Presentation on theme: "Training Workshop 27 November 2014"— Presentation transcript:
1 Training Workshop 27 November 2014 Horizon 2020Training Workshop27 November 2014
2 Current, Forthcoming, Both Pillar I: Excellent ScienceEuropean Research Council (ERC) Funding: Frontier research by the best individual teams *Future and Emerging Technologies: Collaborative research to open new fields of innovationMarie Sklodowska-Curie actions (MSCA): Opportunities for training and career developmentResearch infrastructures (including e-infrastructure): Ensuring access to world-class facilitiesPillar II: Industrial LeadershipLeadership in enabling and industrial technologies (LEITs): ICT, nanotechnologies, materials, biotechnology, manufacturing, spaceAccess to risk finance: Leveraging private finance and venture capital for research and innovationInnovation in SMEs: Fostering all forms of innovation in all types of SMEsPillar III: Societal ChallengesHealth, demographic change and wellbeingFood security and marine researchEnergyTransportClimate action, resources and raw materialsInclusive societiesSecure societiesScience with and for societySpreading excellence and widening participationPI (EU), UCT (Team Member)StartingConsolidatorAdvancedEUR 1.5 m to R2.5m for 5 years
3 Call description Specific challenge Scope Expected impact – including budget rangeType of action
4 Funding instruments/actions Pillar I: Excellent SciencePillar II: Industrial LeadershipPillar III: Societal ChallengesResearch and InnovationCo-ordination and Support ActionERA-Net Cofund (ERA-NET Cofund grants are open only to research funders)Innovation ActionsMarie S Curie ActionSME instrumentPrizes, Public procurement, Grant identified beneficiary, Individual Expert Contracts
5 Funding instruments/actions Pillar I: Excellent SciencePillar II: Industrial LeadershipPillar III: Societal ChallengesResearch and InnovationAction 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 small-scale prototype in a laboratory or simulated environment.Projects may contain closely connected but limited demonstration or pilot activities aiming to show technical feasibility in a near to operational environment.Funding rate: 100%Co-ordination and Support ActionAction 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 strategic planning, networking and coordination between programmes in different countries.Funding rate: 100%Innovation ActionAction 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.Funding rate: 70% for for-profit organisations and 100% for non-profit beneficiaries
6 Funding instruments/actions Pillar I: Excellent SciencePillar II: Industrial LeadershipPillar III: Societal ChallengesMarie S Curie ActionInnovative Training Networks (ITN)Aims to train a new generation of creative, entrepreneurial and innovative early-stage researchers, able to face current and future challenges and to convert knowledge and ideas into products and services for economic and social benefit.Partnerships take the form of collaborative European Training Networks (ETN), European Industrial Doctorates (EID) or European Joint Doctorates (EJD).Individual Fellowships (IF)Provide opportunities to acquire new knowledge and to work on research in a European context or outside Europe.Fellowships are either European Fellowships or Global Fellowships. European Fellowships are held in EU Member States or Associated Countries and are open to researchers currently within and outside Europe. Global Fellowships are based on a secondment to a third country and a mandatory 12 month return period to a European host.In Individual Fellowships (IF), the beneficiary shall be a participant established in an EU Member State or Associated Country and employing the researcher during the project.
7 Funding instruments/actions Pillar I: Excellent SciencePillar II: Industrial LeadershipPillar III: Societal ChallengesMarie S Curie Action cont…Research and Innovation Staff Exchange (RISE)Research and innovation staff exchanges, and sharing of knowledge and ideas from research to market (and vice-versa) for the advancement of science and development of innovation.Exchanges can be for both early-stage and experienced researchers' levels and can also include administrative, managerial and technical staff supporting the research and innovation activities.Co-funding of regional, national and international programmes (COFUND)Co-funding new or existing regional, national, and international programmes to open up to, and provide for, international, intersectoral and interdicisplinary research training, as well as transnational and cross-sector mobility of researchers at all stages of their career.Participants submit multi-annual proposals for new or existing doctoral programmes or fellowship programmes that may be run at regional, national or international level. The evaluation is organised in two different panels: A) Doctoral programmes and B) Fellowship programmes.
