Actual status. Frequently Asked Questions (FAQ)

Transcription

1 Actual status On 22 October 2014 the federal government approved the agreement on participation on the European Research program Horizon The agreement concerns the partial Association as of 15 th Sept until 31 st December Full association refers to pillar I, Spreading excellence and widening participation, Euratom and Iter. In these program parts Swiss participants can fully apply for funding at the European Commission. Switzerland can participate with third country status in all other programmes funded by or in instruments cofinanced under Horizon Project partners from Switzerland receive funding in accordance with the interim measures adopted by the Federal Council in June For the time the agreement foresees a full association of Switzerland, provided a solution can be found to the issue of the free movement of persons. Read more on: Modalities for direct funding for retained EU projects: Frequently Asked Questions (FAQ) Topic: Swiss partial association in Horizon 2020* Date: 15 December 2014 From: Mission CH EU, EC, SwissCore, SNSF, SERI, Euresearch Head Office Disclamer: This is a living document providing answers to many technical questions a potential proposer may ask. For each answer you also have the source of information. You also find some open questions, which we try to clarify as soon as possible. If your question is not listed here, please send it to info@euresearch.ch. We will take care that the question is forwarded to the right person. Please find actual news written in green. Please do not approach persons individually with your question! 15 December 2014

2 Table of content I. General questions on participation Could joint calls on specific topics be foreseen in future WP? Can an international European interest organization, defined as International Organization, based in Switzerland get funding from Switzerland? Would it be possible for a Swiss entity to coordinate a project under Horizon 2020? Will projects with a partner from Switzerland be treated differently than other projects during evaluation? Will participation and funding of Swiss entities in FP7 projects be affected? Are representatives of Switzerland excluded from the comitology and even from being experts and members of Advisory Groups?... 7 II. PILLAR ONE (fully associated ) ERC Can applicants from Swiss institutions submit proposals and will they be evaluated? Are H2020 ERC grants portable from an EU member state or associated country to Switzerland, that is, can the Host Institution be changed after the Grant Agreement is signed? Are applicants with a B or C grade from the SNF Temporary Backup Schemes eligible to apply to the next round of ERC calls, now that Switzerland is associated? Will the SNSF organise a Proof-Of-Concept call? MSCA Research infrastructures Are Swiss partners still eligible for funding within consortia? Future Emerging Technologies (FET)... 8 III. PILLARS II AND III (third country status) General issues on Research and Innovation Actions (RIA), Innovation Actions (IA) and Coordination and Support Actions (CSA) Will evaluators be briefed to consider Switzerland as a third or associated country? (Important for the impact section, when Swiss based companies would use the results) Will applications with a Swiss coordinator be eligible? Can a Swiss entity be the coordinator of a RIA/IA even without getting EC contribution for its costs? For the question of coordination, is that possible for all partners from third countries (like the US for example) under Horizon 2020, or would that be a special exception for Swiss participants? What conditions should be fulfilled for a third country to take over the coordination costs? Are Swiss partners eligible for coordination, respectively could Swiss coordinators receive EC-funding for the whole consortium? If the coordinator of the project is from Switzerland, are coordination costs eligible? December

3 1.8. Can participants from Switzerland coordinate Coordination and Support Actions (CSA)? Will the SERI also fund CSA proposals?... 9 IV. Specific questions on pillar II Space Are Swiss institutions eligible for ESA Calls? Contractual PPP, JTIs & P2P Is a partner from a third country eligible in contractual PPP? Would Switzerland still be able to participate in these? Or would we have to see on a case to case basis? What is known about the specific JTIs (Joint Undertaking PPP according to Art. 187 of TFEU? Is the Swiss participation/funding in JTIs, and more specifically in IMI, concerned? Is the same direct payment solution foreseen for Swiss participants in IMI (academic partners & SMEs, not industry) as for rest of Horizon 2020? Is the Swiss participation/funding in the Art. 185 P2P initiatives like AAL and Eurostars concerned? Is participation of Switzerland to JTI/P2P and ERA-NETs possible with restrictions? Ecsel SME Instrument and Prizes Will applications by Swiss SME be evaluated (it s a continuous evaluation)? On the 1st phase SME instrument can SMEs from Switzerland submit proposals? Is Switzerland eligible for Prizes and the SME instrument as third country? Are there any plans to have a temporary solution for the SME Instrument? Would you have some specific information on the impacts on/for SME of the Swiss third party participation? What are the consequences being an industrialised third country for Swiss applicants in: SME Voucher, Fast Track to Innovation (FTI), Pre-commercial Procurement and Public Procurement of innovative solutions? Access to risk finance Are Swiss banks/companies eligible for these instruments if we become a third c ountry? V. Specific questions on pillar III Societal challenges Secure societies To what extend would Swiss partners be excluded as third country participants from consortia for secure societies? VI. Horizontal programs Spreading Excellence and widening participation Is a partner from a high performing region from a third country eligible for participation in in proposals from lesser performing regions? EIT Can the EC confirm that the EC concludes a framework contract with the EIT Foundation and that the EIT Foundation then concludes contract with the KICs whereby 15 December

