Transcript What's new in the Rules for Participation for H2020

H2020 Forms of funding,
types of actions and
general rules
Ioannis Malekos
DG CONNECT
European Commission
[email protected]
Nicosia, 2nd December 2013
Disclaimer : H2020 Regulations are not yet adopted by the legislator. Any
information contained in this presentation is legally not binding
Single set of rules
• Covering all research and innovation
programmes, initiatives and funding bodies (eg
what was FP7, CIP, ERA-NET,… but also EIT,…), but
flexible to accommodate specificities where
needed
• Coherent with the rules contained in the
Financial Regulation (FR)
Disclaimer : legally not binding
Forms of funding
• Grants
• Direct financial contribution by way of donation in order to
finance an action
• Prizes
• Financial contribution given as reward following a contest
• Procurement
• Supply of assets, execution of works or provision of
services against payment
• Financial instruments
• Equity or quasi-equity investments; loans; guarantees;
other risk-sharing instruments
Disclaimer : legally not binding
GRANTS
Disclaimer : legally not
binding
Types of actions supported by grants
•
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Research and innovation actions
Innovation actions
Coordination and support actions
SME instrument
Programme Co-fund
• ERANET Co-fund
• Pre-commercial procurement Co-fund
• Public procurement of innovative solutions Co-fund
Disclaimer : legally not binding
Research and innovation actions
• Actions primarily consisting of activities aiming to
establish new knowledge and/or to explore the
feasibility of a new or improved technology,
product, process, service or solution.
• For this purpose they may include basic and
applied research, technology development and
integration, testing and validation on a smallscale prototype in a laboratory or simulated
environment.
Disclaimer : legally not binding
Innovation actions
• Actions primarily consisting of activities directly
aiming at producing plans and arrangements or
designs for new, altered or improved products,
processes or services.
• For this purpose they may include prototyping,
testing, demonstrating, piloting, large-scale
product validation and market replication.
Disclaimer : legally not binding
Coordination and support actions
Actions consisting primarily of accompanying
measures such as standardisation, dissemination,
awareness-raising and communication, networking,
coordination or support services, policy dialogues
and mutual learning exercises and studies,
including design studies for new infrastructure and
may also include complementary activities of
networking and coordination between programmes
in different countries.
Disclaimer : legally not binding
R+I, Innovation, CSA: example
H2020, WP 2014-15,
Leadership in enabling and industial technologies (LEIT)
ICT19 -2015 : Technologies for creative industries, social
media and convergence
• ICT19.a : R+I, 18MEur: Research in new technologies and tools to
support creative industries in the creative process from idea
conception to production (…)
• ICT19.b: Innovation, 21MEur: Demonstration of the viability of new
technologies and validation of innovative solutions through large
scale demonstrations, pilots or testing of use cases (…)
• ICT19.c: CSA, 2MEur: support program activities, dissemination of
results, events organisation, (…)
• Deadline for all actions: 21/4/2015
Disclaimer : legally not binding
SME Instrument
For single SMEs or SME consortia
• Phase 1: Feasibility study verifying the technological/practical as
well as economic viability of an innovation idea
• Phase 2: Innovation projects that demonstrate high potential in
terms of company competitiveness and growth underpinned by a
strategic business plan.
• Phase 2 proposals should be based on a strategic business plan
either developed through phase 1 or another means
Disclaimer : legally not binding
SME Instrument : example
H2020, WP 2014-15,
Leadership in enabling and industial technologies (LEIT)
ICT37 : Open Disruptive Innovation scheme (implemented
through the SME instrument)
• 45MEur per year, 10% phase 1, 88% phase 2, 2% coaching
• Opens 1/3/14 with multiple cut-off dates per phase, per year
• Phase 2 proposals should be based on a strategic business plan
either developed through phase 1 or another means
• Open subject: “Proposed projects should have a potential for
disruptive innovation and fats market up-take in ICT”
Disclaimer : legally not binding
ERANET Cofund
ERA-NET Cofund actions support public-public
partnerships in their preparation, establishment of
networking structures, design, implementation and
coordination of joint activities as well as Union
topping-up of a trans-national call for proposals.
