Call-16 Validation of Participants

Validation of Participants
Clean Sky 2014
Negotiation Kick-off Info Day
Pamela Gorini
Henk Van Belle
REA - Unit C3
Participant Validation and Support
19th June 2014
Summary
Part 1
How to obtain a PIC
Part 2
The validation process and
LEAR nomination
Part 3
Update of organisation data
Part 4
Financial viability check
Glossary
PP
PIC
Participant Portal
Participant
Identification Code
LEAR Legal Entity
Appointed
Representative
VS
Validation Services
Part 1
How to obtain a PIC
What does the Participant Portal
offer?
Amongst other features, the PP hosts the
beneficiaries' registration module, from where the
validation process starts:
 Data submission & documents upload over a web
interface
 Generation of the Participant Identification Code
 Nomination of the Legal Entity Appointed
Representative
How to register your organisation?
 Mandatory elements: legal name, address, contact
and LEAR
 Programme-related information: different statuses
(including SME) are to be declared in order to
participate
 Financial Viability Check information to be filled out
only when requested by the Validation Services
Once the registration
completed:
 After data submitted, you will
receive an e-mail with the
summary of your selfregistration, and a temporary
Participant Identification Code
(PIC) will be provided to the
applicant.
 Applicants will be able to
introduce corrections or
updates to the data
 The system supports
documents upload up to 8 Mb.
Part 2
The validation
process and LEAR
nomination
The validation process
 The validation of a participant is unique and valid
throughout the entire FP7 programme.
 Entities validated under FP7 will keep their valid
status and attributed PIC for H2020 participation.
 During the validation of a legal entity, the
validation services verify the (i) legal existence
and (ii) the status of an applicant against FP7
Rules for Participation (iii) the ICM (if applicable).
Documents for validation
For FEL validation
 Legal entities form (signed and dated version, 3
templates: private, public, natural person)
 VAT document or proof of exemption
 Registration extract (private entities) or
law/decree (public entities)
 LEAR nomination documents (blue ink)
Documents for validation
For FP7 status

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Non-profit status
Research (non-profit) status
Higher education
International Treaty (international organisation)
The validation process
For SME status
 SME CHECK LIST: Duly signed and bearing the
name of the legal representative (provided by the
REA)
 BALANCE SHEET: Clear mention of company’s total
assets and liabilities (ANNUAL BALANCE SHEET
THRESHOLD)
The validation process
For SME status
PROFIT & LOSS ACCOUNT: Clear mention of
company’s
turnover
(ANNUAL
TURNOVER
THRESHOLD) and the kind of income the company
generates (it helps us understand if it is involved in a
commercial/economic activity).
The validation process
For SME status
STATEMENT OF THE STAFF HEADCOUNT: In case
there is no mention on any of the Balance Sheet, the
Profit & Loss account or accompanying notes
NB. According to Art.339 of the Lisbon Treaty « EC Staff is not allowed to
disclose any information about undertakings, their business relations or their
cost components. » Protection of data is also mentioned in the Code of Good
Administrative Behaviour and FP7 rules for participation.
SME - THE THRESHOLDS
COMMISSION RECOMMENDATION OF 6 MAY 2003
(concerning the definition of micro, small and medium enterprises)
- STAFF HEADCOUNT (ARTICLE 5)
- ANNUAL TURNOVER (ARTICLE 4)
- ANNUAL BALANCE SHEET (ARTICLE 4)
ENTERPRISE
CATEGORY
STAFF
HEADCOUNT
ANNUAL TURNOVER
OR
ANNUAL BALANCE
SHEET TOTAL
•Medium-sized
•< 250
•≤ EUR 50 million
AND/OR
•≤ EUR 43 million
•Small
•< 50
•≤ EUR 10 million
AND/OR
•≤ EUR 10 million
•Micro
•< 10
•≤ EUR 2 million
AND/OR
•≤ EUR 2 million
SME - AUTONOMOUS, PARTNER OR LINKED?
COMMISSION RECOMMENDATION OF 6 MAY 2003
AUTONOMOUS
PARTNER
LINKED
(Article 3.1)
(Article 3.2)
(Art.3.3)
-Totally independent
-Holds less than 25% (capital or
voting rights) in another and/or
-Another holds less than 25%
- Holds between 25% and 50%
(capital or voting rights) in another
and/or
-Another holds between 25% and
50%
- Not linked to another enterprise
-Direct or indirect control of
the majority of voting
rights/Capital
EXCEPTIONS (Art.3.2 (a-d)):
•Venture Capital Companies, Universities, Institutional Investors and Autonomous local
authorities are permitted to hold a stake between 25% and 50% without affecting
company’s autonomous status.
•An enterprise is NOT an SME if 25% or more of capital or voting rights are directly or
indirectly controlled, jointly or individually, by one or more public bodies.
Uploading documents
Uploading documents
Uploading documents
Providing documents upon request of VS
S
Go to 'documents tab'
Select the 'requested' field
Browse option will appear
Upload the relevant proof
Click on 'submit for processing'
The LEAR nomination
 LEAR nomination mandatory
 Nominated FP7 LEARs will have to renew mandate
for H2020 upon invitation by the VS or as soon as
H2020 is launched (to allow e-signatory for GAs
and financial statements)
 Required documents (blue ink): LEAR
appointment letter, roles and tasks (mandate), ID,
proof of empowerment for legal representation
Part 3
Update of
organisation data
Request for update
Update data
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Go to participant portal=> my organisations
Select the programme
Encode the request
Click on 'update your data'
For legal or programme-related data, the VS might
contact LEARs to provide legal/financial
documentation
Part 4
Financial viability
check
Legal basis
EC-Decision 2012/838/EU – 18/12/2012
Three categories of participants are subject to
Financial Viability Check:
Coordinators: (if not public bodies, international organisations or
guaranteed).
Beneficiaries: requesting more than €500.000 EU contribution (if
not public bodies, international organisations or guaranteed).
Others: exceptionally, if the operational unit requires it.
Required documents:
The non-consolidated 2012 statements (or 2011, should 2012 not
yet be available):
1. The balance sheet;
2. The income statement;
3. The notes being part of the statements;
4a. If the requested EU-contribution is less than € K500: the
signed statutory audit report (If exempted from auditing under
your national legislation, the statements have to be signed for
approval by the board of directors).
4b. If the requested EU-contribution exceeds € K500: the signed
external auditors report, which has to include the clear
mandate to audit, the responsibilities of both the management
and the auditor, the way of conducting the audit, including the
reasonable assurance about whether the financial statements are
free of material misstatement, and the auditor's opinion.
The exemption from auditing under national legislation is not applicable if
the requested EU-contribution exceeds the threshold of € K500.
Start-ups have to provide a signed business plan with the forecasted
financial data (Balance sheet and Income statement) for the 3 coming
years .
• Roles in the FVC-procedure
• FVC-request initiated by NEF
The FVC-team contacts the participant by email.
• Data submission
The participant, directly in the participant portal:
- encodes its data, and
- uploads the supporting documents
If no LEAR has been appointed yet (or if problems with the procedure in the portal), the documents
are sent by email to [email protected] .
• Data validation
The FVC-team:
- checks the data, and
- performs its assessment in PDM (IT-tool for legal and financial validation).
The ratios and qualifications are available in NEF and in the participant portal.
• Project related assessment
Clean Sky assesses the results.
The final decision is with the Authorizing officer (AOSD)
How can a Coordinator check the FVC-status of the participants?
In NEF
Thank you for your
attention!

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