Commission's proposal for HORIZON 2020 Rules for Participation
HORIZON 2020 - EWEA€¦ · Intellectual Property Rights ... Provisions in Horizon 2020 Regulation!...
Transcript of HORIZON 2020 - EWEA€¦ · Intellectual Property Rights ... Provisions in Horizon 2020 Regulation!...
HORIZON 2020 HORIZON 2020
Procedures, applications, financial rules in H2020
Matthijs SOEDE Research Programme Officer Unit K3 New and Renewable Energy Sources DG Research and Innovation
Major Simplification for the benefit of applicants
1. A single set of rules for all funding under Horizon 2020
Fewer, more flexible, funding instruments
2. Simpler reimbursement: 1 project = 1 funding rate
100% of the total eligible costs (70% for innovation actions)
Non-profit legal entities can also receive 100% in innovation actions
Single flat rate for indirect costs (25% of eligible costs)
3. Faster time to grant
Within 8 months of call deadline
Major Simplification for the benefit of applicants
4. Fewer, better targeted controls and audits
5. Coherent implementation
Through dedicated agencies
Single IT system
6. Simplification in grant agreements
Keeping flexibility where needed.
•A single set of rules
etc.
EU Financial Regulation
Specific rules for participation
Covering all H2020 research and innovation actions
EU Financial Regulation
Specific rules for participation
•Innovation,
•Simplification
•and Coherence
•Rules for participation: Three main objectives
RfP
Horizon
2020
Coherence Simplification
Innovation
•Conditions for Participation
Minimum conditions Standard collaborative actions
At least three legal entities each established in a different Member State or an Associated Country;
ERC, SME instrument, programme co-fund, coordination and support, training and mobility actions:
One legal entity established in a Member State or in an Associated Country.
Additional Conditions
In the work programme or work plan.
WE KEEP
Use of Grant Agreements
Actual costs
•Forms of funding - I
What is Specific provisions targeting innovation:
• pre-commercial procurement,
• procurement of innovative solutions
• and inducement prizes.
Forms of funding - II
NEW
Financial instruments:
• a debt financial instrument,
• a financial instrument providing equity finance for R&I, etc.
Possibility of output-based grants (lump-sums per project).
Enhanced use of other lump-sums, flat rates and unit costs.
One project = One rate For all beneficiaries and all
activities in the grant.
Defined in the Work Programme:
‒ Up to 100 % of the eligible costs;
‒ but limited to a maximum of 70 %
for innovation projects (exception for
non-profit organisations - maximum
of 100%).
(*) 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)
Maximum
reimbursement rates
Research and
technological
development
activities (*)
Demonstration activities
Other
activities
Network of
excellence 50%
75% (**) 100%
Collaborative
project(****) 50%
75% (**) 50% 100%
Coordination
and support
action
100% (***)
A single funding rate
FP7
Personnel costs
Wider acceptance of average personnel costs
Acceptance of supplementary payments
for non-profit organisations of up to 8000 euros/year/person
Simplifying participation for SMEs
Less requirements for time records
…and more in the Horizon 2020 Grant Agreement
Cost reimbursement
Single indirect cost model
20% ? 60% ?
Real ?
Simplified?
Single model: 25 % Flat Rate
FP7
An example
New funding model: what impact on the EU contribution?
Direct costs
Indirect costs
Total costs
% EU contribution
EU contribution
Flat-rate (60%) 100 60 160 75% € 120
Actual Cost (90%) 100 80 180 75% € 135
Direct costs
Indirect costs
Total costs
% EU contribution
EU contribution
100/25 Funding 100 25 125 100% € 125
FP7 Majority of HES & RTOs
SELECTION CRITERIA
a)Financial capacity – In line with the Financial Regulation and the Rules for Participation. At the proposal stage, coordinators will be invited to complete a self-assessment using an on-line tool.
a)Operational capacity – As a distinct operation, carried out during the evaluation of the award criterion ‘Quality and efficiency of the implementation’, experts will indicate whether the participants meet the selection criterion related to operational capacity, to carry out the proposed work, based on the competence and experience of the individual participant(s).
Evaluation - I
Evaluation - II
Proposal evaluated by the experts “as it is”
and not as “what could be” = no need for negotiation
Innovation actions higher weighting for "IMPACT"
STANDARD AWARD CRITERIA
QUALITY & EFFICIENCY
OF THE ACTION IMPACT EXCELLENCE
ERC frontier Research actions only EXCELLENCE
AWARD CRITERIA
PROPOSAL SCORING (half point scores may be given)
0 Proposal fails to address the criterion or cannot be assessed due to missing or incomplete information
1 Poor. The criterion is inadequately addressed, or there are serious inherent weaknesses
2 Fair. Proposal broadly addresses the criterion, but there are significant weaknesses
3 Good. Proposal addresses the criterion well, but a number of shortcomings are present
4 Very Good. Proposal addresses the criterion very well, but a small number of shortcomings are present
5 Excellent. Proposal sucefully addresses all relevant aspects of the criterion. Any shortcomings are minor.
Evaluation - III
Part B Excellence
1.1 Objectives
1.2 Relation to the workprogramme
1.3 Concept and approach
1.4 Ambition
Impact
2.1 Expected impacts
2.2 Measures to maximize impact
a) Dissemination and exploitation of results
b) Communication activies
Implementation
3.1 Project Plan
3.2 Management Structure and procedures
3.3 Consortium as a whole
3.4 Resources to be committed
•Time to grant: speeding up the process - I
A maximum TTG of 8 months
5 months for informing all applicants
on scientific evaluation
3 months
for signature of GA
Some exceptions apply
Time to grant: speeding up the process - II
How to speed up the process No more negotiations:
each proposal evaluated 'as it is',
not as 'what could be';
Legal entity validated in parallel.
No more paper: e-communication & e-signature of grants.
Horizon 2020 model Grant Agreement Objectives
Simplification
• Provisions
• Wording
Flexibility
• To accommodate
particularities
• Usual cost accounting practices
Coherence
• Within H2020 and with other EU programmes
Continuity
• Where possible and adequate
Horizon 2020 model Grant Agreement A single document with all provisions
FP7
Core text
Special clauses
General
conditions Annex II
Specific provisions Annexes III
Simpler access
• Participant Portal: Single entry point from calls to electronic submission of proposals
• New tools for smart searches for the benefit of users, including newcomers to the programme.
What is Additional exploitation
/dissemination obligations
(in the work programme)
Open access:
• obligatory for scientific publications and,
• to research data (in appropriate areas and when foreseen in the work programme)
Access rights:
• for the Union, all parts of the programme
• for MS under 'Secure societies',
Specific provision:
• for pre-commercial public procurement and
• for procurement of innovative solutions
Intellectual Property Rights
NEW
Controls and Audits
Financial viability
Restricted to coordinators for projects ≥ €500 k€
Audit certificates
Only for final payments/per beneficiary /for actual costs ≥ €325 000 €
Optional Certificates on average personnel costs
Ex-post audits
Provisions in Horizon 2020 Regulation!
Commission's audits up to two years after payment of the balance
Audit strategy focused on risk and fraud prevention
Extrapolation New Financial Regulation will apply
Continuity with FP7
Guarantee Fund
For official information:
• Participant Portal http://ec.europa.eu/research/participants/portal/desktop/en/home.html
• Helpdesk http://ec.europa.eu/research/enquiries
• Learn more about Horizon 2020 http://ec.europa.eu/horizon2020
HORIZON 2020
Thank you very much for your attention!
Find out more: www.ec.europa/research/horizon2020