9 EligibilityThe Member States of the European Union, including their overseas departmentsThe Countries Associated to Horizon 2020: By 12 September 2014, Association Agreements have been concluded and/or signed with the following countries: Iceland, Norway, Albania, Bosnia, Herzegovina, Former Yugoslav Republic of Macedonia, Montenegro, Serbia, Turkey, Israel, Moldova , (Switzerland).The following countries, except where this is explicitly excluded in the call textAfghanistan, Albania, Algeria, American Samoa, Angola, Argentina, Armenia, Azerbaijan, Bangladesh, Belarus, Belize, Benin, Bhutan, Bolivia, Bosnia and Herzegovina, Botswana, Burkina Faso, Burundi, Cambodia, Cameroon, Cape Verde, Central African Republic, Chad, Chile, Colombia, Comoros, Congo (Democratic People’s Republic), Congo (Republic), Costa Rica, Côte d’Ivoire, Cuba, Djibouti, Dominica, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Ethiopia, Fiji, Gabon, Gambia, Georgia, Ghana, Grenada, Guatemala, Guinea, Guinea-Buissau, Guyana, Haiti, Honduras, Indonesia, Iran, Iraq, Jamaica, Jordan, Kazakhstan, Kenya, Kiribati, Korea (Democratic Republic), Kosovo*, Kyrgyz Republic, Lao, Lebanon, Lesotho, Liberia, Libya, former Yugoslav Republic of Macedonia, Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands, Mauritania, Mauritius, Micronesia, Moldova, Mongolia, Montenegro, Morocco, Mozambique, Myanmar, Namibia, Nepal, Nicaragua, Niger, Nigeria, Pakistan, Palau, Palestine, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Rwanda, Samoa, Sao Tome and Principe, Senegal, Serbia, Seychelles, Sierra Leone, Solomon Islands, Somalia, South Africa, South Sudan, Sri Lanka, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, Sudan, Suriname, Swaziland, Syrian Arab Republic, Tajikistan, Tanzania, Thailand, Timor-Leste, Togo, Tonga, Tunisia, Turkey, Turkmenistan, Tuvalu, Uganda, Ukraine, Uzbekistan, Vanuatu, Uruguay, Venezuela, Vietnam, , Yemen, Zambia, Zimbabwe.
10 Minimum Participation The Countries Associated to Horizon 2020: By 12 September 2014, Association Agreements have been concluded and/or signed with the following countries: Iceland, Norway, Albania, Bosnia, Herzegovina, Former Yugoslav Republic of Macedonia, Montenegro, Serbia, Turkey, Israel, Moldova, (Switzerland).At least three legal entities. Each of the three shall be established in a different Member State or associated country. All three legal entities shall be independent of each other. Except forERC and SME- one legal entity in Member State or Associated countryCSA: one legal entity (need not be Member State or Associated country)MSCA: IF (one EU member if EF, Two if GF), RISE (Three , if all from same sector : 2 EU and one 3rd country)When mentioned in Work Programme
15 Personnel:(A) Direct personnel costs/€ A beneficiary can have one or more types of direct personnel costs. The various possible types of direct personnel costs are indicated below:actual personnel costs (salaries and social security contributions, as well as taxes and other costs included in the remuneration if they arise from national law or the employment contract)unit personnel costs calculated according to the participant's usual accounting practices (average personnel costs)unit personnel costs for SME owners without salary or participants that are natural persons without salaryadditional remuneration (`bonus payments'; for non-profit organisations only and subject to specific eligibility conditions)personnel costs for providing access to research infrastructure (if applicable according to the call for proposals)costs of personnel seconded against payment (in-kind contributions against payment)Example: A researcher, who is employed by a legal entity outside the project, works in the laboratory of the participant. The legal entity is reimbursed by the participant, and the participant charges these costs to the project.costs of personnel seconded free of charge (in-kind contributions free of charge). Example: A professor is working in a public university that participates in the project. His salary is paid directly by the ministry, not by the university. The university charges the salary costs to the project without reimbursing the ministry.Indirect costs (F) or special unit costs (G) must not be included here. For details on the types of 'direct personnel costs', their calculation, and the conditions for their eligibility please refer to Article 6.1 (general) and Article 6.2.A (specific) of the Annotated Model Grant Agreement.There are additional conditions for in-kind contributions of personnel. For details see Article 11 (in-kind contributions against payment) and Articles 6.4 and 12 (in-kind contributions free of charge) of the Annotated Model Grant Agreement. In-kind contributions and the legal entities making them must be described in the proposal (section 4.2 of the technical annex).Time sheets if not working 100% on the project- approved monthly by line manager- A template is provided on the Participant Portal.100%: Sign one declaration per reporting period, to confirm that the people concerned worked exclusively for the action during the whole reporting period. This declaration must be dated and countersigned for acceptance by the person concerned. A template is provided on the Participant Portal.
