Certain calls for proposals require the submission of Ownership Control Declarations as mandatory annex to the application.
Published on | 4 months ago
Last updated on | 1 month ago
marie.timmermann@fwo.be
Participation in certain calls for proposals under Horizon Europe, Digital Europe and the European Defence Fund can be restricted to legal entities established in and/or controlled by Member States (or in specified eligible third countries). These restrictions apply for duly justified security reasons, where they are necessary to protect essential security and/or defence interests of the Union and/or its Member States or to maintain public order and public security.
The assessment of the foreign control is part of the eligibility criteria. For this, participants will be requested to fill in a self-assessment questionnaire, the Ownership Control Declaration, to determine their control status during proposal submission. They will also be requested to submit supporting documents for the Commission to determine that the entities are not controlled from a third country. The templates can be found as reference documents of each programme, under templates and forms - applications forms, on the Funding and Tenders Portal.
‘Control’ is defined as the possibility to exercise decisive influence on the participant, directly or indirectly, through one or more intermediate entities, irrespective of whether such influence is theoretically allowed by law (‘de jure’) or whether it refers to practices that exist in reality (‘de facto’). The fact that no influence is actually exercised is not relevant, as long as the possibility exists.
Control will be assessed at the level of the ultimate ownership and control line and all intermediate layers (in case of indirect control), taking into account
If requested by the call topic, the Ownership Control Declaration needs to be submitted by all participants (beneficiaries, affiliated entities, associated partners and pre-identified subcontractors).
Entities that are validated as public bodies by the Central Validation Service are exempted since they will automatically be considered as controlled by their country.
Supporting documents do not have to be provided at application stage, but will be requested later in the process.
If a proposal has passed the evaluation and is considered for funding, the Central Validation Service will contact the participants and request them to submit supporting documents proving that their entities are not controlled from a third country. Also read page 30 of this document for more details.
If the outcome of the ownership control assessment is ’controlled’, the consortium will be asked to replace the participant concerned (or redistribute the tasks between the other participants). If this is not possible and the consortium cannot propose any other acceptable solution, the proposal will have to be rejected.
Horizon Europe
Under Horizon Europe, Ownership Control Declarations can be required for actions related to EU strategic assets, interests, autonomy or security (Article 22(5) of Horizon Europe Regulation (EU) 2021/695 (page 30,31)). Which actions are concerned will be indicated in the respective work programmes.
Digital Europe
Under Digital Europe, ownership control rules apply to actions under specific objectives 1 (High Performance Computing), 2 (Artificial Intelligence) and 3 (Cybersecurity and Trust) (Article 12(5)-(6) and 18(4) Digital Europe Regulation 2021/694 (pages 18 and 21)).
European Defence Fund
Ownership control rules apply to all actions under the European Defence Fund (EDF) (Article 9 EDF Regulation 2021/697) (pages 149ff.), restricting participation to all actions to participants that are not subject to direct or indirect control by non-eligible countries/entities/nationals.
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