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EUROPEAN COMMISSION RESEARCH EXECUTIVE AGENCY

Excellent Science Marie Skłodowska-Curie Research and Innovation Staff Exchange

Questions & Answers

Marie Skłodowska-Curie Actions - Research and

Innovation Staff Exchange Coordinators’ Day

Disclaimer: This document aims to provide coordinators with further guidance for the implementation of their Marie Skłodowska-Curie Actions Research and Innovation Staff Exchange grants, following the questions collected via SLIDO during MSCA RISE 2020 Coordinators’ Day. It is provided for information purposes on ly and is no t in tended to

replace consultation of any applicable legal sources. Neither the European Commission, nor the Research Execu tive Agency (or any person acting on their behalf) can be held responsible for the use made of this guidance document. Th e

guidance provided in the Annotated Model Grant Agreement shall prevail in case of discrepancies.

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Contents

TOPIC 1 - ELIGIBLE RESEARCHERS AND RECORDS KEEPING............................3

TOPIC 2 - REPORTING AND MEETINGS ................................................................ 10

TOPIC 3 - PAYMENTS AND AMENDMENTS ......................................................... 13

TOPIC 4 - DISSEMINATION AND COMMUNICATION OF THE PROJECT RESULTS ........................................................................................................................... 20

TOPIC 5 - ETHICS IN THE RISE GA ........................................................................ 23

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Topic 1 - Eligible researchers and records keeping

45 Questions

Q1 - If the host institution allows remote working and it is compatible with the work to be

done. Is it possible to do the secondment without travelling?

Teleworking from the country of the sending organisation (i.e. no mobility) is not allowed. RISE

action is built around transnational mobility. For this reason, a mobility allowance is allocated for

the benefit of the staff member (category A). RISE staff, however, is entitled to telework when

already in the country of the host organisation and prevented from accessing its premises, under two

conditions: a) remote working is compatible with the nature of the research activities to be

performed during secondment; b) teleworking is compatible with the administrative rules of the

hosting organisation.

Q2 - If our project starts on 1/05 and a secondment start on 1/05, is it possible to pay in

advance the allowance to secondee before official project starting date?

Yes, it is possible (even if a secondment starting on the very first day of the project is quite unlikely). In any event, it is recommended to provide the staff member prior to the starting of the

secondment with the financial means necessary for the stay abroad.

Q3 - In order to be eligible, the staff member must be on the payroll or can they be an

external collaborator who will dedicate their full-time to the secondment?

An external collaborator may be eligible as long as there is a valid legal link (e.g. contract) with the sending organisation and he/she complies with all the other eligibility requirements (including the

one month prior dedication to R&I activities at the sending institution). For additional details see answer Q8 also.

Q4 - If a staff member working part-time is participating in secondments, during the

secondment period the beneficiary should change the contract to full-time during this

time?

It may be necessary to sign a complementary agreement to cover the full-time dedication to work during the secondment, if the national applicable legislation(s) so require(s).

Q5 - Can we pay salary with category B to a staff member by contract?

Yes, it is possible. The use of institutional costs (category B) falls entirely within the responsibility of the beneficiary organisation, with the only limitation of making use of the financial contribution

for the implementation of the project. However, this does not exempt the beneficiary to correspond to the staff member the category A allowance in full in addition to salary.

Q6 - For secondments from Chinese partner organisations, you said that they must be

reported in the Continuous Reporting. Must we keep documents proving that the

mobility took place?

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For RISE purposes, record keeping is necessary for secondments eligible for funding only. It is, however, a good accounting practice to keep records of all secondments. Moreover, it will document the implementation of the secondment plan as described in the proposal.

Q7 - Are unpaid associate researchers in a university laboratory eligible staff?

A staff member is eligible as long as the type of relationship (employment contract, fellowship or other) between the staff member and the sending organisation complies with the applicable national law and internal practices and confers to the sending organisation the power of direction and instructions over the staff member for the duration of the secondment. As such, the element of

retribution (e.g. salary) is not necessary.

Q8 - What happens if we bought the flight ticket for a staff member and he/she cannot

travel because of COVID-19 situation (or other possible force majeure situations)?

If the costs incurred for the secondment are not recoverable, the costs may be still be eligible for up to one-month equivalent per Grant Agreement and without exceeding the overall amount of the EU contribution. Please consult in advance the Project Officer in charge of the grant in order to receive

guidance on your specific case.

Q9 - What are the conditions need to be fulfilled in order for a master’s student to be

considered eligible for a secondment?

In principle, it is unlikely for a master’s student to be eligible under RISE. First of all, he/she may not fit with the definition of early-stage researcher, if the academic degree already acquired (typically a bachelor) does not allow to embark on doctoral studies. In addition, RISE is mainly a research and innovation project, rather than a training activity. Therefore, in most cases, master’s

students are not in possession of the expertise to play an active role in such kinds of projects. However, it may not be excluded that in very specific circumstances, master’s students may comply with the eligibility conditions (e.g. if in possession of an adequate preparation to act as technical staff). In dubious cases, you are recommended to seek prior advice from the Project Officer in

charge of the project.

Q10 - Would teleworking, with no mobility, be possible for new secondments that have not

started yet due to COVID-19 situation?

No, see answer under Q1.

Q11 - Is it possible to have a second extension of the project duration? The countries are

closing the borders again, even today after a year, due to COVID-19 new variants.

REA is closely monitoring the evolution of the situation and is adopting a flexible approach to grants management. Extension(s) of the duration of the project may be granted as long as it will be necessary (and proportionate) for the implementation of the project.

Q12 - If a PhD student is self-funded one, can they be seconded?

This question raises two different points: a) a PhD student may be eligible even if he/she is not

receiving any fellowship (see answer Q 8, about the fact that a retribution is not a condicio sine qua non to assess the eligibility). b) During the period of secondment, the beneficiary must provide the

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staff member (including PhD student) with an amount corresponding at least to the allowance (category A) allocated to the benefit of the staff member him/herself.

