Summary of MS questions on the Commission's proposal for

1. Summary of MS questions on the Commission's proposal for Rules for Participation and Dissemination DG Research & Innovation Research and Innovation

2. Article 2 Definitions • Definition of Foreground: why to change? • Definition of “Associates countries”: applicable criteria • Definition of “Background”: differences with previous FPs • Definition of “Exploitation” • Definition of “Action” • Legal entities without legal personality

3. Article 4Information to be made available • IPR / Secure Societies: Why does the Commission foresee specific rules for actions in the activity “Secure societies” in art. 4 and 46? (treated under article 46) Article 5Forms of funding • Contrary to FP7: no list of funding schemes for grants • Which programme will enhance the use of lump-sums, scales of unit, prizes, etc? Article 8Conditions for participation • SME instrument: EU added value in single beneficiary grants

4. Article 10 Calls for proposals • Procedure for coordination and support actions • Improvements • Information to the MS • Selection of named beneficiaries CALLS Article 11 Joint calls • Will joint calls be used in the three priorities?

5. Article 14 Selection and award criteria • About the criteria • On the evaluation processes • One stage vs two stage • On expert panel composition: will they vary depending on priorities? • About proposals: performance indicators • About financial capacity: “guaranteed” by a MS

6. Article 15Evaluation review procedure • How many days for reviewing the coordinator request? Article 16Grant agreement • Meaning of ““Specific grants for actions may form part of a framework partnership according to the provisions of Regulation…” Article 17Grant decisions • Grant decisions vs grant agreements: what and when

7. Article 18Secure electronic system • What is the “secure electronic system”?; what is its legal value? Article 19Implementation of the action • Amendments to the technical annex • Costs incurred by third parties • Subcontracts for carrying out certain elements of the action Article 20Consortium • The role of the coordinator • Guidance on Consortium Agreements • Addition and removal of participants

8. Article 22 Funding of the action • How to determine the applicable reimbursement rate • Impact on the EU contribution of the 100 / 20 system • Reimbursment rate for the management costs • Simplification value of the system • State Aid Rules • Other issues: ICPC, income from the action, co-financing

9. Article 23 Eligibility of costs • Eligibility of VAT? • Eligibility of depreciation COSTS Article 24 Indirect costs • Why is not possible to use “actual indirect costs”? • Article 24.2-derogation to the 20 % flat rate: "Indirect costs may be declared in the form of a lump sum or scale of unit costs when provided for in the work programme or work plan"

10. Article 25Annual productive hours • Calculation of personnel costs and differences with FP7 • What will the Commission define in the GA regarding annual productive hours? Article 27Scales of unit costs • Examples of scale of unit costs • Article 27.2 (a): how ‘total actual personnel costs’ should be interpreted?

11. Article 28 Certificate on the financial statements • Explanation on the EUR 325.000 threshold: how does it lead to less certificates required? • What is the “payment of the balance of the grant”? • What is the impact of the certificate in the final payment? CERTIFICATES Article 29 Certificates on the methodology • Will be a FP7 certificate valid for Horizon 2020?

12. Article 31Cumulative funding • How will it work in practice the “cumulative funding”? Article 32Participant Guarantee Fund • Does this article apply also to training and mobility actions? Article 35Procurement, pre-commercial procurement and public procurement of innovative solutions • How PCP and PPI will work in practice?

13. Article 36Financial instruments • Why there is no detailed information on the financial instruments? • Which principles will apply the Commission to chose using financial instruments instead of other forms of funding? Article 37Appointment of independent experts • In view of article 37.2:Does the Commission intend to publish calls including classified information? • How will the right balance attained in the evaluation committees?

14. Article 38Ownership of results • Joint ownership: rule and default option Article 39Protection of results • What are the differences with FP7? • Definition of “appropriate period” and ”appropriate territorial coverage” • Clarification on the cases where the Commission can protect intellectual property of results if participants do not protect those themselves

15. Article 40 Exploitation and dissemination of results • Open Access • Will Open access be limited to Green open access or will it apply to Gold access? • How the Commission intends to ensure the implementation of the provision on open access? • How will the right balance between commercial interests and dissemination of results be attained?

16. Article 41Transfer and licensing of results • Prior notice to participants and possibility for Commission to object Article 42Background • Ways to identify background • Relationship with article 44 Article 43Access rights principles • Impact of default on access rights • Conditions for access: Fair & reasonable which may be royalty-free

17. Article 45Access rights for exploitation • Access rights for affiliates? Article 46Access rights for the Union and the Member States • General rule: why & scope • Secure societies: why different + role of EDA Article 48Prizes • Applicable rules

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

19. Thank you very much for your attention!