission][Agency] may — after termination of the participation of a beneficiary at the payment of the balance or afterwards — reduce the maximum grant amount (see Article 5.1), if:the action has not been implemented properly as described in Annex 1 or another obligation under the Agreement has been breached.

(a) a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has committed:

(i) substantial errors, irregularities or fraud or(ii) serious breach of obligations under the Agreement or during the award

procedure (including improper implementation of the action, submission of false information, failure to provide required information, breach of ethical principles), or

(b) a beneficiary (or a natural person who has the power to represent or take decision on its behalf) has committed — in other EU or Euratom grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (43.1.2 The [Commission][Agency] may also reduce the maximum grant amount on the basis of the extension of findings from other grants to this grant, under the conditions set out in; see Article 22.5.2).

For reduction at beneficiary termination: new rule


new rule


No

No

Yes

43. All MGAs mono-beneficiary (except Lump sum, SME Instrument

43.1 Conditions43.1.1 The [Commission][Agency] may — at the payment of the balance or afterwards — reduce the maximum grant amount (see Article 5.1), if:

For reduction at beneficiary termination: new rule

No

18



new rule)


Phase 1) the action has not been implemented properly as described in Annex 1 or another obligation under the Agreement has been breached.

(a) a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has committed:

(i) substantial errors, irregularities or fraud or(ii) serious breach of obligations under the Agreement or during the award

procedure (including improper implementation of the action, submission of false information, failure to provide required information, breach of ethical principles), or

(b) a beneficiary (or a natural person who has the power to represent or take decision on its behalf) has committed — in other EU or Euratom grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (43.1.2 The [Commission][Agency] may also reduce the maximum grant amount on the basis of the extension of findings


new rule


No

Yes

19



new rule)


from other grants to this grant, under the conditions set out in; see Article 22.5.2).

44. All MGAs 43.2 Amount to be reduced — Calculation — ProcedureThe amount of the reduction will be proportionate to the improper implementation of the action or to the seriousness of the breach seriousness of the errors, irregularities or fraud or breach of obligations.


45. All MGAs multi-beneficiaries (except Lump sum, SME Instrument Phase 1)

43.3 EffectsIf the [Commission][Agency] reduces the grant after termination of the participation of a beneficiary, it will calculate the reduced grant amount for that beneficiary and then determine the amount due to that beneficiary (see Article 50.2 and 50.3).If the [Commission][Agency] reduces the grant at the time of the payment of the balance, it will calculate the reduced grant amount for the action and then determine the amount due as payment of the balance (see Articles 5.3.4 and 21.4).If the [Commission][Agency] reduces the grant after the payment of the balance, it will calculate

new rule No

20



new rule)


the revised final grant amount for the beneficiary concerned (see Article 5.4). If the revised final grant amount for the beneficiary concerned is lower than its share of the final grant amount, the [Commission][Agency] will recover the difference (see Article 44).

46. All MGAs ARTICLE 45 - ADMINISTRATIVE AND FINANCIAL PENALTIES SANCTIONSIn addition to contractual measures, the [Agency or the] Commission may also adopt administrative sanctions under Articles 106 and 131(4) of the Financial Regulation No 966/2012 (i.e. exclusion from future procurement contracts, grants and expert contracts and/or financial penalties).45.1 ConditionsUnder Articles 109 and 131(4) of the Financial Regulation No 966/2012, the [Commission][Agency] may impose administrative and financial penalties if a beneficiary:

(a) has committed substantial errors, irregularities or fraud or is in serious breach of its obligations under the Agreement or

(b) has made false declarations about information required under the Agreement or for the submission of the proposal (or has not supplied such information).

Each beneficiary is responsible for paying the financial penalties imposed on it.Under Article 109(3) of the Financial Regulation No 966/2012, the [Agency or the] Commission may — under certain conditions and limits — publish decisions imposing administrative or financial penalties.45.2 Duration — Amount of penalty — CalculationAdministrative penalties exclude the beneficiary from all contracts and grants financed from the EU or Euratom budget for a maximum of five years from the date the infringement is established by the [Commission][Agency].If the beneficiary commits another infringement within five years of the date the first infringement is established, the [Commission][Agency] may extend the exclusion period up to 10 years.Financial penalties will be between 2% and 10% of the maximum EU contribution indicated, for the beneficiary concerned, in the estimated budget (see Annex 2).If the beneficiary commits another infringement within five years of the date the first infringement is established, the [Commission][Agency] may increase the rate of financial penalties to between 4% and 20%.45.3 ProcedureBefore applying a penalty, the [Commission][Agency] will formally notify the beneficiary concerned:

- informing it of its intention to impose a penalty, its duration or amount and the reasons

for procedure: clarification/correction

for rest: new rule

Yes

Yes/No (administrative

sanctions are not a contractual measure; but directly taken on the basis of the FR;rules on substance

conditions, consequences:

applied to facts that happened after entry

into forcerules on procedure (panel, etc): to be

applied immediately) entry

21



new rule)


why and- inviting it to submit observations within 30 days.

If the [Commission][Agency] does not receive any observations or decides to impose the penalty despite of observations it has received, it will formally notify confirmation of the penalty to the beneficiary concerned and — in case of financial penalties — deduct the penalty from the payment of the balance or formally notify a debit note, specifying the amount to be recovered, the terms and the date for payment.If payment is not made by the date specified in the debit note, the [Agency or the] Commission may recover the amount:

(a) by offsetting it — without the beneficiary’s consent — against any amounts owed to the beneficiary concerned by the [Agency, the] Commission or an[other] executive agency (from the EU or Euratom budget).In exceptional circumstances, to safeguard the EU’s financial interests, the [Commission][Agency] may offset before the payment date in the debit note;

(b) by taking legal action (see Article 57) or by adopting an enforceable decision under Article 299 of the Treaty on the Functioning of the EU (TFEU) [, Article 106a of the Euratom Treaty] and Article 79(2) of the Financial Regulation No 966/2012.

If payment is not made by the date in the debit note, the amount to be recovered (see above) will be increased by late-payment interest at the rate set out in Article 21.11, from the day following the payment date in the debit note, up to and including the date the [Agency or the] Commission receives full payment of the amount.Partial payments will be first credited against expenses, charges and late-payment interest and then against the principal.Bank charges incurred in the recovery process will be borne by the beneficiary, unless Directive 2007/64/EC applies.

47. All MGAs ARTICLE 46 - LIABILITY FOR DAMAGES…46.2.1 ConditionsExcept in case of force majeure (see Article 51), the beneficiaries must compensate the [Commission][Agency] for any damage it sustains as a result of the implementation of the action or because the action was not implemented in full compliance with the Agreement.Each beneficiary is responsible for paying the damages claimed from it.46.2.2 Amount of damages — CalculationThe amount the [Commission][Agency] can claim from a beneficiary will correspond to the


22



new rule)


damage caused by that beneficiary.46.2.3 ProcedureBefore claiming damages, the [Commission][Agency] will formally notify the beneficiary concerned:

- informing it of its intention to claim damages, the amount and the reasons why and- inviting it to submit observations within 30 days.

If the [Commission][Agency] does not receive any observations or decides to claim damages despite the observations it has received, it will formally notify confirmation of the claim for damages and a debit note, specifying the amount to be recovered, the terms and the date for payment.If payment is not made by the date specified in the debit note, the [Agency or the] Commission may recover the amount:

(a) by offsetting it — without the beneficiary’s consent — against any amounts owed to the beneficiary concerned by the [Agency, the] Commission or an[other] executive agency (from the EU or Euratom budget).In exceptional circumstances, to safeguard the EU’s financial interests, the [Commission][Agency] may offset before the payment date in the debit note;

(b) by taking legal action (see Article 57) or by adopting an enforceable decision under Article 299 of the Treaty on the Functioning of the EU (TFEU) [, Article 106a of the Euratom Treaty] and Article 79(2) of the Financial Regulation No 966/2012.