Q13 - Where is the separation of funding use between categories B1 and B2 handled since no

supporting documents are needed? Only in the Consortium Agreement?

The beneficiaries are required to make use of the institutional costs (category B) to implement the project. This part of the EU contribution is not audited and therefore the distinction between B1 and B2 is merely indicative. However, beneficiaries may decide on the use and the allocation of this part of the funding in the Consortium/Partnership Agreement.

Q14 - How to demonstrate that a staff member is linked to R&I activities for at least one

month at the sending institution?

Usually the same documentary evidence used to demonstrate the legal link with the sending organisation could demonstrate the duration of the prior link (starting date of employment contract, start date of enrolment in PhD programme, etc.).

Q15 - Do we have to keep records also of subsistence costs? Indeed, you mentioned also

documents related to travel and accommodation (hotel reservation, B&B)

Yes, as long as these costs are reimbursed to the staff member within the limit of category A allowance.

Q16 - If a secondee declares a full-time secondment stay, how to prove this full-time devotion

of time?

During the period of secondment, full-time dedication is mandatory. It can be demonstrated through different means according to the local administrative practices and regulations (i.e. with timesheets, lab reports, digital badges, etc.).

Q17 - The question I have is whether a company's co-founders can indeed go on secondments

without being on the payroll?

Question already answered (see Q 8).

Q18 - Project manager can be a beneficiary of the project, how is the payment?

According to RISE contractual terminology, only organisations may be beneficiaries of the grant. However, a project manager is taking active part in the implementation of the project in the frame of the participation of his/her organisation. The role of project manager does not entitle the staff

member concerned receipt of any special allowance under RISE grant, unless he/she is seconded as well and as long as the secondment fulfil all the subjective and objective eligibility conditions. Secondments of staff dealing with purely administrative tasks, e.g. accountants, auditors, secretaries, etc. are not eligible.

Q19 - Is possible to hire PhD students for this kind of position and can he/she also be

considered Early Stage Researcher (ESR) for secondments?

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PhD students, regularly enrolled in a doctoral programme (for at least one month prior to the secondment) are eligible staff under RISE action.

Q20 - Is the project manager paid from B unit costs (MNG) required to fill in timesheets on

monthly basis?

No, it is not necessary, as the category B costs (institutional costs) is not audited.

Q21 - Should secondees’ timesheets reflect the bank holidays in the host country?

Bank holidays may be included in the secondment period.

Q22 - Should the secondee keep all the invoices/receipts?

No, only beneficiaries of the Grant Agreement are required to keep invoices and any other documentary evidence to demonstrate the eligibility of secondments.

Q23 - Are timesheets for documentation of secondments necessary, or just a suggestion

(considering that other means, e .g. lab notebooks are possible)?

Timesheets are indeed an effective documentary evidence. However, beneficiaries may demonstrate the eligibility of secondments through any other means according to their internal accounting rules and practices.

Q24 - Having recently resided in the country of his future secondment would the secondment

be considered ineligible like MSCA IF?

No, the MSCA Individual Fellowships mobility rule is not applicable to RISE. Actually, the staff member is only required to undertake a transnational mobility.

Q25 - If the mobility allowance is directly paid to the secondee, are the proof of bank

transfer+travel tickets sufficient to prove full use of category A unit cost?

Yes, the documentary evidences (including proof of bank transfer) should demonstrate that the allowance has been transferred in full to the staff member. Therefore the concerned beneficiary should keep evidence of the costs reimbursed (invoices related to e.g. travel ticket, accommodation, subsistence) and/or the proof of the bank transfers, if any, up to the amount of the category A

allowance.

Q26 - During a secondment, is it possible to plan short visits necessary to the research

activities?

Yes, usually these short visits take the form of the participation to a conference or to a seminar. These short visits are therefore allowed as long as consistent with the research activities performed

in the frame of the secondment. You can also contact your Project Officer for additional advice.

Q27 - For secondee under short-term contract with the sending institution, is it possible to go

on secondment even if his/her contract ends just after the secondment?

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Yes, it is possible provided that the staff member reintegration after the secondment lasts to allow the transfer of knowledge.

Q28 - Would you recommend that the coordinator archives all proof of eligibility (contracts,

CVs, ...) for all the seconded staff of the project?

In principle, each beneficiary is responsible to keep adequate records to demonstrate the eligibility of its staff members. However, it could be a virtuous practice to provide the coordinator with copies of the relevant documentary evidences.

Q29 - What if secondment reports are incomplete/incorrect by a partner? In that case is the

coordinator entitled to withhold payment? It should be written in the Consortium

Agreement?

Beneficiaries of the grant are requested to declare only secondments that actually occurred and consistent with the eligibility conditions established in the relevant legal documents, namely the Work Programme and the Grant Agreement.

Q30 - Is a university student or a qualified technician without a Master's degree eligible for a

secondment from SME to University?

A university student does not fulfil the minimum requirements to be considered, at least, ESR and therefore he/she cannot be eligible in the frame of RISE. For the technician, the level of experience and/or the academic degree must be sufficient to qualify him/her to perform the required research

and innovation activities during the secondment and as outlined in the Description of Action (DoA) R&I Work Packages.

Q31 - How about a PhD student in his/her 5th year of thesis, i.e.? Would he/she be no longer

an ESR?

According to the relevant definition included in the Work Programme, a researcher who, at the time

of the secondment by the host organisation, is in possession of a doctoral degree or have at least four years of fulltime equivalent research experience, is considered an Experienced Researcher (ER). However, as far as concern the participation in a RISE project, there is no practical difference between an Early Stage Researcher (ESR) and an Experienced Researcher, as both are considered

eligible provided that they have the right skills to implement the tasks in the Description of Action.