4 the only rule concerning third country participation is that 66% of the partners must come from an EU member state or associated country? Is the Swiss participation/funding in ongoing KICs concerned? EURATOM Are Swiss institutions eligible for EURATOM calls? VII. PRACTICAL QUESTIONS Evaluation and grant preparation In the Ethics issue table, question 6 refers to the involvement of non-eu countries : is there a difference the information to be filled in depending on the status of Switzerland, i.e. whether it is an associated state or a third country? For Research and Innovation Actions (RIA), Innovation Actions (IA) and Coordination and Support Actions (CSA): How will evaluators be briefed on a potential switch from a coordinator from a third country to an associated state? How and when would change of coordinator have to be communicated in order to have a good evaluation on the implementation and impact criteria? With regards to Switzerland participating as a third country: Will there be some flexibility in the evaluation process (eg. If there are obvious mistakes like consortia having included CH partners in their budgets or if changes in the coordination are necessary)? Will SERI use the MSCA rates for SME owners without a salary? Will SERI require a Certificate on Financial Statements (CFS) of their own? (If so, participants need to include CFS costs in their budgets.) Administration and Management (national funding) What is meant by "no decision taken concerning the funding of Swiss participation" (SERI )? What are the financial flows when coordinators are located in third countries? Is there a risk for Swiss coordinators that they will have to face a budget cut when being paid directly? Would this risk be lower for Swiss participants? Who will pay the consortium management costs of the Swiss coordinator, considering that these costs are incurred on behalf of the whole consortium but that EC will not pay these costs to the Swiss coordinator? Will Switzerland (SERI) pay these costs (for the whole consortium)? There will be no audit certificates (CFS) for Swiss partners funded by SERI? Why does the Participants Portal deliver an error message when a Swiss institution wants to coordinate a project in the first step of the two-step-procedure? How do we advise on budget preparation and form filling? Shall we follow EU rules and then add a "zero" in the field "Request to Commission funding? And how do we describe costs for third countries in proposals? Will there be a cap for financing Swiss participants and coordinators by the SERI? How will a Swiss subcontracting SME be reimbursed? Are cantonal / federal offices eligible for funding by the Swiss government? If a beneficiary from a third country is not eligible for funding by Horizon 2020, it will be funded via national contributions. How will money flows be coordinated? Background documents and links December

5 The partial association of Switzerland Switzerland is partially associated from The partial association refers to pillar I including ERC MSCA FET Research infrastructure Euratom and Spreading Excellence. For almost all other programs (pillar two: Industrial Leadership and pillar three: Societal Challenges) Switzerland counts as a third country. This means the Swiss R&D&I community: public and private sector can participate as partner or coordinator but will not get funding by the EU. They will get funding by the Swiss government. Terms on modalities will be published by the SERI in November. There are two exceptions: SME instrument: no funding* Access to risk finance: no access * Switzerland can participate as third parties in a subcontracting relationship. 15 December