If payment is not made by the date in the debit note, the amount to be recovered (see above) will be increased by late-payment interest at the rate set out in Article 21.11, from the day following the payment date in the debit note, up to and including the date the [Agency or the] Commission receives full payment of the amount.Partial payments will be first credited against expenses, charges and late-payment interest and then against the principal.Bank charges incurred in the recovery process will be borne by the beneficiary, unless Directive 2007/64/EC applies.

48. All MGAs ARTICLE 48 – SUSPENSION OF PAYMENTS48.1 ConditionsThe [Commission][Agency] may — at any moment — suspend payments, in whole or in part, the pre-financing payment, and interim payments and for one or more beneficiaries or the payment of the balance, if a beneficiary:

(a) a beneficiary (or a natural person who has the power to represent or take decision on its behalf) has committed or is suspected of having committed:

for partial suspension of the payment of the balance: new

rule

for the rest:clarification/correction

(‘beneficiary’ always also

Yes(in favour of

beneficiaries)

Yes

23



new rule)


(i) substantial errors, irregularities or fraud or(ii) serious breach of obligations in the award procedure or under the Agreement

or during the award procedure (including improper implementation of the action, submission of false information, failure to provide required information, breach of ethical principles), or

(b) a beneficiary (or a natural person who has the power to represent or take decision on its behalf) has committed — in other EU or Euratom grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (extension of findings from other grants to this grant; see Article 22.5.2).

If payments are suspended for one or more beneficiaries, the [Commission][Agency] will make partial payment(s) for the part(s) not suspended. If suspension concerns the payment of the balance, — once suspension is lifted —the payment or the recovery of the amount(s) concerned will be considered the payment of the balance that closes the action.

covers persons that work for it)

49. All MGAs multi-beneficiaries

48.2 ProcedureBefore suspending payments, the [Commission][Agency] will formally notify the coordinator or beneficiary concerned:- informing it of its intention to suspend payments and the reasons why and- inviting it to submit observations within 30 days of receiving notification.If the [Commission][Agency] does not receive observations or decides to purse the procedure despite the observations it has received, it will formally notify confirmation of the suspension. Otherwise, it will formally notify that the procedure is not continued.…If the conditions for resuming payments are met, the suspension will be lifted. The [Commission][Agency] will formally notify the coordinator or beneficiary concerned.


beneficiaries)

50. All MGAs(except SME Instrument Phase 1, PCP-PPI, Lump sum)

48.2 ProcedureDuring the suspension, the periodic report(s) for all reporting periods except the last one (see Article 20.3) must not contain any individual financial statements from the beneficiary concerned [and its linked third parties]. When the [Commission][Agency] resumes payments, t The coordinator may must include them in the next periodic report after suspension is lifted or – if suspension is not lifted before the end of the action – in the last periodic report.

new rule (linked to partial suspensions of final payment)

Yes(in favour of

beneficiaries)

51. All MGAs ARTICLE 49 — SUSPENSION OF THE ACTION IMPLEMENTATION49.2.1 ConditionsThe [Commission][Agency] may suspend implementation of the action or any part of it, if:

clarification/correction (‘beneficiary’ always also

covers persons that work for it)

Yes

24



new rule)


(a) If a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has committed or is suspected of having committed:

(i) substantial errors, irregularities or fraud or(ii) serious breach of obligations in the award procedure or under this the

Agreement or during the award procedure (including improper implementation of the action, submission of false declaration, failure to provide required information, breach of ethical principles);

(b) if a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has committed — in other EU or Euratom grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (extension of findings from other grants to this grant; see Article 22.5.2), or


49.2 Suspension of the action implementation, by the [Commission][Agency]49.2.2 ProcedureBefore suspending implementation of the action, the [Commission][Agency] will formally notify the coordinator or beneficiary concerned:

- informing it of its intention to suspend the implementation and the reasons why and- inviting it to submit observations within 30 days of receiving notification.

If the [Commission][Agency] does not receive observations or decides to purse the procedure despite the observations it has received, it will formally notify confirmation of the suspension. Otherwise, it will formally notify that the procedure is not continued.The suspension will take effect five days after confirmation notification is received by the coordinator (or on a later date specified in the notification).It may also be lifted if the conditions for resuming implementation of the action are met.The coordinator or beneficiary concerned will be formally notified of the lifting and the Agreement will be amended to set the date on which the action will be resumed, extend the duration of the action and make other changes necessary to adapt the action to the new situation (see Article 55) - unless the Agreement has been already terminated (see Article 50).

new rule Yes(in favour of the

beneficiaries)

53. All MGAs (except SME Instrument Phase 1)

ARTICLE 50 — TERMINATION OF THE AGREEMENT OR OF THE PARTICIPATION OF ONE OR MORE BENEFICIARIES

50.1 Termination of the Agreement, by the beneficiaries50.1.2 EffectsAfter termination, the beneficiaries’ obligations (in particular Articles 20, 22, 23, Section 3 of Chapter 4, 36, 37, 38, and 40, 42, 43 and 44) continue to apply.

–clarification (explicitly list also the financial obligations, to be

sure that there are no e-contrario interpretations)

Yes

25



new rule)



50.2 Termination of the participation of one or more beneficiaries, by the beneficiaries50.2.2 Effects…The [Commission][Agency] will calculate — on the basis of the periodic reports, the termination report and the report on the distribution of payments — calculate the amount which is due to the beneficiary and if the (pre-financing and interim) payments received by the beneficiary concerned exceed this amount. the beneficiary’s EU contribution (calculated by applying the reimbursement rate(s) to the eligible costs declared by the beneficiary [and its linked third parties] and approved by the [Commission][Agency]).

The amount which is due is calculated in the following steps:Step 1 — Application of the reimbursement rate to the eligible costs

The grant amount for the beneficiary is calculated by applying the reimbursement rate on the total eligible costs declared by the beneficiary [and its linked third parties] in the termination report and approved by the [Commission][Agency].Only costs incurred by the beneficiary concerned until termination takes effect are eligible (see Article 6). Costs relating to contracts due for execution only after termination are not eligible.

Step 2 — Reduction due to substantial errors, irregularities or fraud or serious breach of obligationsIn case of a reduction (see Article 43), the [Commission][Agency] will calculate the reduced grant amount for the beneficiary by deducting the amount of the reduction (calculated in proportion to the seriousness of the errors, irregularities or fraud or breach of obligations, in accordance with Article 43.2) from the grant amount for the beneficiary.

…After termination, the concerned beneficiary’s obligations (in particular Articles 20, 22, 23, Section 3 of Chapter 4, 36, 37, 38, and 40, 42, 43 and 44) continue to apply.

for cost rejection at beneficiary termination:



for reduction at beneficiary termination:

new rule

clarification(explicitly list also the financial obligations, to be


Yes

No

Yes

55. All MGAs 50.3 Termination of the Agreement or the participation of one or more beneficiaries by the [Commission][Agency]50.3.1 ConditionsThe [Commission][Agency] may terminate the Agreement or the participation of one or more beneficiaries, if :

26



new rule)


(k) a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has committed fraud, corruption, or is involved in a criminal organisation, money laundering or any other illegal activity affecting the EU’s financial interests;

(l) a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has — in the award procedure or under the Agreement — committed:

(i) substantial errors, irregularities, or fraud or(ii) serious breach of obligations under the Agreement or during the award procedure, (including improper implementation of the action, submission of false information, failure to provide required information, breach of ethical principles);

(m) a beneficiary (or a natural person who has the power to represent or take decisions on its behalf) has committed — in other EU or Euratom grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (‘extension of findings from other grants to this grant’; see Article 22.5.2).