16 (B) Other direct costs/€ Please enter other direct costs necessary to carry out the project.The various possible types of other direct costs are indicated below:travel costs and related subsistence allowancescosts of equipment, infrastructure, or other assets (depreciation costs, costs of renting or leasing, in-kind contributions against payment or free of charge; full purchase costs are possible only if this option is specifically included in the work programme/call for proposals to which you respond)costs of other goods and services (e.g., direct costs for consumables and supplies, publications, conferences, patents, certificates on financial statements, certificates on methodology, translations, in-kind contributions against payment or free of charge)capitalised and operating costs of large research infrastructures (only for entities that comply with the criteria, see Article 6.2.D.4 of the Annotated Model Grant Agreement)Deductible VAT (ineligible cost), indirect costs (F), or special unit costs (G) must not be included here. For details on the types of 'other direct costs', their calculation, and the conditions for their eligibility please refer to Article 6.1 (general) and Article 6.2.D (specific) of the Annotated Model Grant Agreement.C) Direct costs of subcontracting/€Please enter the direct costs of subcontracting. Use one row for each beneficiary. Include costs of linked third parties, if any, in the beneficiary's budget.Subcontracting can be used to implement a limited part of the project. Each subcontract and the tasks it covers must be described in the proposal (section 4.2 of the technical annex).Subcontracting costs include the actual price and taxes (including non-deductible VAT) paid by the beneficiary. No indirect costs are accepted for subcontracting, and the 25% flat rate of indirect costs is not applied.For details on 'direct costs of subcontracting' and the conditions for their eligibility please refer to Article 6.1 (general), Article 6.2.B (specific), and Article 13 of the Annotated Model Grant Agreement.
17 (D) Direct costs of providing financial support to third parties/€ Use this cost category only if the possibility is explicitly mentioned in the work programme/call for proposals to which you respond.Example: As part of your proposal, you plan a prize or a competitive call for proposals for the development of a specific electronic device. The prize or call is open to legal entities outside the project. You select one or moresuccessful applicants and award the prize or reimburse them to cover their development costs for the device.This cost category (D) is limited to the actual amounts paid by the beneficiary to third parties. No indirect costs are accepted for financial support to third parties, and the 25% flat rate of indirect costs is not applied.For details on the possibility to providing financial support to third parties and the eligibility of these costs please refer to Article 6.1 (general), Article 6.2.C (specific), and Article 15.E) Costs of inkind contributions not used on the beneficiary's premises/€Please enter the costs for in-kind contributions that are made by third parties against payment or free of charge and that are not used on the beneficiary's premises. Use one row for each beneficiary.Include costs of linked third parties, if any, in the beneficiary's budget.costs for personnel that is made available (seconded) against payment or free of charge and working outside the beneficiary's premisescosts for equipment, infrastructure, or other assets that are made available against payment or free of charge and used outside the beneficiary's premisescosts of other goods and services made available against payment or free of charge and used outside the beneficiary's premisesThese costs (E) are already included in the 'direct personnel costs' (A) and 'other direct costs' (B). They need to be declared specifically in this column so that they can be subtracted from the sum ofdirect personnel costs (A) and direct other costs (B) before the indirect costs (F) are calculated.
