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Horizon 2020 vs FP7 Part-1 Carlo Polidori. Agenda What is Horizon 2020? Brief recall on FP7 The 3 Pillars of Horizon 2020 compared with FP7 The real novelty:

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Presentation on theme: "Horizon 2020 vs FP7 Part-1 Carlo Polidori. Agenda What is Horizon 2020? Brief recall on FP7 The 3 Pillars of Horizon 2020 compared with FP7 The real novelty:"— Presentation transcript:

1 Horizon 2020 vs FP7 Part-1 Carlo Polidori

2 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 2

3 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 3

4 4 ERA-Wide projects, specific for neighboring countries

5 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

6 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 6

7 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

8 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 finance Leveraging private finance and venture capital for R&I Innovation in SMEs Fostering 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) 8

9  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) 9 LEIT in a nutshell:

10 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) 10

11 Work Programme topics Structure reflects the challenge based approach 3 key features : Specific Challenge o 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 11 III. Calls

12 Useful links Participant Portal : Horizon 2020 documents Support services Evaluation experts Calls for proposals: Pre-published Work Programmes documents 12


14 14

15 Horizon 2020 vs FP7 Part-2 Firat Gedikli

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

17 Work Programme and Calls

18 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 – …

19 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

20 New Participant Portal









29 Proposal Submission and Evaluation

30 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

31 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

32 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

33 Proposal Evaluation-3 For each group of tied proposals 1)Consider those that “fill gaps” in the WP 1)For R&I Actions: first “excellence”, second “impact” 2)SME budget 3)Gender balance in key personnel 4)Other factors (wider H2020, EU objectives, etc)

34 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

35 Model Grant Agreement

36 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

37 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

38 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

39 Minimum Conditions and Eligibility for Funding

40 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

41 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

42 Simplification

43 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) Submission deadlineEvaluation Negotiation phase GA signature process and kick-off the project

44 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

45 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)

46 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

47 Types of Action

48 Funding Schemes Grants for R&D Coordination and Supporting Actions (CSA) %100 funding Grants for Innovation Co-Funding Actions PCP PPI Era-Net Plus actions %70 funding (Up to %100 for “non- profit legal entities”) SME Instrument 3 Phase Funding Prizes

49 Max. Reimbursement Rate FP7RTDDemoCoord.Other SME100 = 120100 = 80100 = 160 Industry100 = 60 100 = 120 Res. Org.100 = 120100 = 80100 = 160 University100 = 120100 = 80100 = 160 Other100 = 60 100 = 120 HORIZON2020RTDDemoCoord.Other SME 100 = 125 100 = 87,5* (*Innovation grants for profit organizations) Industry Res. Org. University Other


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