(n) despite a specific request by the [Commission][Agency], a beneficiary does not request— through the coordinator— an amendment to the Agreement to end the participation of one of its linked third parties that is in one of the situations under points (e), (f), (g), (k), (l) or (m) and to reallocate its tasks.

new rule (change of FR)

clarification/correction

clarification (‘beneficiary’ always also covers persons that

work for it)

new rule

No

Yes

Yes

No

27



new rule)



50.3.2 ProcedureBefore terminating the Agreement or participation of one or more beneficiaries, the [Commission][Agency] will formally notify the coordinator or beneficiary concerned:

- informing it of its intention to terminate and the reasons why and- inviting it, within 30 days of receiving notification, to submit observations and – in case of Point (l.ii) above – to inform the [Commission][Agency] of the measures to ensure compliance with the obligations under the Agreement.

If the [Commission][Agency] does not receive observations or decides to purse the procedure despite the observations it has received, it will formally notify to the coordinator or beneficiary concerned confirmation of the termination and the date it will take effect. Otherwise, it will formally notify that the procedure is not continued.The termination will take effect:

- for terminations under Points (b), (c), (e), (g), (h), (j), and (l.ii) and (n) above: on the day


beneficiaries)

28



new rule)


specified in the notification of the confirmation (see above);- for terminations under Points (a), (d), (f), (i), (k) (l.i) and (m) above: on the day after the notification of the confirmation is received by the coordinator.

57. All MGAs 50.3.3 Effects(a) for termination of the Agreement…If the Agreement is terminated for breach of the obligation to submit the reports (see Articles 20.8 and 50.3.1(l)), the coordinator may not submit any reports after termination.…This does not affect the [Commission’s][Agency’s] right to reduce the grant (see Article 43) or to impose administrative and financial penalties sanctions (Article 45).…After termination, the concerned beneficiary’s obligations (in particular Articles 20, 22, 23, Section 3 of Chapter 4, 36, 37, 38, and 40, 42, 43 and 44) continue to apply.

correction (new name in FR)

clarification (explicitly list also the financial obligations, to be


Yes

Yes


50.3.3 Effects(b) for termination of the participation of one or more beneficiaries…The [Commission][Agency] will calculate — on the basis of the periodic reports, the termination report and the report on the distribution of payments — calculate the amount which is due to the beneficiary and if the (pre-financing and interim) payments received by the beneficiary concerned exceed this amount. the beneficiary’s EU contribution (calculated by applying the reimbursement rate(s) to the eligible costs declared by the beneficiary [and its linked third parties] and approved by the [Commission][Agency]).

The amount which is due is calculated in the following steps:Step 1 — Application of the reimbursement rate to the eligible costs

The grant amount for the beneficiary is calculated by applying the reimbursement rate on the total eligible costs declared by the beneficiary [and its linked third parties] in the termination report and approved by the [Commission][Agency].Only costs incurred by the beneficiary concerned until termination takes effect are eligible (see Article 6). Costs relating to contracts due for execution only after termination are not eligible.

Step 2 — Reduction due to substantial errors, irregularities or fraud or serious breach of

for cost rejection at beneficiary termination:



for reduction at beneficiary

Yes

No

29



new rule)


obligationsIn case of a reduction (see Article 43), the [Commission][Agency] will calculate the reduced grant amount for the beneficiary by deducting the amount of the reduction (calculated in proportion to the seriousness of the errors, irregularities or fraud or breach of obligations, in accordance with Article 43.2) from the grant amount for the beneficiary.

…After termination, the concerned beneficiary’s obligations (in particular Articles 20, 22, 23, Section 3 of Chapter 4, 36, 37, 38, and 40, 42, 43 and 44) continue to apply.

termination:new rule

clarification (explicitly list also the financial obligations, to be


Yes

59. All MGAs ARTICLE 52 — COMMUNICATION BETWEEN THE PARTIES52.1 Form and means of communicationCommunications in the electronic exchange system must be made by persons authorised according to the ‘ Participant Portal Tterms and Cconditions of Use of the electronic exchange system’. For naming the authorised persons, each beneficiary must have designated — before the signature of this Agreement — a ‘Llegal Eentity Aappointed Rrepresentative (LEAR)’. The role and tasks of the LEAR are stipulated in his/her appointment letter (see Participant Portal Tterms and Cconditions of Use of the electronic exchange system).


60. All MGAs 52.3 Addresses for communicationFormal notifications on paper (only after the payment of the balance) addressed to the [Commission][Agency] must be sent to the following address:

[European Commission][name of the Agency][Directorate-General][Department] [complete][Directorate [complete]][Street name and number]Unit [complete][Post code, town and country]

Formal notifications on paper (only after the payment of the balance) addressed to the beneficiaries must be sent to their legal address as specified in the ‘Participant Portal Beneficiary Register’.


61. All MGAs multi-beneficiaries (except SME Instrument)

ARTICLE 57 — APPLICABLE LAW AND SETTLEMENT OF DISPUTES57.1 Applicable lawThe Agreement is governed by the applicable EU law, supplemented if necessary by the law of Belgium.


30



new rule)


[additional OPTION for international organisations that do not accept any applicable law clause application of Union law: except As an exception, there is no applicable law for [insert name(s) of the international organisations concerned]].[additional OPTION for international organisations that would accept an applicable law clause, but not the standard clause (EU + Belgian law)accept application of Union law but not Belgian law: As an exception, the Agreement is governed by a different applicable law for the following beneficiaries: For- [insert name(s) of the international organisations concerned], the Agreement is governed [by

the applicable EU law][, supplemented if necessary][ by the law of [Belgium][[insert name of another Member State or an EFTA country]] [and, where appropriate,] [by the general principles governing the law of international organisations and the rules of general international law].]

- insert name(s) of the international organisations concerned]: [by the applicable EU law] [, supplemented if necessary] [by the law of [Belgium][[insert name of another Member State or EFTA country]]] [and, where appropriate,] [by the general principles governing the law of international organisations and the rules of general international law]

[same for other international organisations].]

62. All MGAs mono - beneficiary (except SME Instrument)

57.1 Applicable law[OPTION 1 by default: The Agreement is governed by the applicable EU law, supplemented, if necessary by the law of Belgium.][OPTION 2 for international organisations that do not accept any applicable tion of Union law clause: Not applicable][OPTION 3 for international organisations that would accept an applicable tion of Union law clause, but not the standard clause (EU + Belgian law): The Agreement is governed [by the applicable EU law] [, supplemented if necessary] [by the law of [Belgium][[insert name of another Member State or EFTA country]]] [and, where appropriate,] [by the general principles governing the law of international organisations and the rules of general international law].]

clarifications/corrections Yes

63. All MGAs multi-beneficiaries (except SME Instrument)

57.2 Dispute settlement[additional OPTION for non-EU beneficiaries (except beneficiaries established in an associated country with an association agreement to Horizon 2020 that stipulates sole jurisdiction of the European Court of Justice): As an exception, if such a dispute is between the [Commission][Agency] and [insert non-EU beneficiary(ies) name(s)], the competent Belgian courts have sole jurisdiction.][additional OPTION for beneficiaries that are international organisations and for non-EU beneficiaries not receiving EU funding, established in a non-EU or associated country and which

clarification/corrections Yes

31



new rule)


according to their national law cannot be subject to the jurisdiction of the Belgian Courts European Court of Justice: As an exception, for the following beneficiaries:

- [insert name of international organisation or non-EU beneficiary not receiving EU funding]

- [insert name of international organisation or non-EU beneficiary not receiving EU funding]

[same for other beneficiaries that are international organisations or non-EU beneficiaries not receiving EU funding]

such disputes must — if they cannot be settled amicably — be referred to arbitration.