Q32 - Please provide examples of Administrative staff (ADM) eligible for secondments

Administrative staff directly involved in R&I activities may be seconded under a RISE project. It may include, e.g. administrative staff in charge of preparing an application for a patent, administrative staff experienced in data mining and collection, staff dealing with research surveys,

and as described in the Description of Action R&I Work Packages. On the contrary, staff dealing with purely administrative tasks, e.g. accountants, auditors, secretaries, etc. are not eligible for secondments.

Q33 - Is country of residence relevant for eligibility, or only country of employment – can

cross-border commuters be seconded to (far-away) place in country of residence?

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RISE is based on transnational mobility of staff members and the provision of a mobility allowance to cover travel, accommodation and subsistence costs is consistent with the design and the purpose of the action. Therefore, staff permanently residing in the country of the host organisation are not

eligible for being seconded in the frame of the RISE project.

Q34 - What is the minimum reintegration period for a seconded researcher?

There is no minimum duration of the reintegration period; however its duration should be at least sufficient to ensure the transfer of knowledge after completion of the secondment (see also Q 28).

Q35 - Third Country partners and Beneficiaries ask if it is possible to transfer the secondee's

payments of 2,100 EUR directly to the secondee's bank account?

Yes, it is possible (see Q 26).

Q36 - Category A unit costs should be given entirely to the secondee, even if the total invoice

cost provided is lower. Then, why do we have to collect invoices?

The allowance to the benefit of the staff member in secondment can be provided through direct reimbursement of costs (travel accommodation, etc.), through bank transfer or a combination of the

two. Therefore, regardless of the modalities adopted to correspond the amount of the allowance, the concerned beneficiary should keep a sufficient set of evidence to cover the transfer of the amount in full.

Q37 - How quarantine period of the seconded personnel will be covered? Is the re an

anticipation of additional budget, financing?

During the period of precautionary quarantine established by the national authorities of the country concerned, the staff member may telework if this is consistent with the nature of the activities to be implemented and if it is consistent with the internal practices of the hosting organisation.

Q38 - Who should keep records and supporting documents to justify secondments? The

sending or the hosting Beneficiary? Or both?

In principle, each beneficiary should keep a set of supporting evidence to demonstrate the eligibility of its own staff. However it cannot be excluded that some pieces of information may be stored by the hosting organisation as well (e.g. timesheets).

Q39 - If we give some money to the Third Country organisation for our secondee's

laboratory expenses, do we have to justify it being a category B cost? Is the beneficiary.

responsible in case of audit?

Category B costs (institutional costs) are administered by the consortium and are not subject to audit.

Q40 - The Partnership Agreement (PA) is to be signed between the coordinator and each

partner organisation. Should each party sign a PA with each partner organisation

also?

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The Partnership Agreement, contrary to the Consortium Agreement, is not mandatory but its conclusion is highly recommended. It is deemed to cover several essential practical aspects needed to ensure a smooth implementation of the action such as practical arrangements and planning of

secondments, scientific responsibilities, legal issues, IPR issues, supervision arrangements, internal modalities and timing for the distribution of funding as well as any redistribution of institutional unit costs between the beneficiaries and TC Partner organisations. In terms of modalities, a Partnership Agreement can take various forms depending on the real needs of the project. For

example, it can be fully incorporated in the Consortium Agreement (as a separate chapter) or be a standing alone document or be subdivided in several bilateral agreements.

Q41 - Is possible to hire a fellow to manage project stuffs (i.e. website maintenance,

communication and dissemination) and is he/she can be also ER for secondments?

In order for a staff member to be eligible, he/she must be engaged or linked to R&I activities for at least one month at the sending organisation prior to the secondment. In the example provided, the tasks mentioned do not fit into the definition of R&I activities.

Q42 - What documents are beneficiaries supposed to store with regard to incoming

secondments of researchers from a Chinese partner (not funded by EU)?

Question already answered (Q 7).

Q43 - At least 1 month at the sending institution before realis ing secondments means 1

month full time equivalent (2 months for a staff member with 0.5 contract)?

Yes, it is full-time equivalent.

Q44 - Would you mind to clarify which management costs are not eligible, please?

Category B of the EU contribution that is not subject to audit covers management costs. The only limitation is to make use of this part of the EU contribution for RISE project.

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Topic 2 - Reporting and meetings

17 Questions

Q1 - Can the kick-off meeting due to COVID-19 pandemic take place after the first month

of the project start date?

Yes, it is important to have the kick-off meeting close to the start date of the project where all beneficiaries and partners would participate and clarify roles and responsibilities in the project.

Q2 - The quarantine period is considered part of the secondment?

Yes, it could be at host organisation country if requested by the rules. Please refer to the updated FAQ. You can also contact your Project Officer for additional advice.

Q3 - Is the 1 PM minimum duration requirement for a secondment based on calendar

months or 30 day-periods?

If the secondments are more than one month then the calendar month counts. If the secondment is shorter than a month then 30 days is the reference. Example: A staff member is seconded from a beneficiary to a partner organisation from 12 March to 25 August. The calculation is five months (from 12 March to 11 August) plus 14/30 (for the 14 days from 12 to 25 August). In this case, the

total is 5.47 of person-months.

Q4 - We haven't reached the vaccine yet, the project will start in May 2021, what do you

suggest for secondment mobility for this situation?

If the force majeure – COVID-19 still applies, we would advise to request an amendment to the

Grant Agreement - change of start date). Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the funding and tenders portal.

Q5 - What happens to a secondee due to a shut-down of the host organisation due to the

pandemic? How this is reported in SyGMa?

If the staff was already at the host organisation (physical mobility) and, provided that the tasks are compatible with a remote activity, the staff would fulfil their requirements and the coordinator (COO) would report in the SyGMa module as a regular secondment. Please refer to the updated

FAQ. Would the staff be prevented to enter the premises, they would be repatriated and the corresponding dates declared the SyGMa module. They would resume their activity at a later stage (split stays).

