Horizon 2020 Grant Agreement Amendments Process
Amendments to the
Grant Agreement
Amendments may not result in changes that
if known before awarding the grant — would have had an impact on
the decision to award it
Those are mostly changes that:
may have had an impact on the assessment of the applicant with
regard to the
eligibility and selection criteria
breach the principle of
equal treatment
of applicants
involve changes in the action and/or budget which may have affected
the assessment with regard to the
award criteria
established in the call
do not comply with the
Rules for Participation, Financial Regulation
or
provisions of
the GA
Conditions
WHEN ?
WHEN ?
Requests must be submitted:
Requests must be submitted:
*
before the end of the action
Exception
:
special cases where it is necessary to change:
-
coordinator
- bank account to make the payment of the balance
*
sufficiently in advance
to allow preparation and proper
analysis before the changes are due to take effect
Requests must be unambiguous and complete
Requests must be unambiguous and complete
Example:
to correct an error made in a GA
Coordinator
Coordinator
-
-
submits/signs/receives amendments on behalf of beneficiaries
Exception:
if
change of coordinator without its agreement request must be
submitted by another beneficiary on behalf of the others
Coordinator -
Coordinator -
must ensure internally the agreement of the consortium
based on internal decision‑making processes set out in the consortium agreement
(e.g. unanimity, simple or qualified majority)
WHO ?
WHO ?
Requested by the parties
Requested by the parties
⏩
Prepared electronically
Prepared electronically
Requesting party encodes the request in the Funding & Tenders Portal
* Indicate reasons
* Upload supporting documents
* Get validations done before submitting the request
(e.g. new legal entity, bank account validations)
⏩
Submitted & signed electronically
Submitted & signed electronically
(by PLSIGN)
⏩
Counter signed electronically
Counter signed electronically
by receiving party (by PLSIGN)
HOW?
HOW?
NEW
Cases where
Cases where
an amendment
an amendment
is necessary
is necessary
(some examples)
(some examples)
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▶
'Contradictory procedure'
(30 days)
▶
'
Termination date
'
either:
-
date specified in notification confirming termination, or
-
day after coordinator or beneficiary concerned receives the notification
▶
Coordinator must submit within 60 days after termination
an amendment request with supporting documents
!
!
I. Beneficiaries - changes
Commission/Agency
Commission/Agency
beneficiaries
beneficiaries
Termination of participation
Termination of participation
triggered by:
triggered by:
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The coordinator:
➜
notifies termination to Commission/Agency
➜
submits the amendment request
at the same time
-
NEW
NEW
*
Request must include opinion of the beneficiary whose participation
is terminated, or proof that it has been requested in writing
*
‘Termination date’ must be after notification
Consequences:
➠
T
e
rmination date
is added to the Preamble of the GA
-
NEW
NEW
➠
C
hange of Annexes 1 & 2
➠
If termination is since the beginning
the
applicable options will be
removed/
changed/become not applicable
I.
Beneficiaries - changes
Before submission
:
⇨
New beneficiary must be validated & have a PIC
⇨
Required documents must be signed:
-
G
P
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- Annex 3 -
Accession Form
- Annex 3a, Annex 3b (if applicable)
Consequences:
⇨
New beneficiary and accession date are added to Preamble GA
⇨
C
hange of Annexes 1 & 2
⇨
GA options for that
beneficiary will be added/changed/become applicable
(e.g. linked third party, IO)
I. Beneficiaries - changes
Adding a new beneficiary
‘
Partial takeover
’ means that
some assets
of the beneficiary have been
taken over
by another entity
(e.g. partial acquisition)
It must be clarified:
*
Contractual position
of former and new beneficiary
(vis-à-vis
Commission/Agency and the other beneficiaries)
*
Financial liability
of the new beneficiary for the former beneficiary's
debts
towards the Commission/Agency or the Guarantee Fund
I. Beneficiaries - changes
Change of beneficiary due to "partial takeover"
(FP7: ‘partial transfer of rights and obligations’)
⁕
Significant change of
action tasks
(e.g. if tasks are
added/removed)
or their
division
among the beneficiaries
⁕
Changes concerning
subcontracts
or
in-kind contributions
provided by third parties
(against payment or free-of-charge)
⁕
Changes concerning
linked third parties
, tasks to be carried
out and budget
⁕
Changes to the
options
in the GA
(e.g. options removed or added)
Example:
adding the options to provide trans-national access to research
infrastructure requires normally a change of Annex 1 &/or Annex 2
III. Action or action implementation - changes
Change to Annex 1
- Description of the action
B
udget transfers:
⏩
between beneficiaries
or
budget categories
(or both)
due to a significant change of Annex 1
⏩
to a form of costs that is not used by the beneficiary
Except for transfers
:
➛
within the personnel costs, and
➛
to costs of internally invoiced goods and services
Example:
access costs for transnational access to research infrastructure
Additional information on the estimated budget
If calculation of
unit costs
needs to be provided or updated
IV. Financial aspects - changes
Change to Annex 2 - Estimated budget
Change of Annex 2a
Cases where an
Cases where an
amendment is
amendment is
not
not
necessary
necessary
A
M
E
N
D
M
E
N
T
S
Cases where NO amendment is needed:
Certain budget transfers
N
E
W
!