64. All MGAs mono -beneficiary

57.2 Dispute settlement[OPTION 3 if the beneficiary is an international organisation or a non-EU beneficiary not receiving EU funding and which according to its national law cannot be subject to the jurisdiction of the Belgian courts: Disputes between the beneficiary and the [Commission]


32



new rule)


[Agency] relating to the Agreement concerning the interpretation, application or validity of the Agreement must — if they cannot be settled amicably —be referred to arbitration.


Annex 2correct calculation of estimated costs (amount shown in Article 5) excluding the costs of beneficiaries/third parties/partner organisations not receiving funding

clerical error Yes

66. Annex 2separate cost categories for financial support


67. All MGAs multi-beneficiary

Annex 3[Full official name of the beneficiary/new beneficiary/new coordinator (short name)] [legal form], [official registration No], established in [official address in full] [OPTION for beneficiaries with VAT: VAT number [VAT number insert number], (‘the beneficiary’ or ‘the coordinator’), represented for the purpose of signing this Accession Form by [forename and surname, function],…[OPTION for new beneficiaries: , as from[insert date] [the date of signature of the Accession Form][the date of entry into force of the amendment] (‘accession date’) [additional OPTION for change of beneficiary due to partial takeover:, and with joint and several liability for undue amounts paid to [insert short name of former beneficiary] (i.e. recoveries)]— if the [Commission][Agency] agrees with the request for amendment]


new rule

Yes

No


Annex 3a[full official name of the entity affiliated or linked to the beneficiary (short name)], [legal form], [beneficiary No], established in [official address in full], [OPTION for linked third parties with VAT: VAT number [VAT numberinsert number] (‘the linked third party’), represented for the purpose of signing this Declaration on joint and several liability by its legal representative(s) [forename and surname, function of the legal representative(s) of the linked third party],linked to beneficiary No [insert number] [full official name of the beneficiary (short name)], [legal form], [beneficiary No], established in [official address in full], [OPTION for beneficiaries with VAT: VAT number [VAT numberinsert number] (‘the beneficiary’),


69. All MGAs(except MSCA, SME Instrument Phase 1, PCP-PPI, Lump sum)

Annex 4Footnote 3 : "This is the theoretical amount of EU contribution that the system calculates automatically (by multiplying the reimbursement rate by the total costs declared). The amount you request (in the column 'requested EU contribution') may have to be less (e.g. if you and the other beneficiaries are above budget, if the 90% limit (see Article 21) is reached, etc)."


70. All MGAs(except Lump sum, ERC

Annex 5, Terms of Reference, 1.4: clerical error Yes

33



new rule)


low value, MSCAs, SME Instrument Phase 1)

…Under Article 22 of the Agreement, the [Commission, ] [ the Agency,], the European Anti-Fraud Office and the Court of Auditors have the right to audit any work that is carried out under the action and for which costs are declared from [the European Union] [Euratom] budget. This includes work related to this engagement. The Auditor must provide access to all working papers (e.g. recalculation of hourly rates, verification of the time declared for the action) related to this assignment if the [Commission], [ the Agency,] the European Anti-Fraud Office or the European Court of Auditors requests them.

71. All MGAs(except Lump sum, ERC low value, MSCAs, SME Instrument Phase 1)

Annex 5, Ref A.2C. THE STANDARD NUMBER OF ANNUAL HOURS GENERALLY APPLIED BY THE BENEFICIARY FOR ITS PERSONNEL IN

ACCORDANCE WITH ITS USUAL COST ACCOUNTING PRACTICES (THIS METHOD IS ALSO REFERRED TO AS ‘TOTAL STANDARD ANNUAL PRODUCTIVE HOURS’ IN THE NEXT COLUMN). THIS NUMBER MUST BE AT LEAST 90% OF THE STANDARD ANNUAL WORKABLE HOURS.

Column standard factual finding23) [C: ‘standard annual productive hours’ used correspond to usual accounting practices]26.1) The Beneficiary calculates the hourly rates per full financial year following procedure A.3 (method B is not allowed for beneficiaries calculating hourly rates per month).

clerical error Yes


Annex 5, Ref A.3II) For individual hourly rates:The Auditor:

o reviewed the documentation provided by the Beneficiary, including manuals and internal guidelines that explain how to calculate hourly rates;

o recalculated the hourly rates of staff included in the sample (recalculation of all hourly rates if the Beneficiary uses annual rates, recalculation of three months selected randomly for every year and person if the Beneficiary uses monthly rates) following the results of the procedures carried out in A.1 and A.2;

o (only in case of monthly rates) confirmed that the time spent on parental leave is not deducted, and that, if parts of the basic remuneration are generated over a period longer than a month, the Beneficiary has included only the share which is generated in the month.

HOURLY RATE FOR INDIVIDUAL ACTUAL PERSONAL COSTS: IT IS CALCULATED FOLLOWING ONE OF THE TWO OPTIONS BELOW:A) [OPTION BY DEFAULT] BY DIVIDING THE TOTAL ACTUAL ANNUAL AMOUNT OF PERSONNEL COSTS OF AN EMPLOYEE VERIFIED IN LINE WITH PROCEDURE A.1 BY THE NUMBER OF ANNUAL PRODUCTIVE HOURS VERIFIED IN LINE WITH


beneficiaries)

34



new rule)


PROCEDURE A.2 (FULL FINANCIAL YEAR HOURLY RATE);B) BY DIVIDING THE MONTHLY AMOUNT OF PERSONNEL COSTS OF AN EMPLOYEE VERIFIED IN LINE WITH PROCEDURE A.1 BY 1/12 OF THE NUMBER OF ANNUAL PRODUCTIVE HOURS VERIFIED IN LINE WITH PROCEDURE A.2.(MONTHLY HOURLY RATE).Column standard factual finding32.1) The Beneficiary used only one option (per full financial year or per month) throughout each financial year examined.


Annex 5, Ref B.1i. if the Beneficiary acted as a contracting authority within the meaning of Directive

2004/18/EC (or 2014/24/EU) or of Directive 2004/17/EC (2014/25/EU), the Auditor verified that the applicable national law on public procurement was followed and that the subcontracting complied with the Terms and Conditions of the Agreement.

clarification Yes


Annex 5, Ref D.3In addition, the Auditor verified that these goods and services were acquired in conformity with the Beneficiary's internal guidelines and procedures, in particular:o if Beneficiary acted as a contracting authority within the meaning of Directive 2004/18/EC

(or 2014/24/EU) or of Directive 2004/17/EC (or 2014/25/EU), the Auditor verified that the applicable national law on public procurement was followed and that the procurement contract complied with the Terms and Conditions of the Agreement.


ones)

Yes


Annex 5, Ref E.1 aCOST INCURRED IN ANOTHER CURRENCY COSTS RECORDED IN THE ACCOUNTS IN A CURRENCY OTHER THAN EUROS SHALL BE CONVERTED INTO EURO AT THE AVERAGE OF THE DAILY EXCHANGE RATES PUBLISHED IN THE C SERIES OF OFFICIAL JOURNAL OF THE EUROPEAN UNION (https://www.ecb.int/stats/exchange/eurofxref/html/index.en.html ), DETERMINED OVER THE CORRESPONDING REPORTING PERIOD.

clarification Yes

76. All MGAs (except lump sum, ERC low value, MSCAs, SME Instrument Phase 1)

Annex 6, Terms of Reference, 1.4:Under Article 22 of the Agreement, the Commission [, the Agency], the European Anti-Fraud Office and the Court of Auditors have the right to audit any work that is carried out under the action and for which costs are declared claimed from [the European Union] [Euratom] budget. This includes work related to this engagement. The Auditor must provide access to all working papers related to this assignment if the Commission, [, the Agency], the European Anti-Fraud Office or the European Court of Auditors requests them.

clerical error Yes

77. General, ERC, ERC PoC, FPA, SME Phase 2 mono

Annex 6, Procedures to be carried out and Findings to be confirmed by the Auditor clarification Yes

35



new rule)


and multi, ERNET, EJP, PCP PPI

n°11

Procedure (same sample basis as for Section C: Personnel costs):

The Auditor checked that the number of productive hours per full-time employee is correct and that it is reduced proportionately for employees not exclusively assigned to the action(s).