18 The maximum amount may not exceed EUR for each third party, unless it is necessary to achieve the objectives of the action as described in the proposalThis may be done viaa financial donation to natural persons (e.g. allowance, scholarship, fellowship) or legal persons (e.g. non-repayable financial assistance to local NGOs),seed money to start-ups or microcredit, or other forms.Support in kind (e.g. transfer of material for free) by the beneficiary to a third party is not considered financial support.Examples:An innovation project in the area of sustainable agriculture and forestry includes financial support for end-users (farmers) testing the technology developed within the action.One of the work packages in Annex 1 includes funding for awarding three research scholarships in the field of the action.In this case, the beneficiaries’ activity consists in providing financial support, while it is the third parties (recipients) that actually implement research and/or innovation projects.)Linked third parties may award financial support to third parties under the same conditions as the beneficiaries.
19 (F) Indirect costs/€ (=0.25 (A+B-E)) Indirect costs are covered by a 25% flat rate of the participant's 'direct personnel costs' (A) and 'direct other costs' (B) minus 'costs of in-kind contributions not used on the beneficiary's premises' (E).No indirect costs are accepted forsubcontracting costs (C)costs of providing financial support to third parties (D)unit or lump-sum costs which already include indirect costs (G).For details on the types of 'indirect costs', their calculation, and the conditions for their eligibility please refer to Article 6.1 (general) and Article 6.2.E (specific) of the Annotated Model Agreement(G) Special unit costs covering direct & indirect costs/€This cost category is used for special unit costs that are authorised by a Commission decision. Use one row for each beneficiary. Include costs of linked third parties, if any, in the beneficiary's budget.Use this cost category only if the possibility is explicitly mentioned in the work programme/call for proposals to which you respond.The following types of costs may be included here:costs of additional energy efficiency measures (Decision C(2013) )
20 (K) Requested grant/€ Please enter the amount that you request for carrying out the action. This amount can be equal to or lower than the maximum grant (J).(H) Total estimated eligible costs/€ (=A+B+C+D+F+G) Calculated automatically based on the amounts you entered.
21 Cost FormsActual costs (i.e. costs which are real and not estimated or budgeted) for:Example: EUR actual yearly salary for senior researcher AExample: EUR 2000 actual price for a computerUnit costs (i.e. an amount per unit) for:direct personnel costs of SME owners/natural persons not receiving a salarydirect personnel costs calculated by the beneficiaries in accordance with their usual cost accounting practices (‘average personnel costs’) 13Example: EUR 60,000 average salary for senior researchersFlat-rate costs (i.e. costs calculated by applying a percentage fixed in advance to other types of eligible costs) for:indirect costs (25% flat-rate for indirect costs new in Horizon 2020)Lump sum costs (if agreed by EC)
23 Exceptions: ERC Budget categories of the ERC General MGA: direct personnel costssubcontracting costsother direct costsindirect costsDifferences (compared to the General MGA):No ‘direct costs of providing financial support to third parties’No ‘specific categories of costs’Not relevant for UCT (Not the PI): The beneficiaries must however prove that the conditions concerning the time-commitments of the PI for implementing the action have been complied with.provide evidence that the PI dedicated the minimum time commitmentprovide evidence that the PI spent the minimum time commitment in a Member State or associated countryBoth must be proved, even if the salary of the PI is not covered by the grant (i.e. if the salary is not part of the estimated budget).