Q6 - If a secondment straddles two claims periods, do we report and claim for the

secondment costs at the start of the secondment or when it is completed?

Are the travel days immediately preceding and following the actual secondment

calculated as part of the period of the secondment?

The start date of the secondment is the day when the researcher leaves the home country to go to the host country for starting the work in the project. The end date is the time when the researcher is back in the home country. Bank holidays could be included in the secondment period. For specific

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cases, please contact your PO. The SyGMa module would automatically compute the duration for each reporting period.

Q7 - How is the Third Country participation reported in the final financials? (Travel costs,

materials, overhead) which documents are needed from the Third Country?

Third Country participation is reported by the beneficiaries and the secondments encoded in the SyGMa tool by the coordinator only. The costs related will appear in the financial statement of the beneficiary were the Third Country researcher did the secondment.

Q8 - We have already had our kick-off meeting. We need to update the secondment

locations proposed in DoA due to COVID-19. How should I notify the PO? In the

progress report?

You should notify the Project Officer about any changes in the Description of Action (DoA). The first official document you can use is the progress report that will be used for the mid-term meeting. The activity report on the month 24 is the second occasion you can inform the Project Officer. In

any case, if delays or changes happened the Project Officer is asking an updated Gantt chart at the time of first reporting.

Q9 - How to deal with the follow-up questionnaire for secondees who left an organisation

(after secondment)? Also, with their participation to mid-term meeting etc.

The follow-up questionnaire is a contractual obligation and very important for policy makers

therefore please make sure that you keep a researcher email address after leaving the organisation, so you can ask them to fill in the document. The participation to mid-term meeting is also very important and the cost could be covered from the B1 category including for researchers that left the organisation. Even a remote participation is acceptable.

Q10 - What are the adjustments proposed for secondments in the sanitary context as our

project will begin in May 2021? Which consequences for the evaluation at mid-term?

In the context of the pandemic, it is possible to postpone the start date. This is done through an amendment but it must be done well in advance of the actual start date (at least a month before). This will avoid payment of the pre-financing before the activity starts. If start date is postponed the

reporting will also change.

Q11 - Can a mid-term meeting take place in the USA because the majority of the consortium

members and secondees will be there at a particular time for other reasons?

The mid-term meeting should be organised by the coordinator with the consortium at its premises or in one of the beneficiaries’ premises (so a Member State or a H2020 Associated Country).

Exceptions are possible. Please contact your Project Officer for further instructions and guidance in this process.

Q12 - Is it possible to report communication activities realized after Grant Agreement

signature but before the official starting date of the project?

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The communication activities reported should be related and obtained during the project duration and not before.

Q13 - A staff member that changes the contract from one project partner to another one

during the project, can do also secondments for the new partner?

If the staff changed the contract and has already been actively engaged in or linked to research and innovation activities at the premises of the sending beneficiary/partner organisation, continuously for at least 1 month (full time equivalent) of the new organisation, it could be seconded also from the new partner. Please contact your Project Officer for further instructions.

Q14 - For the Third Country organisations, reporting is done by the host beneficiary. If the

Third Country partner would like to change where they want to go how would the

reporting be affected?

In RISE, we try to be as flexible as possible. Delay in the implementation of the plan for secondments within a given period would not require an amendment. Any substantial change in the

project should be dealt with an amendment of the Grant Agreement. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the funding and tenders portal.

Q15 - How can we access to the platform SyGMa to apply all the data about the investigators

and secondments?

Please see the reporting presentation slide 4 for what to report and 11 for the tool to be used. In parallel, we advise you to consult the “How-to” page in the funding and tenders portal (reporting section).

Q16 - If one researcher leaves the company, another researcher can do his/her secondment?

Yes, if the eligibility conditions are fulfilled. As for the minimum duration of a secondment, one

staff cannot replace another one. Please contact your Project Officer for further instructions and guidance in this process.

Q17 - It is possible to exchange secondments between researchers of the same company due

to research or personal circumstances?

Yes, it is possible. The name of the researcher is not in the Grant Agreement. Please contact your

Project Officer for further instructions and guidance in this process.

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Topic 3 - Payments and Amendments

43 Questions

Q1 - We have a number of secondments to countries that are more expensive. How do we

apply the national weighting for the category A costs for more expensive countries?

No, there is not a corrective coefficient in RISE. You may use unit cost category B - institutional cost as a complementarity allowance to category A - staff allowance.

Q2 - As coordinator, can we decide how to distribute the interim payment? This choice is

done according the secondments reported than can we transfer a different %?

Yes, the coordinator can decide on the amounts transferred. It is expected that the coordinator transfers the full amounts of the pre-financing to the beneficiaries, and according to the budget breakdown illustrated in the Annex 1 of Grant Agreement. Those amounts would have been agreed upon in the Consortium Agreement, in particular for the management and indirect costs. The

Consortium Agreement may set out, for instance, specific periods for the distribution of payments or that the distribution will be carried out in instalments and these will not be considered unjustified delays.

Q3 - If we change an ER secondee with an ESR one do we need to make an amendment?

In case of change in the Description of Action, please contact your Project Officer. Substantial

changes require an amendment. As far as the Work Packages, deliverables and overall planning of secondment are maintained, it would be possible to substitute an Experienced Researcher (ER) by an Early Stage Researcher (ESR).

Q4 - PhD scholars cannot receive top-ups on their scholarship, so cannot be sent on

secondment, unless we do not have to settle the category A balance. How to solve?

Beneficiaries can either transfer the full amount of the category A - staff allowance or refund the cost of the secondments according to the need of the project and the organisation accounting practices. In the mentioned case you wold refund the cost of the secondments up to the total amount of 2,100 EUR.

Q5 - What is the procedure to transfer managerial costs from partners to the coordinator

that have been agreed in the Consortium Agreement? How and when this transfe r can

be made?