FPA/SGA78. FPA multi-partner Preamble

[full official name (short name)], established in [official address in full], [OPTION for partners with VAT: VAT number [insert number],] [OPTION for coordinators not receiving EU funding: as ‘beneficiary not receiving EU funding’ (see Article 14),] represented for the purposes of signing the Framework Partnership Agreement by [function, forename and surname]…[OPTION for partners not receiving EU funding: X. [full official name (short name)], established in [official address in full], [OPTION for partners with VAT: VAT number [insert number]], as ‘partner not receiving EU funding’ (see Article 14),]


79. FPA mono-partner Preamble[full official name (short name)], established in [official address in full], [OPTION for partners with VAT: VAT number [insert number],] [OPTION for partners not receiving EU funding: as ‘partner not receiving EU funding’ (see Article 14),] represented for the purposes of signing the Framework Partnership Agreement by [function, forename and surname]


80. FPA mono and multi-partner

Article 5 Suspension of framework partnership implementationThe parties may suspend the implementation of the framework partnership on the grounds and according to the procedure — mutatis mutandis — set out in Article 55.If the [Commission][Agency] suspends the If the framework partnership implementation is suspended, all specific actions are also deemed suspended (see Article 55), from the date of suspension of the framework partnership.

clarification Yes


Article 9.2 Budget transfersThe estimated budget breakdown indicated in Annex 2 to the Specific Agreements may be adjusted — without an amendment (see Article 61) — by transfers of amounts between partners, or between budget categories and/or forms of costs set out in Annex 2 to the Specific Agreements (or both). This does not require an amendment according to Article 61, if the action is implemented as described in Annex 1 to the Specific Agreements.However, the partners may not add costs relating to subcontracts not provided for in Annex 1 to the Specific Agreements, unless such additional subcontracts are approved by an amendment or


beneficiaries)

36



new rule)


in accordance with Article 18.1 11 SGA.Moreover, lump sums set out in Annex 2 to the Specific Agreements can never be adjusted.

82. FPA mono and multi- Articles 14, 15, 16, 17, 18, 20, 21 and 22Specific Agreements may provide for the rules… are set out in the Specific Agreements

clarification Yes

83. FPA mono and multi- partner

Article 47.4 Relationship with complementary beneficiaries — Collaboration agreementThe Specific Agreements may provide for obligations concerning the relationship with

complementary beneficiaries are set out in the Specific Agreements (see Article 19 SGA).

clarification Yes


Article 47.5 Relationship with participants of a joint action — Coordination agreementThe Specific Agreements may provide for obligations concerning the relationship with

participants of a joint action are set out in the Specific Agreements (see Article 19 SGA).

clarification Yes


Article 55.1 Suspension of the action implementation, by the partners55.1.2 ProcedureThe coordinator must immediately formally notify to the [Commission][Agency] of the suspension (see Article 58), stating:

the reasons why and the expected date of resumption.

clerical error Yes


Article 56.3 Termination of the Specific Agreements or of the participation of one or more partners, by the [Commission][Agency]

(i) for specific actions that are joint actions under a Specific Agreement: additional grounds for termination are set out in the Specific Agreement (see Article 20 SGA);(j) for specific actions that are joint actions under a Specific Agreement: additional grounds for termination are set out in the Specific Agreement (see Article 20 SGA);

…The Specific Agreements may provide for additional grounds for termination (see Article 20 SGA).

Clarification/correction Yes

87. SGA multi-partners Preamble[OPTION for partners not carrying out action tasks under this SGASpecific Agreement: X. [full official name (short name)], established in [official address in full] [VAT number], as ‘partner not carrying out action tasks’]

clerical error Yes

88. SGA multi-partner Preamble[OPTION for partners not receiving EU funding under this SGA: X. [full official name (short name)], established in [official address in full], [OPTION for partners with VAT: VAT number [insert number]], as ‘partner not receiving EU funding’ (see Article 7),]


37



new rule)


89. SGA mono-partner Preamble [full official name (short name)], established in [official address in full], [OPTION for partners with VAT: VAT number [insert number]] [OPTION for partners not receiving EU funding: as ‘partner not receiving EU funding’ (see Article 7),] represented for the purposes of signing the Specific Agreement by [function, forename and surname]


90. SGA Multi-partners Article 11.1 Rules for subcontracting action tasks11.1.2 …Partners that are acting as ‘contracting authorities’ within the meaning of Directive 2004/18/EC (or 2014/24/EU or as ‘contracting entities’ within the meaning of Directive 2004/17/EC (or 2014/25/EU) must comply with the applicable national law on public procurement.

correctionclarification (new Directives

automatically replace the old ones)

Yes

91. SGA Mono- partner Article 12 Implementation of action tasks by linked third parties[OPTION 1 to be used if Article 19 FPA applies: 12.1 Rules for calling upon linked third parties to implement part of the action

clerical error Yes

38



new rule)


92. SGA Mono and Multi-partners

Annex 3replace 'beneficiary' by 'partner'

clerical error Yes

93. SGA Multi-partners Annex 4Footnote 1: By which costs under the Agreement are declared (see template ‘Model Financial Statements’ in Annex 4 3 to the Specific Agreement)

clerical error Yes

94. All MSCA MGAs Article 50.3 Termination of the Agreement or of the participation of one or more beneficiaries, by the Agency

50.3.1 Conditions(i) not applicable;(j) not applicable;

corrections Yes

95. All MSCA MGAs Removal of options for beneficiaries not receiving EU funding clarification Yes

39



new rule)


96. All MSCA MGAs Title and headers change from MSC to MSCA corrections Yes

97. MSCA-IF MGA PreambleThe Agreement is composed of:Annex 3 Not applicable Accession Form

clerical error Yes

98. MSCA-IF MGA Article 20 Reporting — Payment requests[OPTION 1 for actions with one RP: 20.3 Periodic reports — Requests for interim paymentsNot applicable20.43 Final Report — Request for payment of the balanceThe beneficiary must — within 60 days following the end of the reporting period — submit a final

correction Yes

40



new rule)


report to the Agency.The final report must include the following:

(a) a ‘final technical report’ containing:…

(b) a ‘final financial report’ containing

99. MSCA-IF MGA Article 32.1 Obligations towards recruited researchers(g) host the researcher at its premises (or at the premises of an entity with a capital or

legal link);(h) provide training and as well as the necessary means for implementing the action (or

ensure that such training and means are provided by entities with a capital or legal link);

…(l) [OPTION for GF: support the return of the researcher to its premises (or those of the

entity with a capital or legal link) to carry out a mandatory return period of 12 months.]


the beneficiaries)and if in line with the Work Programme in force at the time of

the call

41



new rule)


100. MSCA-IF MGA 41.1 Role and responsibility towards the AgencyThe beneficiary is itself responsible for:

(c) monitoring that the action is implemented properly (see Article 7);(d) informing the Agency immediately of any events or circumstances likely to affect

significantly or delay the implementation of the action (see Article 17);(e) submitting the deliverables and report(s) to the Agency (see Articles 19 and 20);(f) submitting to the Agency in good time any documents or information required by it

and may not delegate or subcontract these tasks to any third party (including entities with a capital or legal link and partner organisations).



the call

101. MSCA-IF MGA Article 50.3.1 Conditions50.3.2 ProcedureRenumbering of letters

correction Yes

102. MSCA-IF MGA Article 56 Accession to the AgreementNot applicable

correction Yes

103. MSCA-IF MGA Article 56a.2 ProcedureThe beneficiary must formally notify a request for amendment to the Agency (see Article 55).The request must include:

- the reasons why;- the date the change takes effect;- the opinion of the researcher and its supervisor;- a proposal for the necessary changes, including — if necessary — the appointment of

the new supervisor and a statement the Accession Form (see Annex 3) from the new beneficiary to take over all rights and obligations under the Agreement.