33 Forms Part A - Administration Form: Example Edit onlinePart B - Proposal/Technical ComponentComplete offline and upload
34 Form B: RIA Excellence Objectives Relation to the work programme Concept and approachAmbitionImpactExpected impactsMeasures to maximise impact (Dissemination and exploitation of results AND Communication activities)ImplementationWork plan — Work packages, deliverables and milestonesManagement structure and proceduresConsortium as a wholeResources to be committedTable 3.1a: Work package description etc Table 3.2b: Critical risks for implementationTable 3.4a: Summary of staff effortTable 3.4b: ‘Other direct cost’ items (travel, equipment, other goods and services, large research infrastructure)Section 4: Members of the consortiumParticipants (applicants)Third parties involved in the project (including use of third party resources)Section 5: Ethics and Security
38 Post award and Grant Management Grant Agreement-RCIPs, CF and Faculty
39 Budget transfersThe estimated budget breakdown indicated in Proposal may be adjusted by transfers of amounts between beneficiaries or between budget categories (or both). This does not require an amendment according to Article 55, if the action is implemented as described in the ProposalIf the incurred eligible costs are lower than the estimated eligible costs, the difference can be allocated to another beneficiary or another budget category. The amount reimbursed for the other beneficiary (by application of its reimbursement rate) or for the other budget category (to which the budget transfer is intended) may thus be higher than planned.The beneficiaries may not however:add costs relating to subcontracts not provided for in proposal, unless such additional subcontracts are approved.The budget in the proposal is an estimationTherefore at the time of reporting, beneficiaries may declare costs that are different from the estimated eligible costs in the budget.If the proposal used unit costs, transferring amounts declared as unit costs to other categories or other beneficiaries is possible if the actual number of units used (or produced) by the beneficiary is less than the number estimated in the proposal. BUT the cost per unit cannot be changed.
40 Budget transfers cont… What not?The grant agreement allows transfers of budget, not of tasks.A beneficiary cannot transfer budget to a form of costs that has not been foreseen in the proposal.Example:A beneficiary declares all its direct personnel costs as ‘actual costs’ in the estimated budget. However, at the end of the first reporting period, the beneficiary declares its direct personnel costs as ‘unit costs determined according to its usual cost accounting practices’ (average personnel costs). This is not acceptable without an amendment of the GA to modify the form of direct personnel costs.If the budget transfer is due to a significant change in the proposal, an amendment to the Grant Agreement is needed. A significant change is a change that affects the technical work (the ‘tasks’ of the action) as in the approved proposal.No new costs for new subcontracts — The transfer of budget intended to increase the eligible costs for ‘subcontracting’ is considered to reflect a significant change and normally requires an amendment .
41 Above payments should not exceed 90% of the maximum grant amount The following payments will be made to the coordinator:one pre-financing payment;one or more interim payments, on the basis of the request(s) for interim payment, andAbove payments should not exceed 90% of the maximum grant amountone payment of the balance, on the basis of the request for payment of the balance.
42 Final grant amountThe final grant amount will be calculated by the Commission/Agency — at the end of the action (or in case of termination of the GA) —, in order to determine the balance to be paid.The final grant amount will depend on two types of criteria:work implementation criteria, i.e. was the work carried out as described?This is a technical analysis by the Commission/Agency of the work performed during the action, as compared with the activities set out in the GA.financial criteria, including:the amount of eligible coststhe reimbursement ratesthe maximum EU contribution.
43 General eligibility conditions for actual costs Actually incurred by the beneficiary (i.e. real costs)Incurred during the action duration (i.e. the generating event that triggers the costs must take place during the duration of the action)Example: A conference for which costs are claimed must take place during the course of the actionException:Costs related to drafting and submitting the periodic report for the last reporting period and the final report (including costs of certificates of financial statements required by the GA) are eligible — even if they are incurred after the action duration.Costs actually incurred should normally also be paid during the action duration.ExceptionsIn general, costs declared but not paid during the action duration (for instance because the beneficiary is waiting for the payment of the balance) are eligible only if the debt (and invoice) exists, and the final cost is known.Costs of services or equipment supplied to a beneficiary (or to its linked third party) may be invoiced and paid after the action is completed, if the services or equipment were used by the beneficiary (or to its linked third party) during the action duration.If there is a check or an audit after the action ends, beneficiaries will need to prove (with supporting documents) that the payments were actually made (except for depreciation costs).Travel costs for the kick-off meeting — If the first leg of the journey takes place before the starting date of the action (e.g. the day before the kick-off meeting), the costs may be eligible if the meeting is held during the action duration.Like any personnel costs, PhD costs (i.e. personnel costs of students) are eligible, provided they fulfil the EC’s conditions.