6 I. General questions on participation 1. Could joint calls on specific topics be foreseen in future WP? EC: Yes, joint calls with Switzerland will remain possible whether or not Switzerland is an associated country. Topics for such calls could be identified jointly by the Switzerland/ (European) Communities Research Committee established under the 1986 Agreement for scientific and technical cooperation between the European Communities and the Swiss Confederation. 2. Can an international European interest organization, defined as International Organization, based in Switzerland get funding from Switzerland? The majority of whose members are Member States or associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe (i.e. CERN). For other international organisations established in Switzerland, the usual funding rules of Horizon 2020 apply, unless there is a specific S&T agreement with the EU in place. In general the international institution should seek funding directly by the EU. The rules for participation foresee the following options: Art. 10 Abs. 1 lit. b der Rules for Participation der EC (b) any international European interest organisation. However, you have to assume that the international organisation does not fulfil these criteria. The main task should be to promote scientific and technological cooperation in Europe. Art. 10 Abs. 2 der Rules for Participation der EC: In the case of a participating international organization or in the case of a participating legal entity established in a third country, neither of which are eligible for funding according to paragraph 1, funding from the Union may be granted provided that at least one of the following conditions is fulfilled: (a) the participation is deemed essential for carrying out the action by the Commission or the relevant funding body; (b) such funding is provided for under a bilateral scientific and technological agreement or any other arrangement between the Union and the international organization or, for entities established in third countries, the country in which the legal entity is established. If these requirements are not met the international organization may participate on own expenses (if the call text does not exclude this, which does not seem to be the case) The partial association of the Swiss government does not foresee funding of international organizations: The remaining question will be to clarify the type of institutions and in particular whether it is based on national or international law. Source: SERI 3. Would it be possible for a Swiss entity to coordinate a project under Horizon 2020? EC: Yes, Swiss entities may become project coordinators under Horizon 2020, since the place of establishment is irrelevant for a consortium s choice of a coordinator. However, the Swiss partner would not be automatically eligible for EU funding. They will receive funding by the Swiss government according to the interim measures (see page 1). 15 December

7 4. Will projects with a partner from Switzerland be treated differently than other projects during evaluation? EC: Projects with Swiss partners that respect the eligibility criteria will be evaluated like any other project according to the call's respective evaluation criteria. There will be absolutely no discrimination of proposals including Swiss teams. 5. Will participation and funding of Swiss entities in FP7 projects be affected? EC: No, the participation and funding of Swiss entities in FP7 projects is not affected. 6. Are representatives of Switzerland excluded from the comitology and even from being experts and members of Advisory Groups? SwissCore: The general rule is that representatives of Switzerland are excluded if it concerns an official representation in the formal Horizon 2020 comitology, like the Programme Committees. But Swiss nationals are never excluded if it concerns ad personam mandates, like being expert or member of an Advisory Board. II. PILLAR ONE (fully associated ) 1. ERC 1.1. Can applicants from Swiss institutions submit proposals and will they be evaluated? EC: Applicants from Swiss institutions as of 15 September 2014 are again fully eligible for ERC funding. They will be treated in exactly the same way as researchers with a host institution in an EU member state of fully associated country Are H2020 ERC grants portable from an EU member state or associated country to Switzerland, that is, can the Host Institution be changed after the Grant Agreement is signed? SwissCore/ERCEA: Portability of grants to Switzerland for Horizon 2020 ERC calls with a deadline before 15 September 2014 (ERC-2014-StG and ERC-2014-CoG) is not possible. The eligibility condition for portability do not change throughout the Grant Agreement, i.e. if a grant could not be moved to a Swiss host institution at the time of the signature of the Grant Agreement, this will not be possible throughout the duration of the grant. Portability of grants of calls to which Swiss host institutions are eligible (i.e. those with a deadline after 15 September 2014 and at least until the end of 2016) from an EU member state or associated country to Switzerland is possible Are applicants with a B or C grade from the SNF Temporary Backup Schemes eligible to apply to the next round of ERC calls, now that Switzerland is associated? SNSF: The SNSF is not allowed to share the evaluation results with the ERC without the consent of each applicant. 15 December

8 1.4. Will the SNSF organise a Proof-Of-Concept call? SNSF: No Proof-Of-Concept call is foreseen. 2. MSCA As of until MSCA is fully associated. 3. Research infrastructures 3.1. Are Swiss partners still eligible for funding within consortia? Switzerland will be fully associated to this program as of to Future Emerging Technologies (FET) Switzerland will be fully associated to this program as of to As this date is close to the deadline please contact your NCP (Francesco.kienzle@euresearch.ch ) on terms how to submit III. PILLARS II AND III (third country status) 1. General issues on Research and Innovation Actions (RIA), Innovation Actions (IA) and Coordination and Support Actions (CSA) 1.1. Will evaluators be briefed to consider Switzerland as a third or associated country? (Important for the impact section, when Swiss based companies would use the results). SwissCore: Switzerland will be considered as an industrialised third country Will applications with a Swiss coordinator be eligible? EC: There is no legal requirement for the coordinator to be a legal entity established in a Member State or an Associated Country. Applications with a Swiss coordinator will be eligible if they fulfil eligibility conditions specified in the Work Programme 1.3. Can a Swiss entity be the coordinator of a RIA/IA even without getting EC contribution for its costs? EC: A Swiss entity can be a coordinator of such an action. 15 December