The change will take effect on the day set out in the amendment.


104. MSCA-Cofund MGA ARTICLE 8 — RESOURCES TO IMPLEMENT THE ACTION — THIRD PARTIES INVOLVED IN THE ACTION The beneficiary must have the appropriate resources to implement the action.If it is necessary to implement the action, the beneficiary may:

- call upon partner organisations to implement certain action tasks described in Annex 1 (i.e. implementing a doctoral or fellowship programme including recruiting researchers

Clarification Yes

42



new rule)


or hosting and training researchers during a secondment).In this case, the beneficiary retains sole responsibility towards the Agency for implementing the action.

105. MSCA-Cofund MGA Article 15 Financial support to or implementation of a [doctoral] [fellowship] programmes15.1 Rules for providing financial support to or implementing a ation of [doctoral]

[fellowship] programmes15.1.1 The beneficiary must ensure that the implement [doctoral][fellowship] programmes

(implemented by itself or a partner organisation) complies or provide financial support to such programmes implemented by partner organisations, in accordance with the following conditions:

….(b) categories of persons that may be supported by the programmes:… [OPTION for FPs: The fellowship programmes must support researchers, who — at the time of the call deadline or at the time of recruitment or at the time of the call deadline—:- are ‘experienced researchers’ (i.e. in possession of a doctoral degree or have at least four years of research experience);- show transnational mobility by carrying out the research training activities in a country (or — in case of international European interest organisations — in with this organisation) where they have not resided or carried out their main activity for more than [OPTION by default: 12 months in the 3][OPTION for actions with activities similar to the MSCA-IF Society and Enterprise Panel, Career Restart Panel and Reintegration Panel: 3 years in the 5] years immediately prior to the call deadline or the recruitment or the time of the call deadline, unless:- otherwise specified in Annex 1 for existing programmes;or- this time was as part of a procedure for obtaining refugee status under the Geneva Convention12;…[OPTIONS for DPs:- ensure a fair gender balance representation in the recruited researchers (by promoting genuine equal access opportunities between men and women throughout the recruitment process);- appoint a supervisor with adequate experience to provide the researchers with academic support and a career plan.]


new rule



Yes

Yes(in favour of


the callYes

Yes

12 1951 Refugee Convention and the 1967 Protocol.

43



new rule)


in case of If the programme is implemented by a partner organisations implementing the programmes: the beneficiary must ensure that the partner organisation:- complies with the obligations set out in this Article and- allows the Agency, the Commission and the Agency, the European Court of Auditors (ECA) and the European Anti-Fraud Office (OLAF) can exercise their rights under Article 22 and 23 also towards those third parties[;][.]

106. MSCA-COFUND MGA 15.1.2 In addition, the beneficiary must:- …- ensure that the contract (employment contract, other direct contract or fixed-

amount fellowship agreement) specifies arrangements relating to confidentiality and intellectual property rights (in particular to access to background, use of foreground results, promoting the action) — during the research training activities and afterwards;

clerical error Yes

107. MSCA-RISE MGA 6.2.A. Costs for seconded staff members are eligible, if:…

(b)(ii) have been actively engaged in or linked to research and innovation activities for at least 6 months at the sending:

- beneficiary (or entity with a capital or legal link13 to it and located in the same country) or

- partner organisation (or entity with a capital or legal link to it and located in the same country).

(c) the secondments complyies with the following conditions:(i) last at least 1 month and no longer than 12 months (per secondment);

(ii) be between different countries;(iii) for secondments within the EU (or associated countries)14: be between a

beneficiary established in a EU Member State (or associated country6) and a beneficiary established in another EU Member State (or associated country) from



the call

13 ‘Entities with a capital or legal link’ are entities that have a link with the beneficiary or partner organisations, in particular, a legal or capital link, which is neither limited to the action nor established for the sole purpose of its implementation.

14 For the definition, see Article 2.1(3) of Regulation (EU) No 1290/2013 of the European Parliament and of the Council of 11 December 2013 laying down the rules for participation and dissemination in “Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020)” (‘Rules for Participation Regulation No 1290/2013’) (OJ L 347, 20.12.2013 p.81): ‘associated country’ means a third country which is party to an international agreement with the Union, as identified in Article 7 of the H2020 Framework Programme Regulation No 1291/2013. Article 7 sets out the conditions for association of non-EU countries to Horizon 2020.

44



new rule)


different sectors (academic and non-academic)15;

(iv) for secondments from EU (or associated countries): be from a beneficiary (or entity with a capital or legal link) established in a EU Member State (or associated country) and to a partner organisation (or entity with a capital or legal link) established in a non-EU Member State (or non-associated country), and

(v) for secondments to EU (or associated countries): be from a partner organisation (or entity with a capital or legal link) the beneficiary or partner organisation sending the person is established in a country listed in General Annex A of the Main Work Programme to a beneficiary (or entity with a capital or legal link) established in a EU Member State (or associated country).

108. MSCA-RISE MGA ARTICLE 8 — RESOURCES TO IMPLEMENT THE ACTION — THIRD PARTIES INVOLVED IN THE ACTIONNot applicable The beneficiaries must have the appropriate resources to implement the action.If it is necessary to implement the action, the beneficiaries may:

- call upon partner organisations to implement certain action tasks described in Annex 1 (i.e. seconding and hosting staff);

- call upon entities with a capital or legal link to the beneficiaries or to partner organisations16, to implement certain action tasks described in Annex 1 (i.e. seconding staff) .

In this case, the beneficiaries retain sole responsibility towards the Agency for implementing the action.


the beneficiaries)and if in line with theWork Programme inforce at the time of

the call

109. MSCA RISE 17.2 Obligation to keep information up to date and to inform about events and circumstances likely to affect the Agreement

…The beneficiary must immediately inform the Agency of any of the following:

(a) events which are likely to affect significantly or delay the implementation of the action or the EU's financial interests, in particular:

(i) changes in its legal, financial, technical, organisational or ownership situation (or those of an entity with a capital or legal link);


the beneficiaries) and if in line with

the Work Programmein force at the time

of the call

15 For secondments from entities with a capital or legal link to the beneficiaries or partner organisations: only the sector (academic or non-academic) of the beneficiary counts; the entity will be considered to belong to the same sector as their beneficiary.

16 ‘Entities with a capital or legal link’ are entities that have a link with the beneficiary or partner organisations, in particular, a legal or capital link, which is neither limited to the action nor established for the sole purpose of its implementation.

