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Martin Baumgartner FFG – Austrian Research Promotion Agency NCURA 2014 Pre-Award Research Administration Conference March 19, 2014, San Francisco, USA.

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Presentation on theme: "Martin Baumgartner FFG – Austrian Research Promotion Agency NCURA 2014 Pre-Award Research Administration Conference March 19, 2014, San Francisco, USA."— Presentation transcript:

1 Martin Baumgartner FFG – Austrian Research Promotion Agency NCURA 2014 Pre-Award Research Administration Conference March 19, 2014, San Francisco, USA HORIZON 2020: An Overview - General Principles for Participation - Legal & Financial Issues

2 USA: One of the most successful cooperation partner country in FP7 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna | 1 particularly successful in Health | ICT | Food, Agriculture, Fisheries, Biotechnology | Energy U.S. Partners > 450 participations € 76 million financial contributions U.S. Partners > 450 participations € 76 million financial contributions

3 Services: Supporting the EU-U.S. STI policy dialogue Raising awareness on research and innovation opportunities Fostering innovation partnerships Enhancing EU-U.S. research partnerships Communicating and disseminating relevant H2020 data and information Consortium: 9 European partners DLR (Germany), FFG (Austria), inno TSD (France), Biocat (Spain), AKA (Finland), Intrasoft International (Belgium), RCN (Norway), IPPT PAN (Poland), TUBITAK (Turkey) 4 US partners: DMI, FIU, NCURA, CTR FFG Contact: Ralf König Elli B. Tzatzanis-Stepanovic 2 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

4 AUSTRIAN RESEARCH PROMOTION AGENCY Company profile Major national funding agency addressing the innovation base of the Austrian business sector  focus on applied research Comprehensive portfolio of funding instruments both for innovation- newcomers and innovation champions Mobilisation and support of industry and science for participation in European programmes (e.g. FP7, H2020, EUREKA, etc.) Facts and figures Budget 2012: €525 million Staff: 225 full-time equivalents Projects: average funded projects per year involving partners Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

5 4 ORGANISATIONAL STRUCTURE Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

6 EUROPEAN AND INTERNATIONAL PROGRAMMES 5  Enhancing the Austrian participation in European and international funding programmes  Support of Austrian researchers in industry and science  Enhancing the Austrian participation in European and international funding programmes  Support of Austrian researchers in industry and science  Establishing contacts with international R&D networks  Monitoring Austrian participation in EU Framework Programme  Establishing contacts with international R&D networks  Monitoring Austrian participation in EU Framework Programme  Horizon 2020 National Contact Point  Austrian EUREKA Contact Point  Enterprise Europe Network Office  Horizon 2020 National Contact Point  Austrian EUREKA Contact Point  Enterprise Europe Network Office  National competence and service centre for European and international R&D programmes and initiatives  Professional information and counselling on all programmes by competent national contact points  FFG training academy  National competence and service centre for European and international R&D programmes and initiatives  Professional information and counselling on all programmes by competent national contact points  FFG training academy Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

7 Overview What is Horizon 2020? – Structure, Budget What is new? – Main changes to FP7 How to participate? – Possibilities for US org., general rules for participation, main funding instruments Legal framework Legal issues relevant to U.S. participants 6 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

8 What is Horizon 2020? A core part of Europe 2020 Strategy  Innovation Union 7 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

9 What is Horizon 2020? A €80 billion research and innovation funding programme ( ) A single programme bringing together three formerly separated programmes/initiatives (FP7/CIP/EIT). Coupling research to innovation from research to retail, all forms of innovation. Focus on societal challenges facing EU society. Simplified access for all organisations in all EU countries and beyond => openess for international cooperations. 8 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