(
2
0
1
7
)
✓
Change of name/address
of beneficiaries & linked third party
✓
Change of beneficiary due to universal takeover
(In FP7: ‘universal transfer of rights and obligations’)
✓
Changes to name of the bank/address of branch/
name of account holder
(validation of this data on the FP by the
Commission is sufficient)
P
P
R
R
O
O
C
C
E
E
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n
Other cases where no amendment is needed:
▶
Beneficiaries must keep
information stored in the ‘Beneficiary
Register’ up to date
via the Funding & Tenders Portal
(Article 17.2)
▶
The LEAR of the beneficiary updates this information
▶
Beneficiaries have to inform as well the coordinator (offline)
▶
Validation Services validate the information in the IT system
▶
The validated changes will be notified via the Portal
Note:
Note:
If Commission/Agency considers change affects the action
implementation, it will inform the coordinator
Example:
beneficiary changes its legal address to a third country
How is this information updated?
Amendment Procedure
NEW
A request containing several changes
to the GA will be
considered
as a
package
-
cannot be divided into several requests
-
request will be agreed or rejected as
a whole
An amendment
request cannot be changed
A request can be
withdrawn
at any moment before signature
There is
no tacit approval
of amendments
Amendment procedure
👉
👉
An amendment
enters into force
enters into force
and is binding
and is binding
from the
moment both parties sign it
(in the electronic exchange system)
👉
👉
An amendment
takes effect
takes effect
(
the changes will start to apply):
➦
when the amendment enters into force,
or
➦
on the date agreed by the parties
*
This date should normally be
after
the entry into force
* If an amendment request involves several changes, they could take effect
on
different dates.
Example:
change of Annex 1 & change of bank account
*
Depending on the type of change, the date of taking effect may have an
impact on the eligibility of costs.
Example:
addition of new beneficiary
Entry into force and taking effect
ADDITIONAL INFO:
Funding & Tender opportunities Portal
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Guidance: 'Amendment types & supporting documents'
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h
t
m
Thank you very much
Thank you very much
for your attention!
for your attention!
Horizon 2020 grant agreements can be amended to change specific data or options, with conditions in place to ensure fairness and compliance with rules. Requests for amendments must be submitted before the end of the action, primarily by the Commission/Agency or Consortium, following a paperless process prepared electronically.
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HORIZON 2020 HORIZON 2020 Amendments to the Grant Agreement
Article 55 MGA WHAT ? An amendment to the grant agreement is necessary to change the terms and conditions of a GA (only specific data, options), Annexes 1 and 2 Consequences The amended provisions become an integral part of the GA All other provisions remain unchanged and have full effect
Conditions Amendments may not result in changes that if known before awarding the grant would have had an impact on the decision to award it Those are mostly changes that: may have had an impact on the assessment of the applicant with regard to the eligibility and selection criteria breach the principle of equal treatment of applicants involve changes in the action and/or budget which may have affected the assessment with regard to the award criteria established in the call do not comply with the Rules for Participation, Financial Regulationor provisions of the GA
WHEN ? Requests must be submitted: * before the end of the action Exception: special cases where it is necessary to change: - coordinator - bank account to make the payment of the balance * sufficiently in advance to allow preparation and proper analysis before the changes are due to take effect Requests must be unambiguous and complete
WHO ? Requested by the parties Commission/Agency Consortium Example:to correct an error made in a GA Coordinator - submits/signs/receives amendments on behalf of beneficiaries Exception: if change of coordinator without its agreement request must be submitted by another beneficiary on behalf of the others Coordinator - must ensure internally the agreement of the consortium based on internal decision-making processes set out in the consortium agreement (e.g. unanimity, simple or qualified majority)
HOW? NEW are PAPERLESS Amendments H2020 Prepared electronically Requesting party encodes the request in the Funding & Tenders Portal * Indicate reasons * Upload supporting documents * Get validations done before submitting the request (e.g. new legal entity, bank account validations) Submitted & signed electronically (by PLSIGN) Counter signed electronically by receiving party (by PLSIGN)
Cases where an amendment is necessary AMENDMENTS (some examples)
I. Beneficiaries - changes beneficiaries Termination of participation triggered by: Commission/Agency Termination by Commission/Agency Termination by Commission/Agency (Article 50.3) 'Contradictory procedure' (30 days) 'Termination date' either: - - date specified in notification confirming termination, or - - day after coordinator or beneficiary concerned receives the notification Coordinator must submit within 60 days after termination an amendment request with supporting documents !
