Horizon 2020 vs FP7Part-1

Carlo Polidori

Agenda • What is Horizon 2020?

• Brief recall on FP7

• The 3 Pillars of Horizon 2020 compared with FP7

• The real novelty: enabling industrial leadership

• How to become an evaluator

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What is Horizon 2020? • A research and innovation funding programme of

EUR 70.2 billion (2014-2020, in constant 2011 prises)

• A core part of Europe 2020, Innovation Union & European Research Area

• Responding to the economic crisis to invest in future jobs and growth

• Addressing people’s concerns about their livelihoods, safety and environment

• Strengthening the EU’s global position in research, innovation and technology

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ERA-Wide projects, specific for neighboring countries

Europe 2020 Priorities

Tackling Societal Challenges- Health, demographic change and wellbeing- Food sec., sust. agri., mar. res. & bioeconomy- Secure, clean and efficient energy- Smart, green and integrated transport- Supply of raw materials, resource efficiency

and climate action- Inclusive, innovative and secure societies

Creating Industrial Leadership and Competitive Frameworks

Leadership in enabling and industrial technologies (Nanotechnologies, Materials, Production technologies, Biotech, …)

Access to risk finance Innovation in SMEs

Excellence in the Science Base Frontier research (ERC) Future and Emerging Technologies (FET) Skills and career development (Marie Curie) Research infrastructures

Common rules, toolkit of funding schemes

European Research Area

Simplified access

International cooperation

Coherence with other

EU and MS actions

EIT will contribute to addressing these challenges

Shared objectives and principles

Horizon 2020: Framework Programme

for Research and Innovation

Horizon 2020 is different

A strong challenge-based approach, allowing applicants to have considerable freedom to come up with innovative solutions

Simplified list of possible types of action (e.g. research and innovation -100%; innovation actions - 70%,…)

Less prescription, strong emphasis on expected impact

Broader topics

Cross-cutting issues mainstreamed (e.g. social sciences, gender, international…)

I. Horizon 2020 - introduction

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Broader access

• For SMEs - dedicated SME projects to address societal challenges and enabling technologies

• For all regions – tailored support to policy learning, twinning, networking, complementing Structural Funds

• For international partners – broad access to Horizon 2020 (“mainstreaming”), strategic initiatives where there is mutual benefit

• For all forms of innovation - social innovation, services, pilots, stimulating demand through public procurement, standard setting

Leadership in enabling and industrial technologies (LEIT) (i) ICT including micro- and nano-electronics and photonics (ii) Nanotechnologies(iii) Advanced Materials(iv) Biotechnology(v) Advanced Manufacturing & Processing (vi) Space

Access to risk financeLeveraging private finance and venture capital for R&I

Innovation in SMEsFostering all forms of innovation in all types of SMEs

HORIZON 2020

• Priority 2: Industrial Leadership

• Priority 1: Excellent Science

• Priority 3: Societal Challenges

This Work Programme

II. Leadership in Enabling and Industrial Technologies (LEIT)

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Key enabling technologies and support to innovative SMEs to exit economic crisis (strenghten recovery)

• Emphasis on R&D and innovation areas with strong industrial dimension.

• Activities primarily developed through relevant industrial roadmaps. (ETPs)

• Involvement of industrial participants and SMEs to maximise expected impact => evaluated in proposal !

• Implementation by PPPs to better address the industry issues along with Industry and attract a strong private commitment

II. Leadership in Enabling and Industrial Technologies (LEIT)

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LEIT in a nutshell:

Industrial mastering and deployment of Key Enabling Technologies (KETs)

What are KETs?

• Six strategic technologies• Driving competitiveness and

growth opportunities• Contributions to solving societal

challenges • Knowledge- and Capital-

intensive• Cut across many sectors

• Nanotechnologies

• Advanced Materials

• Micro- and nano- electronics

• Photonics

• Biotechnology

• Advanced Manufacturing

European KET Strategy:

• EC Communications

(2009)512 & (2012)341

• KET High-level Group

II. Leadership in Enabling and Industrial Technologies (LEIT)

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Work Programme topics•Structure reflects the challenge based approach •3 key features :

• Specific Challengeo sets context, problem to be addressed, why intervention is necessary

• Scope o delineates the problem, specifies the focus and the boundaries of the potential

action BUT without overly describing specific approaches

• Expected Impact o describe the key elements of what is expected to be achieved in relation to the

specific challenge

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III. Calls

Useful links

• Participant Portal : • https://ec.europa.eu/research/participants/portal/page/home• Horizon 2020 documents• Support services• Evaluation experts

Calls for proposals: Pre-published Work Programmeshttp://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020-

documents

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INSERISCI COME REGISTRARSI

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http://ec.europa.eu/research/participants/portal/page/experts

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Horizon 2020 vs FP7Part-2

Firat Gedikli

AGENDA

• Work Programme and Calls• New Participant Portal• Proposal Submission & Evaluation• Model Grant Agreement• Minimum Conditions & Eligibility for Funding• Simplification• Types of Action

Work Programme and Calls

Work Programme and Calls-1

• A strong challenge-based approach with more freedom to innovative solutions• Simplified list of possible types of action