10 Horizon 2020 – Structure 1.European Research Council (ERC) 2.Future and Emerging Technologies (FET) 3.Marie Sklodowska Curie 4.Research Infrastructures 1.LEIT = Leadership in Enabling and Industrial Technologies incl KET - ICT - Nanotechnologies - Advanced material - Biotechnology - Advanced manufacturing - Space 2.Access to Risk Finance 3.Innovation in SMEs 1.Health, Demographic Change 2.Food Security, Agriculture and Forestry, Marine, Maritime Research, Bioeconomy 3.Energy 4.Transport 5.Climate, Environment, Resource Efficiency and Raw Materials 6.Inclusive, Innovative and reflective Societies 7.Secure Security Excellent Science € 24.4bn Industrial Leadership €17bn Societal Challenges € 29.7bn Widening Participation Science with and for Society European Institute of Innovation and Technology (EIT) Joint Research Centre (JRC)

11 Horizon 2020 – Budget €15 billion over first two years (calls ) Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

12 Horizon 2020 and partnering – Public Private Partnerships Public private partnerships Through Joint Technology Initiatives or other formal structures Through contractual agreements, which provide inputs for work programmes Public public partnerships Through «Co-fund» for topping up individual calls/actions (replacing current ERA-Net, ERA-Net Plus) Through participation in joint programmes between Member States 11 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

13 Overview What is Horizon 2020? – Structure, Budget What is new? – Main changes to FP7 How to participate? – Possibilities for US org., general rules for participation, main funding instruments Legal framework Legal issues relevant to U.S. participants 12 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

14 What is new? Main changes EU Financial Regulation and Rules for participation are valid for all H2020 components (e.g. EIT, JTI, Article 185…); exceptions are possible where necessary. Standard funding rates for all project participants and activities => (one funding rate per project) 25% flat rate for indirect costs 13 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

15 What is new? Main changes Shortening of the average „time-to-grant“ => 8 mth Simplified controls and audits - ex-post audit strategy => emphasis on risk-based control and fraud detection 14 5 mths from deadline: Information about evaluation results 3 more mths: Contract Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

16 What is new? Main changes Simplification of time-recording Abolition for staff working exclusively on an EU project Open Access - as basic principle for scientific publications - pilot for scientific data Electronic signature of grants, amendments and cost reporting 15 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

17 Overview What is Horizon 2020? – Structure, Budget What is new? – Main changes to FP7 How to participate? – Possibilities for US org., general rules for participation, main funding instruments Legal framework Legal issues relevant to U.S. participants 16 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

18 17 How to participate? Opportunities for U.S. organisations Browse the calls by exploring the H2020 structure Find relevant topics using the keyword search or the free text search Or find calls specific U.S. calls here: Or find calls specific U.S. calls here: Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

19 How to participate? Opportunitiesfor U.S. organisations 18 choose « containing exact phrase » Search phrases: -USA -United States of America -North(ern) America(n) -Industrializ(s)ed Countries -High-Income Countries -Third Countries -Atlantic -etc. -or any research theme/topic of interest choose « containing exact phrase » Search phrases: -USA -United States of America -North(ern) America(n) -Industrializ(s)ed Countries -High-Income Countries -Third Countries -Atlantic -etc. -or any research theme/topic of interest Calls and topics classified (by the European Commission) as relevant for international STI cooperation Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

20 How to participate? Possibilities for U.S. organisations 19 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

21 How to participate? Minimum criteria for participation Standard conditions: a minimum of three mutually independent legal entities from different EU Member States or Associated Countries Exceptions: ERC, Coordination/Support Actions, SME-Instrument...: at least one legal entity Additional eligibility criteria: possibly applicable in accordance with Work Programme or Work Plan 20 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

22 How to participate? Funding for partners from third countries Applicants from non-EU countries are always free to take part in Horizon Automatically funded countries => specified in the Work Programme „Industrialised Countries“ (USA, …), BRIC and Mexico => no automatic funding, except in the case of: Funding is explicitly foreseen in the relevant call text or Participation is deemed essential for the realisation of the project (outstanding competence/expertise, access to research infrastructure, access to particular geographical environments, access to data) or Existing bilateral S&T agreement 21 US-partners are eligible under all topics in calls under the Societal Challenge ‘Health, demographic change and well-being’. Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