Disclaimer : legally not binding
Pre-Commercial Procurement (PCP)
Cofund
•
PCP Cofund actions support the preparation, single joint
procurement and implementation of contracts for research and
development services and related additional coordination
activities.
• 'Pre-commercial procurement’ means procurement of
research and development services involving risk-benefit
sharing under market conditions and competitive
development in phases, where there is a separation of the
research and development phase from the deployment of
commercial volumes of end-products
Disclaimer : legally not binding
Public Procurement of Innovative
Solutions (PPI) Cofund
• PPI Cofund actions support the preparation,
single joint procurement and implementation of
contracts for innovative solutions and related
additional coordination activities.
• 'Public procurement of innovative solutions’
means procurement where contracting authorities
act as a launch customer for innovative goods or
services which are not yet available on a largescale commercial basis.
Disclaimer : legally not binding
PCP/PPI : example
H2020, WP 2014-15,
Leadership in enabling and industial technologies (LEIT)
ICT8 : Boosting public sector productivity and innovation
through cloud computing services
• ICT8.a : PCP, 9MEur: PCP for public sector cloud computing services.
Proposals will define common requirements and terms of reference
for future procurement of cloud computing services(…)
• ICT8.b: PPI, 13MEur: Public procurement for innovative cloud
computing solutions. Proposals will focus on organizing joint
procurement of innovative cloud services by public authorities to
better and more efficiently run their services, serve their
communities, their citizens and local businesses(…)
• Deadline for all actions: 21/4/2015
Disclaimer : legally not binding
Conditions for participation
• Minimum conditions
• For standard collaborative actions
• At least, 3 legal entities, each established in different MS/AC
• For SME Instrument, programme co-fund, CSA
• 1 legal entity established in a MS/AC
• For Fast Track to Innovation
• Max. 5 participants
• Additional conditions
• To be set out in the Work Programme (i.e. number of
participants, type of participants, etc.)
Disclaimer : legally not binding
Eligibility for funding
• Entities established in MS or associated countries
or third country identified in the WP
• Entities created under Union law
• International European interest organisation
• Other entities may receive funding if :
• participation is essential or
• such funding foreseen in bilateral arrangement
between the Union and third country/international
organisation
Disclaimer : legally not binding
Call for proposals
• Call for proposals shall be issued in accordance with
the Financial Regulation and Rules of Application
• Exceptions to call for proposals :
For CSAs and programme co fund actions to be carried out by
entities identified in the work programme
• Rules regarding joint calls with third countries or
international organisations
Disclaimer : legally not binding
Evaluation of proposals
• Award criteria
• Excellence
•
Sole criterion for ERC frontier research actions
• Impact
• Higher weighting for innovation actions
• Quality and efficiency in the implementation
• Details, Weightings and thresholds to be laid down in WP
• Evaluation to be carried out by independent
expert
• Possibility of a 2 stage submission procedure
Disclaimer : legally not binding
Scoring/weights/thresholds
• Same: As in FP7 each criterion scored out of 5;
individual threshold of 3; overall threshold of 10
• New: Unlike FP7, for Innovation Actions and SME
instrument…
• impact criterion weighted by factor of 1.5
• Impact considered first when scores equal
Disclaimer : legally not binding
Selection criteria
• Operational capacity (no specific provisions)
•
Operational capacity means that the applicants must have the professional
competencies and qualifications required to complete the proposed action or work
programme: it may be assessed on the basis of specific qualifications, professional
experience and references in the field concerned.