The procedure to transfer managerial costs is outlined in the Consortium Agreement and shall be agreed upon by the beneficiaries. Please note that the Research Executive Agency is not part of the

Consortium Agreement. Therefore, the implementation of the provisions of the Consortium Agreement is solely the responsibility of the beneficiaries. The main constraint is that it must comply with the articles of Grant Agreement. As a reminder, the Consortium Agreement is deemed to cover essential aspects needed to ensure a smooth implementation of the action such as practical

arrangements for the secondments, supervision arrangements, management costs, scientific responsibilities, IPR issues, redistribution of institutional costs between participants, etc.

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Q6 - How should beneficiaries and partners coordinate their secondments if national

governments impose limits to mobility of people due to the pandemic?

Beneficiaries shall apply national authority recommendations on safety of travel and mobility across borders. In the case of COVID-19 force majeure the project may be suspended, extended or a

combination of both. Please refer to the updated FAQ. You can also contact your Project Officer for

additional advice.

Q7 - All partners in Consortium Agreement have agreed on hire the project management,

what conditions can I get hired. How should I make the payments?

You may hire a project manager and use category B - institutional costs to cover the expenses. Details on such expenses and payments fall under the remit of the consortium only. Please also note

that any secondments planned to do "purely management activities" such as project coordination meetings or report drafting is not eligible for funding and will not be supported by the EU contribution.

Q8 - Please extend this information- Payments "Category B can be used up to the

Consortium Agreement: e.g. to hire a project administrator (recommended for big

consortia)"

As a reminder, the category B - Institutional costs can be used to pay an additional top-up allowance to the staff members to cover additional travel and subsistence costs, or to organise additional training activities or horizontal networking events. Moreover, any remaining institutional unit costs

per secondment can be "pooled" and effectively reshuffled among different secondments according to the internal arrangements of the consortium to achieve the objectives of the action. Please note however, that transfer from category A - staff allowance to category B - institutional costs is not allowed.

Q9 - Regarding staff costs category, if we decide to manage their tickets, accommodation...

and there is a remnant, do we have to pay them that amount as a benefit?

Yes, category A - staff allowance shall be fully used for the benefit of the seconded staff.

Q10 - What should I pay attention to when making payments from the management part?

The EU contribution indicated in the grant is calculated and based on planned secondments eligible for funding. The final payable amount of the RISE action will be proportional to the executed

secondments eligible for funding. Therefore, it is critical to implement all planned secondments in order to benefit from the category B - institutional costs. Underperformance may lead to the significant reduction of the planned category B - institutional costs. In other words, less implemented secondments would correspond to less institutional costs.

Q11 - Our project is scheduled to begin in June 2021, but the COVID-19 situation is still

alarming. Is it possible to postpone the project starting date?

Yes, it is possible to amend the Grant Agreement - change of start date. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the funding and tenders portal.

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Q12 - Can you explain how the different options of 'suspend' and 'amend' would affect the

project's management (e.g. reports, schedule, deliverables, etc.)?

Suspension of the project is an amendment. When discussing an amendment with your Project Officer, they will guide you in the process and possible changes. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the

“How-to” page in the funding and tenders portal.

Q13 - How flexible is the implementation of secondments in terms of time and staff appointed

with respect to the initial scheme in the Grant Agreement?

In RISE, we try to be as flexible as possible. Delay in the implementation of the plan for secondments within a given period would not require an amendment. Any substantial change in the

project should be dealt with an amendment of the Grant Agreement. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the funding and tenders portal.

Q14 - For Third Country staff travels, EU partner managing B budget should pay the daily

allowance at the rate applied by the Third Country partner or applied by EU partner

for its staff?

No, there is no corrective coefficient in RISE. Moreover, category A - staff allowance shall be fully used for the benefit of the seconded staff.

Q15 - A member of the consortium established his own enterprise. How can we structure an

amendment in order to include this enterprise in the consortium?

Yes, it is possible to amend the grant agreement - change of composition of the consortium. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the funding and tenders portal.

Q16 - Can we use the Research costs (Category B) to pay some remuneration to researchers?

Yes, the category B - institutional costs can be used to pay an additional top-up allowance to the

staff members to cover additional travel and subsistence costs, or to organise additional training activities or horizontal networking events. Moreover, any remaining institutional unit costs per secondment can be "pooled" and effectively reshuffled among different secondments according to the internal arrangements of the consortium to achieve the objectives of the action. Please note

however, that transfer from category A - staff allowance to category B - institutional costs is not allowed.

Q17 - Are we able to use and spend as much budget as secondment mobility?

As a reminder, you are expected to implement 100% of the project’s Work Packages, deliverables and secondments. As such, the totality of the EU contribution would be used. Practically, for any

executed secondments, the beneficiary will receive the full unit cost of 4,600 EUR corresponding to the staff member cost and the institutional unit cost.

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Q18 - Can you provide examples of how should category B1 unit costs usage be "de taile d in

the Consortium Agreement" (as stated in the "payments" video)?

The Consortium Agreement is a private agreement between the beneficiaries only, to set out the rights and obligations amongst themselves. The consortium must agree on the provisions set forth in this agreement. In particular and not exhaustive, you will decide on the implementation and division

of tasks, internal organisation, management of the consortium, project budget and distribution of EU funding. On the category B - institutional costs, they entail:

- costs covering of R&I related activities of the action (category B1) such as purchasing of consumables, laboratory costs, participation to conferences, workshops, coordination and review meetings and networking activities, and

- costs connected with the organisation and implementation of the secondments (category B2) such as administrative and financial management, logistics, ethics, human resources, legal advice, project manager.

Q19 - Can category B1 money be used to pay travel and accommodation for staff members

and secondees to join project meetings? Such as the mandatory mid-term meeting.

Yes, category B - institutional costs include costs covering of R&I related activities of the action

(category B1) such as purchasing of consumables, laboratory costs, participation to conferences, workshops, coordination and review meetings and networking activities.