23 How to participate? Main funding Instruments 22 Funding actionsFunding rates Research and Innovation action100 % Innovation action („close to market“) funds new, modified or improved products, processes or services - creating protypes, tests, demonstrations, pilot projects, large-scale product validation and developing marketability 70 % 100 % for NPO European Research Council (ERC)100 % Marie Skłodowska-Curie action100 % SME Instrument70 % And some more: Prizes, Pre-Commercial Procurement, Public Procurement of Innovative Solutions, Co-fund New! Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

24 Funding rate for “Research and Innovation actions“ Indirect costs: 25 % of the direct, eligible costs (except subcontracting + third parties in-kind contribution not used on the beneficiaries premises) 23 Direct Costs Indirect Costs TotalFunding rate Funding 100 €25 €125 €100 %125 € Direct Costs Indirect Costs Funded 100% Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

25 Funding rate for „Innovation actions“ Indirect costs: 25 % of the direct, eligible costs (except subcontracting + third parties in-kind contribution not used on the beneficiaries premises) 24 Direct Costs Indirect Costs Generally funded 70 % „non-profit“ org.: 100 % Type of organisation Direct costs Indirect costs Total Funding rate Funding General100 €25 €125 €70 %87,5 € Non profit org.100 €25 €125 €100 %125 € Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

26 Type of costs to be funded Types of costs: Actual costs Unit costs Flat-rate costs, e.g.for indirect costs 25 Standard cost categories: 1)Personnel costs 2)Subcontracting costs 3)Other direct costs (e.g. travel expenses, equipment /infrastructure depreciation, services...) 4)Indirect costs Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

27 IPR Rules Background Any data, know-how or information including intellectual property rights, which are held by the participants prior to the project and needed for the project. Project partners must identify their background in writing (“agreement on background”, e.g. in the consortium agreement). 26 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

28 IPR Rules Ownership Project results are the property of the participant who generated them. In cases of „Joint Ownership“ => Default provision 27 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

29 IPR Rules Access Rights Participants in the same action for implementation/exploitation purposes. Affiliated entities (MS, AS) have access rights to background and results if this is needed to exploit the results generated by the affiliated beneficiaries (under fair and reasonable conditions). EU for non-commercial, policy related purposes. 28 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

30 IPR Rules Protection where appropriate. Exploitation: best efforts obligation; in specific cases the work programme/grant agreement can foresee specific exploitation obligations in the European strategic interest. 29 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

31 Liability The Consortium is jointly and severally liable for the technical implementation – also non EU-funded partners. NO financial joint and several liability. (Guarantee fund). 30 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

32 Open Access Scientific (peer-reviewed) publications: Open Access as a basic principle („green“ or „gold“) No “obligation to publish“! beneficiary must aim to deposit research data needed to validate the results ensure open access at the latest: 1) on publication, if an electronic version is available, or 2) within six months of publication (12 months for publications in the social sciences and humanities) OA costs are eligible for the duration of the project. 31 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

33 Open Access Research data: Pilot “open Research Data Pilot“ GA regulates the details (opt out option, data managment plan…) Legitimate interests of the project partners, data protection, security considerations and protection of intellectual property are to be taken into consideration. 32 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

34 Overview What is Horizon 2020? – Structure, Budget What is new? – Main changes to FP7 How to participate? – Possibilities for US org., general rules for participation, main funding instruments Legal framework Legal issues relevant to U.S. participants 33 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

35 Legal framework 34 EU Financial Regulation H2020 Rules for Participation Work Programme Grant Agreement (GA) provides the rights and obligations between the EC and the beneficiaries Consortium Agreement (CA) provides the rights and obligations between the beneficiaries Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

36 Grant Agreement 35 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

37 Consortium Agreement Rules for Participation provides that: „… members of a consortium participating in an action shall conclude an internal agreement (“consortium agreement“)...” “…CA may stipulate inter alia the following: the internal organization of the consortium; the distribution of the Union funding; rules on dissemination, use and access rights (additional to RfP and GA); arrangements for settling internal disputes; liability, indemnification...“ Example: 36 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