9 1.4. For the question of coordination, is that possible for all partners from third countries (like the US for example) under Horizon 2020, or would that be a special exception for Swiss participants? SwissCore: the coordination of projects in Horizon 2020 is open to all third countries What conditions should be fulfilled for a third country to take over the coordination costs? EC: As a general rule entities from an industrialised third country are not automatically eligible for funding. Funding is possible in cases specified under Art.10 (2) of the Horizon 2020 Rules for Participation, i.e. if the Commission deems essential participation of an entity, otherwise not funded, for carrying out the action or such funding is provided for under a bilateral scientific and technological agreement or any other arrangement between the Union and [ ] the country in which the legal entity is established Are Swiss partners eligible for coordination, respectively could Swiss coordinators receive EC-funding for the whole consortium? SwissCore: partners from Switzerland are eligible as coordinator. The partner from Switzerland will however only be funded if its participation is deemed essential for carrying out the action If the coordinator of the project is from Switzerland, are coordination costs eligible? EC: As a general rule the coordination costs of a coordinator established in Switzerland are not automatically eligible for funding Can participants from Switzerland coordinate Coordination and Support Actions (CSA)? EC: A Swiss entity can be a coordinator of such an action provided that Horizon 2020 Rules for Participation and conditions specified in the Work Programme are fulfilled and without being automatically eligible EU funding for costs incurred Will the SERI also fund CSA proposals? SwissCore: The point with CSA is, that the bi-annual work programmes may contain restrictions concerning the participation from a partner from a third country. So the most important advice at this stage is to carefully read the relevant work programme. If not, legal entities from third countries can participate provided the minimum number of participants is met in the consortia without the Swiss partner. SERI: We will most likely also fund the Swiss contribution in CSA. The modalities and handling will be communicated. 15 December

10 IV. Specific questions on pillar II 1. Space 1.1. Are Swiss institutions eligible for ESA Calls? SERI: when it concerns ESA calls only, is the answer clear: Switzerland is a founding member of ESA and Swiss institutions or companies are fully entitled to participate in the calls. 1.1 If it concerns a participation to the space activities under Horizon 2020, Swiss institutions and companies can participate with the status of industrialised third country. It must be however pointed out that under FP7 the EC and member states (and event associated states) could exclude the participation of third countries thought the Security- Procedure clause (e.g. access to critical technologies). Whether this possibility is taken over by instruments in Horizon 2020 must be clarified. Euresearch: Yes, an such an exclusion through a security-procedure is possible: Based on RfP, Article 7 1, [ ] 2. The relevant work programme may restrict the participation in Horizon 2020 or parts thereof of legal entities established in third countries where conditions for the participation of legal entities from Member States, or of their affiliated entities established in a third country, in the third country's research and innovation programmes are considered to be prejudicial to the Union's interests. 3. The relevant work programme or work plan may exclude entities unable to provide satisfactory security guarantees, including as regards personnel security clearance if justified by security reasons. The WTO Multilateral Agreement on Government Procurement allows limitation of procurement to EU member states. Consequently, in this case there is also no difference between being an H2020 associated country or a 3rd country. The EU Financial Regulation provides that "where the Multilateral Agreement on Government Procurement (GPA) concluded within the World Trade Organisation applies, the contracts shall also be open to nationals of the States which have ratified this agreement, under the conditions laid down in that agreement." One of the conditions laid down in GPA is the socalled "security exception" (Art. XXIII of the Agreement) which allows parties to the GPA to exclude procurement which presents security-sensitive aspects and thus, restrict tendering within the EU in case they consider a given procurement as being necessary for their essential security interests. 2. Contractual PPP, JTIs & P2P 2.1. Is a partner from a third country eligible in contractual PPP? Would Switzerland still be able to participate in these? Or would we have to see on a case to case basis? EC: The Horizon 2020 Rules for Participation also apply to contractual PPPs. A partner form a third country is eligible but will not receive funding from the Horizon 2020 but from the concerning Swiss budget. 15 December