44 Indirect costsIndirect costs do not need supporting evidence because they are declared using a flat-rate ( new in Horizon 2020).Costs must be calculated according to the applicable accounting rules of the country in which the beneficiary is established and according to the beneficiary’s usual cost accounting practices.Example: if a beneficiary always charges a particular cost as an indirect cost, it must do so also for Horizon 2020 actions, and should not charge it as a direct cost.
45 These costs are reimbursed through the flat-rate for indirect costs What not?The following costs cannot be declared as direct costs (non-exhaustive list):rental, lease or depreciation of buildings or plants not directly used for the action (e.g. administrative buildings, headquarters)statutory audit and legal fees (not including costs of certificates required under the GA)office supplies and petty office equipment (purchased in bulk)other general services (cleaning, medical, library, services for publication, communication and connection, postage, dues and subscriptions, clothing, literature, transport, catering and similar items (i.e. items recorded by the beneficiary under the same account in the general ledger)management tasks and horizontal services (accounting and controlling, head office, corporate communications, HR and training, internal audit, management, quality management, strategic development, etc.);non-specific, non-activity-related or non-project-related costs (general): consumables, maintenance, general facilities management, conferences, hosted activities, security fees, insurance costs, general utilities, energy and water, and similar (i.e. items recorded by the beneficiary under the same account in the general ledger).These costs are reimbursed through the flat-rate for indirect costs
46 ReportingSet out in the grant agreement. The action is divided into the following ‘reporting periods’:RP1: from month 1 to month [X][- RP2: from month [X+1] to month [Y]RP3: from month [Y+1] to month [Z][same for other RPs]RPN: from month [N+1]to [the last month of the project].]Interim and Final- online (participant portal)Financial statement (template)Technical reportCertificate on the financial statements (audit report) for final only
47 Currency for financial statements and conversion into euro Financial statements must be drafted in euro.Beneficiaries [and linked third parties] with accounting established in a currency other than the euro must convert costs incurred in another currency into euro at the average of the daily exchange rates published in the C series of the Official Journal of the European Union, calculated over the corresponding reporting period.
48 IP Issues to consider ARTICLE 24 — AGREEMENT ON BACKGROUND ARTICLE 25 — ACCESS RIGHTS TO BACKGROUNDARTICLE 26 — OWNERSHIP OF RESULTSARTICLE 27 — PROTECTION OF RESULTS — VISIBILITY OF EU FUNDINGARTICLE 28— EXPLOITATION OF RESULTSARTICLE 29 — DISSEMINATION OF RESULTS — OPEN ACCESS — VISIBILITY OF EU FUNDINGARTICLE 30 — TRANSFER AND LICENSING OF RESULTS
49 Other Issues to consider EC reserves the right: checks, evaluations, auditsARTICLE 32 —RECRUITMENT AND WORKING CONDITIONS FOR RESEARCHERSARTICLE 33 — GENDER EQUALITYARTICLE 34 — ETHICSARTICLE 35 —CONFLICT OF INTERESTSARTICLE 36 —CONFIDENTIALITYARTICLE 37 — SECURITY-RELATED OBLIGATIONSARTICLE 38 —PROMOTING THE ACTION —VISIBILITY OF EU FUNDING
50 Internal/DST SupportIf need be, apply for DST seed funding for consortium development.Download application form at:Follow UCT’s internal process for research proposal sign off.All applications will be officially endorsed (if required e.g. commitment letters) by the Research Contracts and Innovation Office (RCIPs) at UCT. UCT participants must therefore ensure that they forward their applications to this office to allow sufficient time for the approval and endorsement process.The deadline for submission to RCIPS is a minimum of FIVE working days prior to the Horizon 2020 call deadline.Prior to this, approval of the budget should be sought from the concerned faculty's finance manager. In the case of the Faculty of Health Sciences, all applications need to be accompanied by a cleared FM002 (also known as a "C1") form.If no endorsement/approval required: Please log your application with RCIPS within five days after submission but still ensure that you have obtained faculty sign off on the budget (C1 form for FHS).Your RCIPS contact is Maghmuda Ockards:Roger Wallace is UCT’s legal representative for H2020.You are also welcome to contact the Research Office (Ms Renee Le Roux: tel: 021 ) should you require any advice on the research-related components of your application.