38 Overview What is Horizon 2020? – Structure, Budget What is new? – Main changes to FP7 How to participate? – Possibilities for US org., general rules for participation, main funding instruments Legal framework Legal issues relevant to U.S. participants 37 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

39 Legal issues relevant to U.S. participants Legal rights and obligations depend on whether the U.S. organisation receives EU funding.  U.S. beneficiaries who will be granted EU-funding: all rights and obligations of the Grant Agreement apply Please check if your organisation is legally entitled to sign the GA. 38 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

40 Legal issues relevant to U.S. participants  U.S. beneficiaries who will not be granted EU- funding: some obligations especially those related to cost reporting will not apply (Article 9 GA). Other obligations will still remain: IPR rules, transfer and licensing of results access rights, dissemination of results incl. Open Access, ethics, administrative and financial penalities, liability for damages. 39 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

41 Applicable law and settlement of disputes (Art 57 GA) Applicable law = EU law, supplemented by Belgian law. Responsible Courts = EU General Court/Court of Justice for any dispute arising out of the GA. Many U.S. Federal agencies/public research institutions are not allowed to accept EU/Belgium law and the jurisdiction of EU Courts. Exception for non-EU beneficiaries: if dispute between EC and non-EU beneficiary => the competent Belgian courts have sole jurisdiction. Exception for non-EU beneficiaries without funding => possiblity of arbitration. 40 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

42 Administrative and financial penalties, liability for damages (Art 45 GA) Beneficiaries found to have committed substantial errors, irregularities, fraud, serious breach of the GA or has made false declarations => liable to pay penalties Beneficiaries must compensate (except force majeure) the EC for damage resulting from the implementation. U.S. Federal agencies are not allowed to participate because U.S. law does not permit them to agree to penalty provisions. 41 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

43 EC right to object to transfers or licensing (Art 30.3 GA) EC may object to the transfer of ownership/exclusive licensing of results, if: it is to a third party (in non-EU country) and it is not in line with EU interests regarding competitiveness, inconsistent with ethical principles or security considerations. Could be problematic for U.S. affiliates established in the EU because of the possibility of hindering the transfer of project results. 42 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

44 Alternative cooperations Grant Agreement „Third party with a legal link to a beneficiary“ or „Affiliated entities” (if applicable – please check Art. 14 GA) External US-expert participating on an ad hoc basis => EU-project partner may reimburse the travel/subsistance costs if the participation is envisaged in Annex 1 Bilateral agreement (Please check subcontracting Art.13 GA) Legal relationship between only the U.S. organisation and one partner of the consortium (contribution to a work package or task). Project partner remains fully responsible to the EU for the work; consortium agreement acknowledges the U.S.- organisation’s contribution. NASA 43

45 Two previous complementary projects fostering the strategic U.S. – EU S&T cooperation Link2US Participation of EU Teams in U.S. Programes BILAT-USA Trans-atlantic Dialogue Platform, Information, Awareness, Cooperation, Projects, Participation of U.S. Teams in FP7  3/01-07-KOENIG-BILAT-USA__FFG-PRE_101.pdf 3/01-07-KOENIG-BILAT-USA__FFG-PRE_101.pdf  >  > Analysis of Existing Instruments, Regulations and Obstacles for U.S participation in the 7th Framework Programme

46 Further information Horizon 2020 Webpage Participant Portal Reference Documents (RfP, Annotated Grant Agreement, manuals) Funding of applicants from non-EU countries BILAT USA IPR Helpdesk https://www.iprhelpdesk.eu https://www.iprhelpdesk.eu 45 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |

47 46 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna | Thursday, March 20 1:15 PM – 2:15 PM / Discussion groups 2:30 PM – 3:30 PM / Discussion groups 8:30 AM – 9:30 AM / Current sessions

48 Martin Baumgartner Legal & Financial National Contact Point Horizon 2020 FFG – Austrian Research Promotion Agency Division European and International Programmes 47 Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna |


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