11 2.2. What is known about the specific JTIs (Joint Undertaking PPP according to Art. 187 of TFEU? EC: In the absence of EU-Switzerland association agreement to Horizon 2020, Switzerland will not be able to participate in States Representatives Group in Joint Technology Initiatives (JTIs) but it may be invited to participate in meetings as observer. Swiss legal entities will be able as a general rule to participate in calls for project proposals under JTIs and public/public partnerships, under the conditions of Horizon 2020 Rules for Participation of industrialized Third Countries Is the Swiss participation/funding in JTIs, and more specifically in IMI, concerned? SwissCore: Yes they can participate, but the funding needs to come from SERI. As for in-kindconstribution there is a limit. Article 4 concerns the participation of entities from third countries. There it is stated that a maximum of 30% of all in-kind contributions can come from third countries. In normal projects the in-kind contribution from third countries can be limited to 5-10%. However in projects concerning unmet medical needs such as antimicrobial resistance and Altzheimer, there is no limit. Also cash contributions do not have a limit Is the same direct payment solution foreseen for Swiss participants in IMI (academic partners & SMEs, not industry) as for rest of Horizon 2020? SERI: Yes, According to a federal decree of 7 March 2014 the Federal Council is willing to provide direct support to researchers in Switzerland who have been excluded from research cooperation due to the discontinuation of negotiations on the Horizon 2020 research programme. On 7 March SERI was given the task of drawing up an interim solution for the direct financing of researchers in Switzerland in partnership and individual projects under the Horizon 2020 program. This also applies for IMI as being financed from the Horizon 2020 budget Is the Swiss participation/funding in the Art. 185 P2P initiatives like AAL and Eurostars concerned? SERI: Eurostars: Organisations from Switzerland may take part as applicants in the 2014 calls for project proposals. The participation and eligibility criteria and general funding rules are the same as for applicants from Member-/associated States. AAL: Organisations from Switzerland can participate in the 2014 call for proposals; the rules for participation are expected to remain the same as in earlier calls. Switzerland is full member with AAL, and can thus participate without restrictions in call by applying the same criteria. The Swiss national budget is EUR 3 Mio. The call will open on 28th March 2013 (SERI). 15 December

12 2.6. Is participation of Switzerland to JTI/P2P and ERA-NETs possible with restrictions? EC: Swiss legal entities will be able as a general rule to participate in calls under JTIs and public/public partnerships, under the conditions provided by Horizon 2020 Rules for Participation will apply to them and subject to any applicable derogations for Article 185/187 initiatives. They will be treated as entities from a third country. Swiss partners will be eligible for participation in ERA-NETs, however, in the absence of a valid association agreement they will be treated as partners from a third country (which means that they will not be counted towards a minimum number of partners required for the project and they will not be automatically eligible for funding) Ecsel Swiss entities may participate in ECSEL calls as entities from an industrialised third country not associated to Horizon This means that Swiss participants are not automatically eligible for funding and will not count towards the minimum number of participants required for a project (eligibility criteria). In both ECSEL Calls launched in June 2014 the eligibility criteria are as follows: At least three legal entities. Each of the three shall be established in a different Member State or associated country. All three legal entities shall be independent of each other. In the actual state of not being associated to Horizon 2020 Swiss legal entities may participate as fourth partner of a transnational consortia which fulfills the eligibility without the Swiss participant. Swiss participants are not eligible to receive funding. The EU co-funding rate for legal entities established in a Member State of associated country varies between 25-50% depending on the type of organization and required technology readiness level of the call. Further information see in the corresponding ECSEL workprogramme 2014: With its decree of 25 June 2014 and its instructions to amend the associated ordinance, the Federal Council is preparing the legal basis to be able to fund directly, in the event that association to Horizon 2020 is not achieved, projects which were not able to be submitted in This means the Swiss Government will compensate the EU co-funding part in these cases where Swiss participants are eligible to receive EU funding. 3. SME Instrument and Prizes 3.1. Will applications by Swiss SME be evaluated (it s a continuous evaluation)? EC: SMEs have to be based in the EU or in a country associated to Horizon 2020 to submit proposals in response to the SME Instrument's permanently open call, and be eligible for funding. This means that at the moment, applications submitted by Swiss SMEs would not be eligible. Swiss SMEs can however be involved in the scheme as subcontractors, if the project proposed requires so. 15 December