Q20 - The payments video says that pre -financing should be distributed without unjustified

delays. Is the coordinator obliged to transfer the full amount?

Yes, it is expected that the coordinator transfers the full amounts of the pre-financing to the

beneficiaries, and according to the budget breakdown illustrated in the Annex 1 of Grant Agreement. Those amounts would have been agreed upon in the Consortium agreement, in particular for the management and indirect costs. The Consortium Agreement may set out, for instance, specific periods for the distribution of payments or that the distribution will be carried out

in instalments and these will not be considered unjustified delays.

Q21 - Is it possible to transfer a lower amount of the pre -financing (e.g. only 50% of each

partner's costs) initially and the rest at a later stage if agreed in Consortium

Agreement?

Yes, it is expected that the coordinator transfers the full amounts of the pre-financing to the

beneficiaries, and according to the budget breakdown illustrated in the Annex 1 of Grant Agreement. Those amounts would have been agreed upon in the Consortium Agreement, in particular for the management and indirect costs. The Consortium Agreement may set out, for instance, specific periods for the distribution of payments or that the distribution will be carried out

in instalments and these will not be considered unjustified delays.

Q22 - Our project is scheduled to begin in May 2021 yet travelling restrictions seem highly

likely to still be in place. Will project extensions be granted?

We would advise to request an amendment to the Grant Agreement - change of start date. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we

would advise you to consult the “How-to page” in the funding and tenders portal.

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Q23 - Please, can you clarify this statement (video payments, slide 9) for a total amount of at

least 2,100 EUR" What does it mean "at least"?

The staff member unit costs is a top-up allowance as the staff continues receiving their salary. It is fully used to support travel, accommodation and subsistence costs for the staff member during the secondment. It may happen that the beneficiaries will complement to this top-up allowance when

needed. This complement can be “pooled” from the remaining institutional unit costs, and/or own resources.

Q24 - Must the whole contribution be given to the researcher despite the fact that the

amount of the invoice is lower or this is not true for the Third Country's secondee?

Yes, category A - staff allowance shall be fully used for the benefit of the seconded staff.

Q25 - Could you please confirm that the total amount of 2,100 EUR/Person Month (cost

category A) should be payed to the secondee, even if travel and accommodation

expenses are lower?

Yes, category A - staff allowance shall be fully used for the benefit of the seconded staff.

Q26 - Is it possible that a third country hosting a secondee receives from the beneficiary

sending the seconded staff member a sum (category B1) to face the lab costs?

Yes, you may transfer part of the amount to Third Country partner, but please keep in mind that each beneficiary, as grant recipient, is responsible for the technical and financial implementation of the action.

Q27 - Is it possible to fund management meetings with institutional costs B1, especially whe n

the management meeting takes place before/after a scientific meeting?

Yes, the category B - institutional costs can cover management meetings costs.

Q28 - Concerning payment transfer, what is considered as “unjustified delay”, could you

please give some examples?

It is expected that the coordinator transfers the full amounts of the pre-financing to the beneficiaries, and according to the budget breakdown illustrated in the Annex 1 of Grant Agreement. Those amounts would have been agreed upon in the Consortium Agreement, in particular for the

management and indirect costs. The Consortium Agreement may set out, for instance, specific periods for the distribution of payments or that the distribution will be carried out in instalments and these will not be considered unjustified delays.

Q29 - What kind of distribution should we make to the partners after the financing is

delivered to the coordinator institution?

You may transfer part of the amount to third country partner, and in line with the Consortium Agreement, but please keep in mind that each beneficiary, as grant recipient, is responsible for the technical and financial implementation of the action.

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Q30 - If a project has not yet began and we decide to 'suspend' it before kick-off meeting:

does this stop the counting of the project's months while suspended?

Yes, when the project is suspended the counting of the project’s months is also suspended.

Q31 - Interim payment is based on secondments reported. What if 65% of secondments is

not completed by all partners?

Underperformance of the implementation of the secondments in RISE projects is taken very seriously and should be tackled as soon as possible. If you are aware of possible delays from you or your partners, please contact your Project Officer. It is one of the item of the agenda of the mid-term meeting and proposed solution to rectify the issue would be discussed with the Project Officer.

At interim payment as well, a revised Gantt chart and possible amendment request would also be discussed, such as, change of Annex 1 and change in the composition of consortium. Nevertheless, you would receive the interim payment in line with the financial statements and cost claim.

Q32 - What is the procedure for the coordinator to change the bank account in the Grant

Agreement?

You would need to request an amendment – change of the bank account. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the funding and tenders portal.

Q33 - Can the coordinator of a RISE project keep the pre -financing allocated to another

beneficiary, and pay for secondments etc. on behalf of this organisation?

Yes, if agreed in the Consortium Agreement. It is expected that the coordinator transfers the full amounts of the pre-financing to the beneficiaries, and according to the budget breakdown illustrated

in the Annex 1 of Grant Agreement. Those amounts would have been agreed upon in the Consortium Agreement, in particular for the management and indirect costs. The Consortium Agreement may set out, for instance, specific periods for the distribution of payments or that the distribution will be carried out in instalments and these will not be considered unjustified delays.

Q34 - If a hosting country asks for a negative COVID-19 test to accept a secondee, is the cost

of the test eligible? In which category? A, B?

COVD-19 test costs can be declared in category A or category B for the best interest of the seconded staff.

Q35 - Is it possible to transfer some of the time for secondments allocated to one´s party to

another team in case of unknown circumstances? How?

In case of change in the Description of Action, please contact your Project Officer. Substantial changes require an amendment. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to page” in the funding and tenders portal.

Q36 - How can we change the secondment locations? Do we have to do that through the firs t

report? Do we need an amendment?

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In case of change in the Description of Action, please contact your Project Officer. Substantial changes require an amendment. Please contact your Project Officer for further instructions and guidance in this process. In parallel, we would advise you to consult the “How-to” page in the

funding and tenders portal.