I. Beneficiaries - changes Termination Termination by by the the beneficiaries beneficiaries (Article 50.2) The coordinator: notifies termination to Commission/Agency submits the amendment request at the same time - NEW * Request must include opinion of the beneficiary whose participation is terminated, or proof that it has been requested in writing * Termination date must be after notification Consequences: Termination date is added to the Preamble of the GA - NEW Change of Annexes 1 & 2 If termination is since the beginningthe applicable options will be removed/changed/become not applicable
I. Beneficiaries - changes Adding a new beneficiary Before submission: New beneficiary must be validated & have a PIC Required documents must be signed: - GPF with Declaration of Honour - Annex 3 - Accession Form - Annex 3a, Annex 3b (if applicable) Consequences: New beneficiary and accession date are added to Preamble GA Change of Annexes 1 & 2 GA options for that beneficiary will be added/changed/become applicable (e.g. linked third party, IO)
I. Beneficiaries - changes Change of beneficiary due to "partial takeover" (FP7: partial transfer of rights and obligations ) Partial takeover means that some assets of the beneficiary have been taken over by another entity (e.g. partial acquisition) It must be clarified: * Contractual position of former and new beneficiary (vis- -vis Commission/Agency and the other beneficiaries) * Financial liability of the new beneficiary for the former beneficiary's debts towards the Commission/Agency or the Guarantee Fund
III. Action or action implementation - changes Change to Annex 1 - Description of the action Significant change of action tasks(e.g. if tasks are added/removed) or their division among the beneficiaries Changes concerning subcontracts or in-kind contributions provided by third parties (against payment or free-of-charge) Changes concerning linked third parties, tasks to be carried out and budget Changes to the options in the GA (e.g. options removed or added) Example: adding the options to provide trans-national access to research infrastructure requires normally a change of Annex 1 &/or Annex 2
IV. Financial aspects - changes Change to Annex 2 - Estimated budget Budget transfers: between beneficiaries or budget categories (or both) due to a significant change of Annex 1 to a form of costs that is not used by the beneficiary Except for transfers: within the personnel costs, and to costs of internally invoiced goods and services Example: access costs for transnational access to research infrastructure Change of Annex 2a Additional information on the estimated budget If calculation of unit costs needs to be provided or updated
Cases where an amendment is not necessary AMENDMENTS
Cases where NO amendment is needed: Certain budget transfers Budget transfers and re-allocation Amendment needed? From one beneficiary to another NO From one budget category to another NO Re-allocation of Annex 1 tasks YES YES if the 'form' receiving the transfer was not included in the budget (a new unit cost under column F) Transfers between forms of costs (actual costs, unit costs, etc.) Transfers within personnel costs NO NEW ! (2017) Transfers to costs of internally invoiced goods and services NO New subcontracts YES (strongly advised)
Other cases where no amendment is needed: Change of name/address of beneficiaries & linked third party Change of beneficiary due to universal takeover (In FP7: universal transfer of rights and obligations ) Changes to name of the bank/address of branch/ name of account holder (validation of this data on the FP by the Commission is sufficient) PROCEDURE PROCEDURE to change this information to change this information
How is this information updated? Beneficiaries must keep information stored in the Beneficiary Register up to date via the Funding & Tenders Portal (Article 17.2) The LEAR of the beneficiary updates this information Beneficiaries have to inform as well the coordinator (offline) Validation Services validate the information in the IT system The validated changes will be notified via the Portal Note: If Commission/Agency considers change affects the action implementation, it will inform the coordinator Example: beneficiary changes its legal address to a third country
Amendment Procedure NEW After submission of request receiving party has 45 days for evaluation and validation Agreement Rejection Request for additional information Extension of the deadline for assessment If no reaction within deadline, tacit rejection
Amendment procedure A request containing several changes to the GA will be considered as a package cannot be divided into several requests - request will be agreed or rejected as a whole - An amendment request cannot be changed A request can be withdrawn at any moment before signature There is no tacit approval of amendments
Entry into force and taking effect An amendment enters into force and is binding from the moment both parties sign it (in the electronic exchange system) An amendment takes effect (the changes will start to apply): when the amendment enters into force, or on the date agreed by the parties * This date should normally be after the entry into force * If an amendment request involves several changes, they could take effect on different dates.Example: change of Annex 1 & change of bank account * Depending on the type of change, the date of taking effect may have an impact on the eligibility of costs. Example: addition of new beneficiary
ADDITIONAL INFO: Funding & Tender opportunities Portal https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/programmes/h2020 H2020 Annotated Model Grant Agreement (AGA) (Article 55) htt://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/amga/h2020-amga_en.pdf Guidance: 'Amendment types & supporting documents' http://ec.europa.eu/research/participants/data/ref/h2020/other/gm/h2020-guide-amend-types_en.pdf Horizon 2020 On-line Manual http://ec.europa.eu/research/participants/docs/h2020-funding-guide/grants/applying-for- funding/register-an-organisation_en.htm
HORIZON 2020 Thank you very much for your attention!