13 3.2. On the 1st phase SME instrument can SMEs from Switzerland submit proposals? EC: At the moment SMEs established in Switzerland are not eligible for participation in an SME instrument action, given it is a mono-beneficiary submission Is Switzerland eligible for Prizes and the SME instrument as third country? EC: As far as the SME Instrument is concerned, the answer is no. This in line with the eligibility criteria of the WP 2014/2015, which specify that entities established in third countries (i.e. CH) are not eligible for funding under the SME instrument. However, other partners, such as research providers or larger companies, can be involved as third parties, usually in a subcontracting relationship, and do not need to be established necessarily in the EU or countries associated to Horizon As regards the Prizes, this is dependent on the eligibility conditions established for each prize. Therefore Swiss entities could be eligible for those prizes that do not exclude participation from entities from third countries Are there any plans to have a temporary solution for the SME Instrument? Euresearch: No such plans are foreseen Would you have some specific information on the impacts on/for SME of the Swiss third party participation? SwissCore: The consequences of the Swiss third country participation in Horizon 2020 for Swiss SME are so far very comparable to those for a Swiss research institutions: - They are excluded from all mono-beneficiary grants - i.e. SME Instrument and Fast Track to Innovation (FTI) (pilot) - and also from Prizes. - They can however participate in RIA and IA as outlined in my note on Funding of and costs in Swiss industrialised third country participation in Research and Innovation Actions (RIA) and Innovation Actions (IA) in Horizon From SERI I understood that they are also considering the direct funding of Swiss participation in CSA within the broader examination of modalities and handling of the direct funding in the eventual temporary solution pending the full participation. However, with CSA you need at least one legal entity, unless specified in the work programme. Legal entities from third countries can participated, provided the minimum number of participant in the consortia is met. Importantly, restrictions in the work programmes related to third country participation may exist. So SME/RO need really have to look carefully at the work programmes. Moreover, mind the following wording in my note: Also the possibility of direct funding for firms, notably SME, that participate in RIA and IA can be envisaged and is currently under examination by SERI. Mind the changed mandate of CTI as of 1 January CTI apparently can fund a Swiss research organisation and its linked European research organisation to serve the interests of a Swiss SME. This opening is not yet implemented within the CTI instruments, but this will apparently follow. The CTI funding to both (the CH and EU research organisation will only be possible if the main part of the research 50% plus is in CH. 15 December

14 3.6. What are the consequences being an industrialised third country for Swiss applicants in: SME Voucher, Fast Track to Innovation (FTI), Pre-commercial Procurement and Public Procurement of innovative solutions? SwissCore: Swiss participants cannot participate in any of these instruments. 4. Access to risk finance 4.1. Are Swiss banks/companies eligible for these instruments if we become a third country? EC: Swiss entities won't be able to participate in financial instruments under Horizon 2020 if Switzerland is not associated. V. Specific questions on pillar III Societal challenges 1. Secure societies 1.1. To what extend would Swiss partners be excluded as third country participants from consortia for secure societies? EC: Participation of Swiss entities in calls under secure societies is subject to eligibility conditions in relevant Work Programmes. Such Work Programmes may exclude entities unable to provide satisfactory security guarantees, including as regards personnel security clearance if justified by security issues (Art.7(3) of Horizon 2020 Rules for Participation). This general rule applies to entities from all countries, whether associated or not. VI. Horizontal programs 1. Spreading Excellence and widening participation 1.1. Is a partner from a high performing region from a third country eligible for participation in in proposals from lesser performing regions? Switzerland is fully associated to this program. 2. EIT 2.1. Can the EC confirm that the EC concludes a framework contract with the EIT Foundation and that the EIT Foundation then concludes contract with the KICs whereby the only rule concerning third country participation is that 66% of the partners must come from an EU member state or associated country? EC: Yes. The revised EIT Regulation requires two thirds majority of participants from EU Member States in any KICs. The possibility of Swiss entities to participate in KICs is not affected in the absence of EU-Switzerland association agreement to Horizon December