45



new rule)


(i) changes in the name, address, legal form or organisation type of a partner organisation (or those of an entity with a capital or legal link);

110. MSCA-RISE MGA Article 23a.1 Obligation to take measures to implement the Commission Recommendation on the management of intellectual property in knowledge transfer activities

The beneficiaries must ensure that the researchers seconded staff members, partner organisations and entities with a capital or legal link are aware of them.


the beneficiaries)and if in line with


of the call111. MSCA-RISE MGA 50.3 Termination of the Agreement or of the participation of one or more beneficiaries, by

the Agency50.3.1 Conditions

The Agency may terminate the Agreement or the participation of one or more beneficiaries, if:

(b) a change to their legal, financial, technical, organisational or ownership situation (or those of a partner organisation or entity with a capital or legal link) is likely to substantially affect or delay the implementation of the action or calls into question the decision to award the grant;(…)

(n) despite a specific request by the Agency, a beneficiary does not request — through the coordinator — an amendment to the Agreement to end the participation of a partner organisation or entity with a capital or legal link that is in one of the situations under points (e), (f), (g), (k), (l) or (m) and to reallocate its tasks.

new rule

new rule

Yes(in favour of



of the call

No

112. MSCA-ITN MGA Article 4.2 Budget transfers[OPTION for all actions except EID with only two beneficiaries: However, no more than 40% of the maximum grant amount (see Article 5.1) may be allocated to beneficiaries located in the same country or to any one international European interest organisation or international organisation.]

clarification Yes

113. MSCA-ITN MGA Article 6.2 Specific conditions for costs to be eligibleA. Costs for recruited researchers

(b) the recruited researchers comply with the following conditions:(v) not have resided in the country of the recruiting beneficiary where the research

training activities take place for more than 12 months in the 3 years immediately prior to before the recruitment date (and not have carried out their main activity (work, studies, etc.) in that country) — unless as part of a procedure for obtaining refugee

clarification

new rule

Yes

Yes (in favour of the beneficiaries)

46



new rule)


status under the Geneva Convention17.For beneficiaries that are the international European interest organisations or international organisations: not have spent with the beneficiary more than 12 months in the 3 years immediately prior to before the recruitment date;

and if in line withthe Work Programme

in force at the timeof the call

114. MSCA-ITN MGA Article 32.1 Obligations towards recruited researchers(g) host the researcher at its premises (or at the premises of an entity with a capital or

legal link);provide training and as well as the necessary means for implementing the action (or ensure that such training and means are provided by entities with a capital or legal link);

new rule Yes(In favour of



of the call115. MSCA-ITN MGA and RISE

MGAsArticle 19.1 Obligation to submit deliverablesThe coordinator must:

organise a ‘mid-term review meeting’ between the beneficiaries, entities with a capital or legal link, partner organisation(s) and the Agency before the deadline for the submission of the report for RP 1 (reporting period 1);




of the call116. MSCA-ITN MGA and RISE

MGAs41.2 Internal division of roles and responsibilitiesThe coordinator may not delegate or subcontract the above-mentioned tasks to any other beneficiary or subcontract them to any third party (including entities with a capital or legal link and partner organisations).




of the call117. MSCA-IF MGA and ITN

MGAsARTICLE 8 — RESOURCES TO IMPLEMENT THE ACTION — THIRD PARTIES INVOLVED IN THE ACTIONNot applicableThe beneficiary must have the appropriate resources to implement the action.

If it is necessary to implement the action, the beneficiary may:

- call upon entities with a capital or legal link to the beneficiary18, to implement certain


the beneficiaries) and if in line with


of the call

17 1951 Refugee Convention and the 1967 Protocol.18 ‘Entities with a capital or legal link’ are entities that have a link with the beneficiary, in particular, a legal or capital link, which is neither limited to the action nor established for the sole

purpose of its implementation.

47



new rule)


action tasks described in Annex 1 (i.e. hosting and training of the researcher);- call upon partner organisations to implement certain action tasks described in Annex 1

(i.e. hosting and training the researcher during a secondment).In this case, the beneficiary retains sole responsibility towards the Agency for implementing the

action.

118. MSCA-IF and ITN MGAs 23a.1 Obligation to take measures to implement the Commission Recommendation on the management of intellectual property in knowledge transfer activities

The beneficiary must ensure that the researchers and entities with a capital or legal link are aware of them.




of the call119. MSCA-IF and ITN MGAs 17.2 Obligation to keep information up to date and to inform about events and

circumstances likely to affect the Agreement…The beneficiary must immediately inform the Agency of any of the following:

(a) events which are likely to affect significantly or delay the implementation of the action or the EU's financial interests, in particular:

(ii) changes in its legal, financial, technical, organisational or ownership situation (or those of an entity with a capital or legal link);

(iii) changes in the name, address, legal form or organisation type of an entity with a capital or legal link;




of the call

120. All MSCA MGAs (except Cofund)

Article 36.1 General obligation to maintain confidentiality…The beneficiary may disclose confidential information to its personnel, entities with a capital or legal link or partner organisations only if they:




of the call121. All MSCA MGAs (except

Cofund)Article 50.3 Termination of the Agreement or of the participation of one or more beneficiaries,

by the Agency50.3.1 Conditions

(b) a change to their legal, financial, technical, organisational or ownership situation (or those of an entity with a capital or legal link) is likely to substantially affect or delay the implementation of the action or calls into question the decision to award




48



new rule)


the grant;…

(n) despite a specific request by the Agency, the beneficiary does not request an amendment to the Agreement to end the participation of an entity with a capital or legal link that is in one of the situations under points (e), (f), (g), (k), (l) or (m) and to reallocate its tasks;

of the call

122. All MSCA MGAs (except Cofund)

Article 51 Force majeure‘Force majeure’ means any situation or event that:…

- was not due to error or negligence on their part (or on the part of third parties involved in the action a partner organisation), and




of the call123. MSCA-Cofund and ITN

MGAsArticle 6 Eligible and ineligible costsCosts are eligible costs, if …

clerical error Yes

124. MSCA, ERC Low value, SME Instrument Phase 1 MGAs (mono and multi-beneficiaries)

Article 6.3 Ineligible costs (MSCA MGAs)Article 6.2 Ineligible costs (ERC Low Value + SME Ph1) ‘Ineligible costs’ are:

(a) costs that do not comply with the conditions set out above (in Article 6.1 and 6.2);(b) costs declared reimbursed under another EU or Euratom grant (including grants

awarded by a Member State and financed by the EU or Euratom budget and grants awarded by bodies other than the Agency for the purpose of implementing the EU or Euratom budget).

clarification Yes

125. MSCA Cofund, ITN, RISE MGAs

Article 20.3 Periodic reports — Requests for interim payments(b) a ‘periodic financial report’ containing:(i) an ‘individual financial statement’ (see Annex 4), for the reporting period concerned.…The individual financial statements of the last reporting period must also detail the receipts of the action (see Article 5.3.3).The beneficiary must certify that:- …- for the last reporting period: that all the receipts have been declared (see Article 5.3.3);

clerical error Yes

ERC MGAs

49



new rule)


126. ERC MGAs mono and multi-beneficiaries

In all articles including an option for SyG: [OPTION for SyG and other ERC grants with more than one principal investigator:

new rule No

127. ERC MGAs PoC mono and multi-beneficiaries

- In all provisions including "periodic report" (Article 20.3, Article 21.3, Article 48.2, Article 50.1.2, Article 50.2.2, Article 50.3.3):periodic report

- In Article 6.1(a)(ii), Article 42.3:(last periodic) report

- In Article 21.4:(last) periodic report

- In Article 11.1, Article 12.1, Article 13.1.1, Article 50.1.2, Article 50.3.3:Article 20 the periodic report(s)

- In Annex 5, Terms of Reference 1.1)final (last) report

- In Article 20.3(e), Article 42.3:periodic summary financial statement

correction Yes

128. ERC PoC MGA mono-beneficiary

Article 20.3 Report — Request for payment of the balanceArt 20.3 Option by default (for actions with one RP)….

(e) a ‘summary financial statement’, created automatically by the electronic exchange system, [OPTION if Article 14 applies: consolidating the individual financial statements and] including the request for payment of the balance;

clerical error Yes

129. ERC PoC MGAS mono and multi-beneficiaries

Article 21.5 Notification of amounts dueWhen making payments, the Agency will formally notify to the beneficiary the amount due, [OPTION by default (for actions with one RP): and specify the final grant amount] [OPTION for


50



new rule)


actions with several RPs: specifying whether it concerns an interim payment (if any) or the payment of the balance.For the payment of the balance, the notification will also specify the final grant amount.].In the case of reduction of the grant or recovery of undue amounts, the notification will be preceded by the contradictory procedure set out in Articles 43 and 44.