Q37 - Can plane tickets for instance for secondments be paid by other funds in case the total

cost exceed the amount 2,100 EUR/month?

Yes, the category B - institutional costs can be used to pay an additional top-up allowance to the staff members to cover additional travel and subsistence costs, or to organise additional training

activities or horizontal networking events. Moreover, any remaining institutional unit costs per secondment can be "pooled" and effectively reshuffled among different secondments according to the internal arrangements of the consortium to achieve the objectives of the action. Please note however, that transfer from category A – staff allowance to category B - institutional costs is not

allowed.

Q38 - Are Third Parties allowed (art. 14)? If so, is it necessary to ask for an amendment?

Article 14 is not applicable in RISE.

Q39 - The funds will be transferred to the coordinator in a single time at the beginning of the

project, or at different time periods?

Funds are transferred to the coordinator as a pre-financing within 20 days from the start date, at interim and final payments within 90 days of the approval of the reports.

Q40 - Can we use category B to pay travel fee for Third Country partners visiting

beneficiaries (major costs will be covered by themselves, i.e., living expenses)?

Yes, you can use category B - institutional costs to pay for travel fee for Third Country partners visiting beneficiaries.

Q41 - Can we use "institutional unit cost" to cover an administrative staff to a network wide

event (for supporting such event)?

Category B - institutional costs covers costs of R&I related activities of the action (category B1) such as purchasing of consumables, laboratory costs, participation to conferences, workshops, coordination and review meetings and networking activities.

Q42 - How do we distribute the pre -financing to a third country (in this case it is an eligible

for funding)? Can we directly transfer the funds to them?

Yes, you may transfer funds to third country partner and in line with the Consortium Agreement,

but please keep in mind that each beneficiary, as grant recipient, is responsible for the technical and financial implementation of the action.

Q43 - What is the breakdown of part B1 and Part B2 costs?

"Category B - institutional costs” breakdown is: 1,800 EUR Research, training and networking costs,

and 700 EUR Management and indirect costs.

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Topic 4 - Dissemination and communication of the project results

16 Questions

Q1 - Can a Biorxiv publication (before the manuscript is published on a journal non OA)

considered OA for RISE?

Publication of the final manuscript (after peer-review) in the disciplinary repository Biorxiv is compliant with Open Access rules. We would advise you also to use the new Open Research

Europe (ORE) platform.

Q2 - Do all manuscripts have to be published as open access?

Compliance with open access policy is only requested for peer-reviewed journals. A machine-readable electronic copy of the published version or the final manuscript (after peer review) must be made accessible on the date of publication or after an embargo period.

Q3 - About Data Management Plan: 1. Is there a template available? 2. How we ensure that

our data is findable? 3. What if RDM policy is different among partners?

See the Data Management Plan template available on Horizon 2020 Online Manual for the minimum requirements. Institutional Data Management Plans are accepted as long as they cover the H2020 requirements. The Project Officer will assess the first version and provide further

feedback.

For further guidance on how to ensure that your data is Findable, Accessible, Interoperable and

Reusable (FAIR principle) check the dedicated section of the Horizon 2020 Online Manual, including the provided templates. Or contact your Project Officer for clarifications.

Differences between data management policies at consortium level need to be agreed upon and included in the Consortium and/or Partnership Agreement.

Q4 - We need to display the EU emblem in acknowledgments. In most publication formats ,

usually only text is allowed in funding acknowledgments. Is this a problem?

If the EU emblem is not accepted by the publishers, it is sufficient to only include the text of the

acknowledgement. It is very important to follow the phrasing provided in the Grant Agreement.

Q5 - Are there any sustainability requirements from REA regarding the project website?

The project website should be publicly available and should be in line with the communication and dissemination plan from the Description of Action (objectives, KPIs, etc.). The acknowledgement of the EU funding is compulsory and will be checked by the Project Officers.

The website should also be available after project end.

Q6 - How are costs for online events covered, in part B1?

Costs for online activities can be eligible under Institutional Costs (category B costs). Depending on the objectives and work plan, they can be covered with category B1 Research, training and networking costs or category B2 Management and indirect costs. This needs to be

defined and agreed upon in the Consortium and/or Partnership Agreement.

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Q7 - Considering Open Access, an embargo period of 6 months is rather short and may not

apply to most of the publishers/journals; 12 months appears more realistic.

To comply with H2020 obligations, the embargo period should not exceed 6 months for science, technology, engineering and mathematics publications and 12 months for social sciences and humanities publications. In case of longer periods, you should negotiate a compliant embargo

period with the publisher (see available template for publishing agreement), to pay retrospective gold open access, or to check national legislation on copyrights. To find out what embargo periods many journals and publishers enforce, check the OpenDOAR database.

Q8 - Our start date is later in the year. If a paper is submitted after the evaluation results

known but before the project start. Can we acknowledge the project?

No, publications should be produced during the official lifetime of the project. Publications should be triggered by the project results and should therefore be reported only after the official start date of the project.

Q9 - When you plan to organise the event related to the European Beating Cancer Plan?

The Marie Skłodowska-Curie Actions Cancer Cluster will take place online on 18 and 19

March. The event will be webstreamed. Invitations will be distributed by the Project Officers.

Q10 - The video mentioned that "gold open access costs are eligible" – this is from the

category B funds, right? I.e. regulated by the Consortium Agreement?

Yes, gold open access costs are eligible under category B costs (e.g. Article Processing Charges). It is the consortium’s responsibility to agree what to include in the Consortium

Agreement.

Q11 - To have the open access clear. Elsevier journals allows to publish in a repository the

final accepted paper, but not their PDF paper. Is this open access?

Yes. Self-archiving of either the published (i.e. with publisher layout) or the final peer-reviewed manuscript (i.e. article as reviewed and accepted without the publisher layout) is compliant with

green open access. No specific electronic format is required, it should be machine readable.