• Financial capacity
• Only coordinator of actions equal or superior 500 kEUR,
except specific cases
• No verification for public bodies , entities guaranteed by
MS or AC and higher and secondary education
establishments
Process to grant and signature of GA
• Time to Grant
• From 9 (FR) to 8 months (Exceptions: ERC, complex
actions, requested by applicants)
• 5 months for informing applicants on outcome of scientific
evaluation
• 3 months for signature of GA = grant finalisation process
• Remarks :
• no changes of the composition of the consortium (removal or
substitution needs to be duly justified) before signature of the
grant agreement
Disclaimer : legally not binding
Implementation of the action
• Need to have the appropriate ressources
• Third parties may be called upon :
• Third parties carrying out work
• Subcontractors
• Third parties making resources available
• May involve PCP/PPI, but this cannot be the main
aim of the grant
Disclaimer : legally not binding
Consortium
• Coordinator = principal point of contact with
EU
• Consortium agreement
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compulsary (exception : see WP)
Rights and obligations
Internal organisation
Distribution of EU funding
IPR provisions
Internal disputes
Liability, confidentiality, indemnification
Disclaimer : legally not binding
Simplified Funding Model
• 1 reimbursement rate by action
beneficiaries and all activities):
(same rate for all
• Up to 100% for Research and Innovation actions (+CSA)
• Up to 70% for innovation (non-profit entities up to 100%)
and programme co-fund actions.
• WP to specify the reimbursement rate (e.g 33% for ERA NET
Cofund)
• 1 method for calculation of indirect costs:
• Flat rate of 25% of total direct costs, excluding subcontracting,
costs of third parties and financial support to third parties
• Funding of the action not exceed total eligible
costs minus receipts
Disclaimer : legally not binding
Maximum
reimbursemen
t rates
Research and
technological
development
activities (*)
Network of
excellence
50%
75% (**)
Collaborative
project(****)
50%
75% (**)
Coordination
and support
action
Demonstration
activities
Other
activities
100%
50%
100%
100% (***)
One project = One
rate

Same rate for all beneficiaries and all
activities in the grant.

The applicable rate will be defined in
the Work Programme:
 Up to 100 % of the eligible costs;
(*) Research and technological development includes scientific coordination.
(**) For beneficiaries that are non-profit public bodies, secondary and higher
education establishments, research organisations and SMEs
(***) The reimbursement of indirect eligible costs, in the case of coordination
and support actions, may reach a maximum 7% of the direct eligible costs,
excluding the direct eligible costs for subcontracting and the costs of resources
made available by third parties which are not used on the premises of the
beneficiary.
(****) Including research for the benefit of specific groups (in particular SMEs)
 but limited to a maximum of 70 % for
innovation projects (exception for
non-profit organisations - maximum
of 100%).
Disclaimer : legally not binding
Unique method: 25 % flat-rate
Aiming at simplifying project management and reducing recurrent errors. Combined with
practical guidance for large research infrastructures on how costs can be accepted as direct
costs.
60% ?
20% ?
Single model:
25 % Flat Rate
Real ?
Simplified?
Disclaimer : legally not binding
New funding model: what impact on the EU contribution?
Example: In FP7, around 90 % of the Universities and more than a half of the
Research Organisations apply the 60 % flat-rate for indirect costs. For all these
participants the impact on the EU contribution of the H2020 funding model will
be favourable:
Flat-rate (60 %)
100 / 25 Funding
Direct
costs
Indirect
costs
Total
costs
100
60
160
Direct
costs
Indirect
costs
Total
costs
100
25
125
Disclaimer : legally not
binding
% EU
EU
contribution contribution
75%
€ 120
% EU
EU
contribution contribution
100%
€ 125
Eligible costs
• General reference to eligiblity criteria laid down in
the FR/RAP.
• Specific provision regarding personnel costs,
subcontracting and costs of third parties.
• Cost categories mentioned in the GA.