130. ERC MGAs mono and multi beneficiary and ERC PoC MGAs mono and multi beneficiary

Article 29.3 Open access to research data[OPTION for actions participating in the grants wishing to participate on a voluntary basis in the oOpen Research Data Pilot (in line with the provision in the framework of an ERC frontier research action (if opt-in option provided for by the ERC work programme): Regarding the digital research data generated in the action (‘data’), the beneficiaries must take appropriate measures to ensure open access, including:

(a) deposit in a research data repository and take measures to make it possible for third parties to access, mine, exploit, reproduce and disseminate — free of charge for any user — the following:

(i) the data, including associated metadata, needed to validate the results presented in scientific publications as soon as possible;

(ii) other data, including associated metadata, as specified is Annex 1 in the data management plan;

…

As an exception, the beneficiaries do not have to ensure open access to specific parts of their research data if the achievement of one of the action objectives, as described in Annex 1, would be jeopardised by making those specific parts of the research data openly accessible. In this case, the data management plan Annex 1 must contain the reasons for not giving access.]

[OPTION: Not applicable]

new rule No

51



new rule)


131. ERC PoC MGA mono-beneficiary

Article 50.1.2 Effects…If the Agency does not receive the report within the deadline (see above), only costs which are included in the report (in an approved previous periodic report, if any) will be taken into account.

correction Yes

132. ERC MGAs mono and multi beneficiary and ERC PoC MGAs mono and multi beneficiary

Annex 4E. Indirect costs g=0,25x(a+b+c+e+[f]-m)

correction Yes

SME Instrument

133. SME Instrument Phase 1 and Phase 2 MGAs mono and multi-beneficiaries

Options for international organisations will always appear as not applicable (in grey) correction Yes

134. SME Instrument Phase 2MGAs Mono and multi-beneficiaries

Options for specific cost categories, financial support for third parties will always appear as not applicable (in grey) (concerned Articles 5, 6, 15)

correction Yes

135. SME Instrument Phase 1 MGAs multi-beneficiaries

Article 8 Resources to implement the action — Third parties involved in the actionThe beneficiaryies must have the appropriate resources to implement the action.If it is necessary to implement the action, the beneficiaryies may:

- purchase goods, works and services (see Article 10) and- call upon subcontractors to implement action tasks described in Annex 1 (see Article

13).In these cases, the beneficiaryies retains sole responsibility towards the Agency for implementing the action.

clerical errors Yes

136. SME Instrument Phase 2 MGAs Multi-beneficiaries

Article 13.1 Rules for subcontracting action tasks…[OPTION: In addition, if the value of the subcontract to be awarded exceeds EUR[…], the beneficiaries must comply with the following rules: […] 19 ]

new rule No

19 If the authorising officer decides to set specific rules, they should have due regard for the principle of proportionality, taking into account the value of the contracts and the relative size of the EU contribution in relation to the total cost of the action and the risk. Specific rules must be based on the rules contained in the Financial Regulation. Simply citing the FR without specifying the applicable provisions should be avoided. Specific rules may only be set for the award of contracts of a value higher than EUR 60 000. The authorising officer may set a threshold higher than EUR 60 000 on the basis of a risk assessment.

52



new rule)


137. SME Instrument Phase 1 MGAmono and multi-beneficiaries

Article 22.1.3: Right to carry out audits (SME Phase 1)The coordinator or beneficiary concerned must provide — within the deadline requested — any information (including complete accounts, individual salary statements or other personal data) to verify compliance with the Agreement. The Agency or the Commission may request beneficiaries to provide such information to it directly.

correction Yes

138. SME Instrument Phase 1 and 2 MGAsmono and multi -beneficiaries

Article 50.3.1 Conditions (i) not applicable(j) not applicable

correction Yes

139. SME Instrument Phase 1 MGA

Article 57Removal of options for International Organisations and beneficiaries not receiving EU funding.

correction Yes

140. PCP-PPI, ERA-NET Cofund and Lump sum MGAs

Renumber Article 20.3 into 20.2a Periodic reports — Requests for second [and third] pre-financing payment[s]Article 20.3 Requests for interim paymentsNot applicable

correction Yes

141. PCP-PPI MGA Removing 'Cofund' from the title of the PCP-PPI MGA to enable different reimbursement rate from standard when included and justified in individual calls

new rule No

142. PCP-PPI MGA Article 13.2 Rules for subcontracting of related additional coordination and networking activities

…[OPTION for classified results information: Classified results Action tasks involving classified information may be subcontracted only after explicit approval (in writing) from the [Commission][Agency] (see Article 37).]

clarification/correction (classified results are results that involve

classified information)

Yes

143. PCP-PPI MGA Annex 7 [Model for the PCP prior information notice (PIN) for the open market consultation][Model for the PPI prior information notice (PIN) for an open market consultation] Model for the commitment on availability of resourcesAnnex 8 Model for the PCP contract notice Model for the statement on the use of the previous

correction Yes

53



new rule)


pre-financing paymentAnnex 9 [Model for the PCP request for tenders] [Model for the PPI request for tenders]Annex 10 Model for the PCP contract award noticeAnnex 11 Model for the commitment on availability of resourcesAnnex 12 Model for the statement on the use of the previous pre-financing instalment

144. PCP-PPI, ERA-NET Cofund, EJP Cofund

Article 21.2, Annex 8previous pre-financing instalment payment

correction Yes

145. ERA-NET Cofund MGA Replace in Article 9 option 1, the reference to Article 20.3(b) by a reference to Article 20. 2a 3 (f) correction Yes

146. ERA-NET Cofund MGA ANNEX 2aADDITIONAL INFORMATION ON THE ESTIMATED BUDGET

Instructions and footnotes in blue will not appear in the text generated by the IT system (since they are internal instructions only).

For options [in square brackets]: the applicable option will be chosen by the IT system. Options not chosen will automatically not appear.

For fields in [grey in square brackets] (even if they are part of an option as specified in the previous item): IT system will enter the appropriate data.

ERA-NET unit cost1. Direct coordination costs for additional activitiesUnits: number of years in which the additional activities were carried out by each

beneficiary/linked third partyAmount per unit (EUR/year): EUR 29 000 per yearEstimated number of units: see Annex 2


147. EJP, Lump sum MGAs Article 21.2 Pre-financing payment — Amount — Amount retained for the Guarantee Fund- one a [first] pre-financing payment

correction Yes

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new rule)


148. Lump sum multi-beneficiaries MGA

Article 10.1 Rules for purchasing goods, works or services10.1.Beneficiaries that are ‘contracting authorities’ within the meaning of Directive 2004/18/EC2420 (or 2014/24/EU21) or ‘contracting entities’ within the meaning of Directive 2004/17/EC2522 (or 2014/25/EU23) must comply with the applicable national law on public procurement.


ones)

Yes

149. Lump sum MGAs 50.3.3 EffectsThe coordinator must — within 60 days from when termination takes effect — submit the final report (see Article 20).If the Agreement is terminated for breach of the obligation to submit reports (see Articles 20.8 and 50.3.1(l)), the coordinator may not submit any reports after termination.If the [Commission][Agency] does not receive the report within the deadline (see above), no costs will be reimbursed.

correction Yes

20 Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public work contracts, public supply contracts and public service contracts (OJ L 134, 30.04.2004, p. 114).

21 Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.03.2014, p. 65).22 Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors (OJ L 134, 30.04.2004, p. 1)..23 Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243).

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