15 It should be noted, however, that participation in a KIC is not automatically coupled with funding. The rules governing general eligibility for funding of entities from non-eu Member States are those of Horizon Moreover, please note that the EIT is a Union body, established by the EIT regulation and not via a framework contract. It is the EIT who concludes a Framework Partnership Agreement with each individual KIC and funds the KICs via annual grants. The EIT Foundation is a legally independent entity and is not responsible for running the KICs Is the Swiss participation/funding in ongoing KICs concerned? EC: The possibility of Swiss entities to participate in KICs is not affected in the absence of EU- Switzerland association agreement to Horizon The current Framework partnership Agreement for the current KICs are valid to the end of the year According to the Horizon 2020 RfP Article 10 (2) a, for the continuation of the funding by EIT, the Climate-KIC will have to request from the funding body (EIT) to agree that the CLC in Zurich is deemed essential to its activities. The EIT will then, together with the EC, decide on granting this status and continue funding or not. As for the new KICs, it is advised to request this status in the proposal. 3. EURATOM 3.1. Are Swiss institutions eligible for EURATOM calls? EURATOM is fully associated to this program. VII. PRACTICAL QUESTIONS 1. Evaluation and grant preparation 1.1. In the Ethics issue table, question 6 refers to the involvement of non-eu countries : is there a difference the information to be filled in depending on the status of Switzerland, i.e. whether it is an associated state or a third country? Euresearch: Switzerland as a third country will have to indicate that it meets similar ethical standards as those set by the EC (this is assumed for associated countries). A statement to this effect and an explanation of how Swiss law, standards meet the same standard as e.g. Directive 95/46/EC should be fine. In relation to movement of material and or data outside the EU, this can be dealt with through material transfer agreements, where the responsibilities of the party to whom the material is being sent are clearly set out (and meet the same standards as EU). In practical terms, it will require some more work from researchers to clearly set this out but in principle I don't think there will be a problem since Swiss researchers can meet their obligations. In relation to movement of material and or data outside the EU, this can be dealt with through material transfer agreements, where the responsibilities of the party to whom the material is being sent are clearly set out (and meet the same standards as EU). 15 December

16 1.2. For Research and Innovation Actions (RIA), Innovation Actions (IA) and Coordination and Support Actions (CSA): How will evaluators be briefed on a potential switch from a coordinator from a third country to an associated state? How and when would change of coordinator have to be communicated in order to have a good evaluation on the implementation and impact criteria? EC: The status of a country (third country or associated) has a bearing on whether an entity might get EU funding or not, but should have no bearing on the application of the award criteria by the expert evaluators With regards to Switzerland participating as a third country: Will there be some flexibility in the evaluation process (eg. If there are obvious mistakes like consortia having included CH partners in their budgets or if changes in the coordination are necessary)? EC: As with all entities from third countries, EU funding will only be granted on an exceptional basis. If a Swiss entity has requested EU funds this is deducted by the Commission/Agency 1.4. Will SERI use the MSCA rates for SME owners without a salary? SERI recommends using the criteria used in the Horizon 2020 for determining the salary of an SME owner Will SERI require a Certificate on Financial Statements (CFS) of their own? (If so, participants need to include CFS costs in their budgets.) SERI recommends including the CFS costs in the budget, because it used to request a Certificate on Financial Statements above a certain threshold in the past, and also the EC requests a CFS for grants above EUR at the time of claiming the payment of the balance of the grant. This way, the participant is on the safe side also in the case the project will be financed by Horizon Administration and Management (national funding) 2.1. What is meant by "no decision taken concerning the funding of Swiss participation" (SERI )? That is, the so-called transition measures" that will provide the legal base for funding of Swiss participants will have to be approved by the Swiss Federal Council. Unless this formal approval is obtained, no guarantees for the funding can be given. Please also consider that no other third state provides funding guarantees (e.g. USA) What are the financial flows when coordinators are located in third countries? Per principle, Swiss researchers can also coordinate projects in the 3rd country status, even though they cannot receive funding from Horizon That is, a coordinator based in a third country that is not entitled to receive EU funding will not be reimbursed for any costs incurred for the project, even for costs related to the specific tasks of the coordinator. In addition, according to the Model Grant Agreement (Art. 41.2), the tasks of the coordinator 15 December