Disclaimer : legally not binding
Personnel costs (1)
• Salaries + social security charges + other
costs included in the remuneration arising from
national law/employment contract
• Additional remuneration up to 8000 EUR (per
year) for non-profit legal entities
• Actual worked hours
• Evidence : normally through time recording system except
for staff working full time on EU action
Disclaimer : legally not binding
Personnel costs (2)
• Actual costs
• Unit costs for
• average personnel costs
Calculation based on the total actual personnel costs recorded in the participant's
accounts
Provisions on productive hours
• SME owner and natural person with no salary
Disclaimer : legally not binding
Subcontracting
• Subcontracts' costs may be eligible if
• foreseen in Annex 1 of the grant agreement
• Not foreseen in Annex 1 only "in duly justified
cases that could not be clearly foreseen at the
time of its entry into force"
• WP may impose further requirements for
subcontracting
Disclaimer : legally not binding
Costs of third parties
• Carrying out work, costs may be eligible if
Third party eligible for funding
Affiliated or legal link with a beneficiary
Identified in the GA
Abides by the rules (inter alia on costs eligiblity and
control) applicable to the beneficary
• Accepts – if requested by EU - Joint and several liability
with the participant
•
•
•
•
• Making resources available, costs may be eligible
if conditions of the GA are met,
Disclaimer : legally not binding
Controls and audits
• Audit certificates
• Only for final payments when total EU contribution claimed
on the basis of actual costs +average personel costs ≥
325,000 EUR
• Certificates on the methodology
• Optional certificates on average personnel costs
• Ex-post audits
• Audits limited to 2 years after payment of the balance
Disclaimer : legally not binding
Guarantee Fund
• Continuity of the system applied in FP7 :
H2020 GF replaces and succeedes to the FP7 GF
• Considered as sufficient guarantee under the
FR
• No additional guarantee or security may be
accepted from participants or imposed on
them
• 5% contribution of the EU funding retained from
the initial prefinancing
• 5% contribution returned to participants at the
end of the action
Disclaimer : legally not binding
Intellectual Property Rights (IPR)–in
a nutshell - Results
• Ownership
• Beneficiary generating the results
• Joint-ownership in specific circumstances
• Protection
• If results capable of commercial/industrial exploitation
• If no protected, EU may assume ownership
• Exploitation
• Best efforts obligation; WP may foresee additional obligations
• Transfer and exclusive licences to a third country
• EC may object (competitiveness, ethical principles, security)
• Dissemination
• Open access to scientific publications and under certain
Disclaimer
conditions to research
data: legally not binding
IPR in a nutshell– Access Rights
•
•
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For implementation
• To background / results (royalty free) if needed
For exploitation
• To background / results (under fair and reasonable conditions)
if needed to exploit own results
• Also applicable to affiliates established in MS/AC
For EU/MS
• Non-commercial use and policy related purpose (under
"Secure societies")
• On a royalty-free basis
For third parties
• Specific provisions for complementary beneficiaries, access to
research infrastructures, interoperability
Disclaimer : legally not binding
PRIZES
Prizes
• Prizes may be used to
• Recognise past achievements (“recognition prizes”), or
• Induce future activities, (“inducement prizes”)
• Prizes must comply with the principle of equal
treatment and transparency on the basis of
procedures comparable to the ones applying to
grants, with 2 exceptions:
• Prizes may never be awarded without a contest
• Prizes may not be fully outsourced to external
contractors
Disclaimer : legally not binding
Prizes – Examples
H2020, WP 2014-15,
Leadership in enabling and industial technologies (LEIT)
Other actions : Inducement prizes
• "Breaking the optical transmission barriers in the core
network": exceeding 1Tb/s per channel on optical networks
• "Collaborative sharing of specrtum": demonstrating
methods providing empowerment of local user communities
with decentralised spectrum management capabilities
•
•
•
•
Publication : expected Q3/2014
Opening : expected Q4/2014
Deadline : Exepcted Q4/2015
Budget : 500KEur per prize
Disclaimer : legally not binding
EXPERTS
Independent experts
Evaluate, advise, assist on
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Evaluation of proposals
Monitoring of actions
Implementation of H2020
Implementation and design of R&I policy including
preparation of future programmes.
• Evaluation of R&I Programmes
Disclaimer : legally not binding
Independent experts (2)
• Skills, experience and knowledge
• Identification and selection on the basis of calls
for applications
• Balanced composition
• Conflict of interest
• Names published 1/year on website
Disclaimer : legally not binding
Questions?
For more visit:
ec.europa.eu/research/horizon2020
Disclaimer : legally not binding