– Research and innovation - %100– Innovation - %70*

• Less prescription, strong emphasis on expected impact• Broader topics• Cross-cutting issues mainstreamed

– Social sciences,– Gender,– International– …

Work Programme and Calls-2

• Work programme preparation obtained from strategic programming exercise

• A more integrated approach – 2 yearly based WPs• Topics:

– Specific challenge• Problems to be addressed

– Scope• Delineates the problem & specifies the focus

– Expected Impact• The key elements expected to be achieved in relation to specific

challenge

New Participant Portal

Proposal Submission and

Evaluation

Proposal Submission

• Full use of pre-registered data (PIC, etc)• Self check for SME status (viability)• Closely matched criteria for Part B• Simpler but tougher page limits• More 2-state procedure

Proposal Evaluation-1• Award criteria for R&I Actions, Innovation Actions and SME

Instrument:– Excellence

• Ground-breaking nature&trans-disciplinarity– Impact

• Expected impacts in the Work Programmes• Enhancing innovation capacity and integration of new

knowledge– Quality and efficiency of implementation

• Coherence and effectiveness of the work plan• Experience and complementarity of the individual participants

Proposal Evaluation-2• As in FP7:

– Each criterion scored out of 5;– Individual threshold of 3;– Overall threshold of 10

• Unlike FP7, for Innovation Actions and SME Instrument– Impact criterion weighted by factor of 1.5– Impact considered first when scores equal

Proposal Evaluation-3

• For each group of tied proposals1) Consider those that “fill gaps” in the WP

1) For R&I Actions: first “excellence”, second “impact”

2) SME budget3) Gender balance in key personnel4) Other factors (wider H2020, EU objectives, etc)

Proposal Evaluation-4

• New experts• More experts per proposal• Clear procedures to solve the disagreement

among experts• Proposals evaluated on their own merit• Multi-step• Fast and simplified procedure for SME instrument

Model Grant Agreement

Model Grant Agreement-1

• A single document with all provisions• “Annotated GA”• Simplified wording• Electronic signature of the GA, the amendments

and financial statements&technical reports• Communication btw the EC and the beneficiaries

Model Grant Agreement-2

• Annexes to the grant– Annex I: Description of the action– Annex II: Estimated budget– Annex III: Accession forms– Annex IV: Financial statements– Annex V: CfS– Annex VI: CoM

Model Grant Agreement-3

• What will remain from FP7:– GAs as the main funding stream– Reimb. of actual costs as the main funding method

• What will be new in H2020:– Specific provisions for new forms of funding targeting

innovation (PCP-PPI)– Output-based grants (lump-sums)– Enhanced use of flat rates and unit costs

Minimum Conditions and

Eligibility for Funding

Minimum Conditions

• R&I and Innovation Actions At least 3 legal entities in MSs or ACs

• ERC, SME Instrument, Co-Funding Actions, CSAs, Training and mobility actions One legal entity in MSs and ACs, or One legal entity

Eligibility for funding

• Automatically for:– Legal entities in MSs and ACs,– Int. European Interest Organizations,– Legal entities identified in the WPs

• Other legal entities if:– Participation is deemed essential– Provided for in an int. agreement

Simplification

Simplification At a Glance…• One of the main goals of Horizon2020• 3 main aims::

– Reduce the management costs,– Fasten and shorten project proposal and support

processes (min 12 months to max 8 months)

– Reduce financial error rate• In FP7, though complicated and detailed audits and

rules; error rate is too high. (around %4)

Financial Error Rate•Direct costs

•VAT•Unrelated expend.•Invoices•Depreciation•Sub-contracting expenses

•Personnel Costs•Timesheet•Ineligible and estim. declar. of costs

•Indirect Costs•Wrong/over declaration

Context of Simplification-1• A single set of rules for all the parts of the

programme• A new and user-friendly IT system (electronic

signature)• Financial Viability Check

– Only for the coordinators with equal of/more than €500.000 budgets)

• Certificate of Financial Statement (CFS)– €375.000 €325.000 (only once at the end of

the project)• Possible auditing time after the project (5 to 2

years)• Financial error rate %2 utmost (as in FP6)

• One reimbursement with one indirect cost rates• Wider acceptance of average personnel costs• Supplemantary payments for non-profit organizations up to

€8.000 per year/person• Average personnel costs – esp. for SMEs without salary (Marie

Sklodowska-Curie Programme scale)• Timesheets (researchers working exclusively on the project

excluded)• VAT as an eligible cost

Context of Simplification-2

Types of Action

Funding Schemes

•Prizes

Max. Reimbursement RateFP7 RTD Demo Coord. Other

SME 100 = 120 100 = 80 100 = 160 100 = 160

Industry 100 = 60 100 = 60 100 = 120 100 = 120

Res. Org. 100 = 120 100 = 80 100 = 160 100 = 160

University 100 = 120 100 = 80 100 = 160 100 = 160

Other 100 = 60 100 = 60 100 = 120 100 = 120

HORIZON2020 RTD Demo Coord. Other

SME100 = 125

100 = 87,5*(*Innovation grants for profit organizations)

Industry

Res. Org.

University

Other