17 can neither be delegated to another beneficiary nor be subcontracted. Therefore a Swiss coordinator could not be reimbursed by the EC for any costs incurred for being the project coordinator. That is, if the project successfully would have passed the EC evaluation procedure (i.e. finally would have made it on the funding list), all costs of the Swiss coordinator (including the coordination costs) would be funded by the Swiss Confederation (note the caveat in the above item!) 2.3. Is there a risk for Swiss coordinators that they will have to face a budget cut when being paid directly? Would this risk be lower for Swiss participants? The so-called transition measures aim at providing Swiss participants in successful Horizon 2020 projects that have made it on the funding list with the funding Swiss participants would have obtained if Switzerland was fully associated to Horizon Due to the fact that as a 3rd country, Switzerland will not benefit anymore from the positive net financial flow (Under FP7 Swiss researchers could secure more of the competitive funding than Switzerland had contributed to the FP7 budget), funding cuts might (but not necessarily will!) be necessary. However, we cannot see any obvious reason why Swiss coordinators should bear a higher risk of funding cuts than Swiss participants. All efforts will be made to avoid such cuts. Should they be unavoidable, they will be made with regard of the needs and priorities of the Swiss research landscape Who will pay the consortium management costs of the Swiss coordinator, considering that these costs are incurred on behalf of the whole consortium but that EC will not pay these costs to the Swiss coordinator? Will Switzerland (SERI) pay these costs (for the whole consortium)? SERI: The current understanding in this question is that there is no ready solution off the shelves yet. Though it is obvious that all participation costs of the Swiss participant/coordinator will be reimbursed, the question of how to distribute coordination costs on behalf of the entire consortium, if the coordinator is from a non-eu, and nonassociate state has not occurred in the times of Switzerland participating as a 3rd country before 2004 (coordinating projects as a 3rd country partner was not possible then).however, it should be possible to find a pragmatic solution together with the EC. As we have received the order to develop such processes by today, please allow some time. Of course we are in close contact with Euresearch on the development of these processes There will be no audit certificates (CFS) for Swiss partners funded by SERI? SERI: Swiss participants will be exempt from the financial checks, reviews and audits of their costs by the EU. SwissCore: Please make sure you evoke article 9 from in the General Grant Agreement Why does the Participants Portal deliver an error message when a Swiss institution wants to coordinate a project in the first step of the two-stepprocedure? EC: A third country entity can still coordinate a proposal, as long as the other partners make up the minimum conditions. (In a first stage proposal these partners - where known - are listed in part B). Therefore the submission system should not block a CH coordinator at stage December

18 2.7. How do we advise on budget preparation and form filling? Shall we follow EU rules and then add a "zero" in the field "Request to Commission funding? And how do we describe costs for third countries in proposals? SwissCore: Swiss partners declare their budget in the proposal forms (Colum H: total estimated eligible costs/ ). They only claim a budget (column K Requested grant / ) in case they justify essential for carrying out the action in part B Will there be a cap for financing Swiss participants and coordinators by the SERI? In discussion with SERI 2.9. How will a Swiss subcontracting SME be reimbursed? Case A: CH participant in proposal subcontracting: A1: CH subcontractor: reimbursement foreseen by SBFI no "requested grant". A2: Non CH subcontractor (EU, AC or other): reimbursement foreseen by SBFI no "requested grant". Case B: Participant is EU-Mitglieder oder AC B1: CH subcontractor: reimbursement not by SBFI: included in "requested grant" B2: Non CH subcontractor (EU, AC or other): reimbursement not by SBFI: included in "requested grant" Are cantonal / federal offices eligible for funding by the Swiss government? Cantonal offices are eligible for funding. Federal offices are not eligible for funding. However there may be funding opportunities from within the federal office. Please contact the person responsible for research at your office If a beneficiary from a third country is not eligible for funding by Horizon 2020, it will be funded via national contributions. How will money flows be coordinated? EC: Costs of beneficiaries not receiving EU funding will be indicated in Annex 2 of the Grant, but will not be included in the total eligible costs and will not count for the maximum amount of the grant (see Article 9). The rights and obligations set out in the Grant Agreement will normally apply to these beneficiaries, but the Grant Agreement lists a number of provisions that don t. These beneficiaries will, for instance, not be subject to financial checks, reviews and audits. They do not have to submit individual financial statement. In the Horizon 2020 framework, nothing prevent a beneficiary not receiving EU funding to be funded by another source (i.e national funding). Nevertheless, the conditions to receive this funding have to be checked in the related legal framework. 15 December

19 Background documents and links 13 Horizon 2020 submission page at guide-pse_en.pdf 18._general_annexes_wp _en.pdf 19 SERI Sprachregelung on Erasmus+ and Horizon 2020 at 20 SERI press release direct funding at 21 Press conference Schneider-Amman on direct funding at 14 General Model Grant Agreement at 15 MSCA ITN Model Grant Agreement at 16 Grants Manual - Section on: proposal submission and evaluation at HORIZON 2020 WORK PROGRAMME General Annexes at EC note on Swiss participation in Horizon SNSF wants to offer excellent researchers temporary substitute for ERC funding schemes at Swiss institutions at transitional-measure-snsf-offers-researchers-temporary-substitute-erc-funding- schemes.aspx 23 Euresearch Factsheet on MSCA 24 SwissCore briefing note on Funding of and costs in Swiss industrialised third country participation in Research and Innovation Actions (RIA) and Innovation Actions (IA) in Horizon December