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: enabling industrial leadership
• How to become an evaluator
2
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
ERA-Wide projects,
specific for neighboring
countries
4
Horizon 2020:
Framework Programme
for Research and
Innovation
Europe 2020 Priorities
European Research Area
International cooperation
Shared objectives and principles
Tackling Societal Challenges
Creating Industrial Leadership and
Competitive Frameworks
Health, demographic change and wellbeing
Food sec., sust. agri., mar. res. & bioeconomy
 Leadership in enabling and industrial
Secure, clean and efficient energy
technologies (Nanotechnologies, Materials,
Smart, green and integrated transport
Production technologies, Biotech, …)
Supply of raw materials, resource efficiency
 Access to risk finance
and climate action
 Innovation in SMEs
Inclusive, innovative and secure societies
EIT will contribute to addressing these challenges
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Simplified access
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
Coherence with other
EU and MS actions
I. Horizon 2020 - introduction
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…)
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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
HORIZON 2020
II. Leadership in Enabling and Industrial Technologies (LEIT)
•
Priority 1: Excellent Science
•
Priority 2: Industrial Leadership
Leadership in enabling and industrial technologies (LEIT)
(i) ICT including micro- and nano-electronics and photonics
(ii) Nanotechnologies
(iii) Advanced Materials
This
Work Programme
(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
•
Priority 3: Societal Challenges
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II. Leadership in Enabling and Industrial
Technologies (LEIT)
LEIT in a nutshell:
 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
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II. Leadership in Enabling and Industrial
Technologies (LEIT)
Industrial mastering and deployment of Key Enabling Technologies (KETs)
What are KETs?
• Nanotechnologies
• Six strategic technologies
• Advanced Materials
• Driving competitiveness and
growth opportunities
• Photonics
• Contributions to solving societal
challenges
• Knowledge- and Capitalintensive
• Cut across many sectors
• Micro- and nano- electronics
• Biotechnology
• Advanced
Manufacturing
European KET Strategy:
• EC Communications
(2009)512 & (2012)341
• KET High-level Group
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III. Calls
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
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Useful links
•
•
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Participant Portal :
https://ec.europa.eu/research/participants/portal/page/home
Horizon 2020 documents
Support services
Evaluation experts
Calls for proposals: Pre-published Work Programmes
http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020documents
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http://ec.europa.eu/research/participants/portal/page/experts
INSERISCI COME REGISTRARSI
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Horizon 2020 vs FP7
Part-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 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)
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)
Submission deadline
Evaluation
Negotiation
phase
GA signature
process and
kick-off the
project
– Reduce financial error rate
• In FP7, though complicated and detailed audits and
rules; error rate is too high. (around %4)
Financial Error Rate
33%
40%
27%
Direct costs
Personnel costs
Indirect costs
•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
project)
€325.000 (only once at the end of the
• Possible auditing time after the project (5 to 2 years)
• Financial error rate %2 utmost (as in FP6)
Context of Simplification-2
• 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
Types of Action
%100 funding
• Grants for R&D
Funding Schemes
• Coordination and Supporting
Actions (CSA)
• Grants for Innovation
%70 funding
• Co-Funding Actions
• PCP
(Up to %100 for “non• PPI
profit legal entities”)
• Era-Net Plus actions
3 Phase Funding
•Prizes
• SME Instrument
FP7
RTD
Demo
Coord.
Other
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
Demo
Coord.
Other
SME
Max.
100 = Reimbursement
120
100 = 80
100 = 160 Rate
100 = 160
HORIZON2020 RTD
SME
Industry
Res. Org.
University
Other
100 = 125
100 = 87,5*
(*Innovation grants for profit organizations)