Q12 - In case the pandemic still prevents to travel safely, is it allowed to organise an online

summer school?

Yes, given the extraordinary period triggered by the ongoing pandemic, we encourage consortia to organise online activities, including communication, dissemination and transfer of knowledge

events.

Q13 - Should the disclaimer excluding Agency responsibility be added to any dissemination

activity (publications, presentation)?Could you please provide a template?

Yes, please refer to Article 29.5 in your Grant Agreement. There is no provided template but rephrasing of the article should be sufficient.

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Q14 - About data in the ORDP. i.e obtained DNA sequences are usually deposited in

repository platforms. Have to load them in ORD platform or just indicate the link?

You should deposit the data in a freely accessible data repository. You can find examples of data repositories through sites like databib.org and www.re3data.org. Suitable repositories can be found on OpenDOAR. Check also ZENODO, the repository for research data created by CERN and the European Union Open Data Portal, a catalogue that gives access to open data

published by EU institutions and bodies.

Note that you will be requested to declare the repositories of the datasets in the Continuous

Reporting tool.

Q15 - As to the tab dissemination and communication in the continuous reporting, do we

have to take into account also STAFF costs in the calculations of dissemination costs?

Yes, you will be requested to declare the total funding amount used for dissemination and communication activities linked to the project (e.g. products, events and stakeholders reached).

This information will not be used for financial audit purposes.

Q16 - What kind of document must be signed by the investigators in order to grant them

legally access to the results of companies associated with us?

All matters related to management of Intellectual Property should be agreed upon and included in the Consortium/Partnership Agreement. European Commission offers free of charge

counselling on this topic through its European IP Helpdesk service.

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Topic 5 - Ethics in the RISE GA

6 Questions

Q1 - Is it mandatory to have an appointed DPO even if national laws say it is not?

EU participants

It depends on the nature of the institution. The General Data Protection Regulation imposes an obligation on public institutions in the EU to appoint a Data Protection Officer (DPO).

Non-EU participants

No, it is not obligatory to appoint a Data Protection Officer if the national laws do not require it.

However, as indicated in the Ethics and data protection guidance “If your project raises complex data protection issues due to the sensitivity of the data, or the scale or nature of the processing involved, you should consider appointing a data protection specialist/adviser to your project or research ethics board. If your host institution does not have a DPO, you should seek the advice of a

suitably qualified expert in the preparation of your proposal and/or appoint such an expert to your project if necessary.”

For more information on data protection, please refer to the:

- Article 39 of the Grant Agreement;

- REGULATION (EU) 2016/679 OF THE EUROPEAN PARLIAMENT AND OF THE

COUNCIL (of 27 April 2016);

- Ethics and data protection guidance; and

- Applicable national laws.

Q2 - To elucidate if a project falls within ABS-Regulation what does "Genetic Resource or

traditional knowledge associated" exactly mean? Could REA provide examples?

For a definition of "genetic resources or traditional knowledge" within the meaning of the EU ABS regulation, please refer to the ABS scope guidance document.

Q3 - Ethics supporting documents should mention specifically the Grant Agreement

number & acronym? For official documents (e.g. project licenses, ethical approvals)

may not be possible.

Yes, in principle, all project documents and in particular, Ethics supporting documents like “Ethics Approvals” must make a clear reference to a specific project. In case of an audit, the consortium

will have to be able to demonstrate that an approval was granted for activities within a specific project/Grant Agreement.

Q4 - When do we know if the project will be submitted to an ethics check by the REA?

What is ethics check and when does it takes place?

Ethics check is an additional review that takes place during the project implementation. During this check, ethics experts will verify the compliance with previous recommendations and if needed, will produce a report requesting additional clarifications and/or new requirements for the project.

Who triggers/decides about the ethics check?

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During the Ethics Screening or the Ethics Assessment, the experts identify the projects that need an Ethics Check, which are executed during the course of the research project. The procedure can also be initiated by the Commission services.

How/when will be the consortium informed?

Project Officer will inform the coordinator about the check, usually 2 months in advance and he/she will ask:

- If the due ethics deliverables/documents are ready, and if yes,

- He/she will ask the coordinator to submit them to REA.

Q5 - Do you have a template for "Data protection policy" and "POPD"?

No. Data protection policy is an internal document of an institution. REA does not provide templates for policy documents. As a recommendation, in order to make sure that the policy covers

all the important aspects of data protection, please refer directly to the:

- REGULATION (EU) 2016/679 OF THE EUROPEAN PARLIAMENT AND OF THE

COUNCIL (of 27 April 2016);

- Ethics and data protection guidance; and

- Applicable national laws.

Q6 - Do we need to make continuous reporting on ethics during the project?

Yes. Project with ‘Conditional ethics clearance’ and with formulated ‘Post-Grant Agreement signature requirements’ must submit the ethics deliverables via the Continuous Reporting Module.

In addition, in the light of Art.34 of the Grant Agreement, ethics is applicable to all the grants, not only projects with formulated ethics requirements/deliverables.

- All project must comply with ethics principles and research integrity. In this respect, all

projects are expected to follow the European Code of Conduct for Research Integrity.

Researchers must avoid fabrication, falsification, plagiarism or other research misconduct.

- Even if no specific ethics issues had been identified by the ethics experts during the proposal

review, and no ethics requirements were formulated, please note that you still have to

respect certain institutional, national and EU laws, even when you are not expected to report

on this to REA. An example may be organising a conference within your project, when the

organiser may in fact be collecting personal data of the participants. In this regard, the

organiser will have to respect the national laws and institutional regulations/procedures on

data protection.

- In case of projects with formulated ethics requirements and ethics Work Package/

deliverables, please note that managing your ethics through the deliverables submission may

not be sufficient. Ethics is a horizontal task and must be managed continuously (i.e.: a

change in the project, adding a new beneficiary or delay in the research requiring ethics

approvals may actually need an update of the already obtained ethics approval).