APRE 2013

www.apre.it

Horizon 2020 rules for participation

Elena Maffia– maffia@apre.itH2020 NCP – Europe in a changing worlds: inclusive, innovative and reflective societies

(SC6)

H2020 NCP – Spreading Excellence and Widening Participation

Cassino, 15 dicembre 2015

mailto:maffia@apre.it

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Rules for participation

DEFINIZIONI (art.2)

Ammessa la partecipazione di soggetti giuridici sprovvisti di

personalita’ giuridica

Un soggetto giuridico che legalmente non distribuisce i

profitti tra i suoi membri o azionisti

‘LEGAL ENTITY’

‘NON-PROFIT LEGAL ENTITY’ N.A.

Qualsiasi persona fisica o giuridica, creata sulla base del diritto nazionale/comunitario/

Internazionale Purche’ dotata di personalita’

giuridica

NEW

SOGGETTI PRIVI DI PERSONALITA’ GIURIDICA

CONDIZIONI DI AMMISSIBILITA’

REQUISITI FISSATI DALL’ART. 131 DEL REGOLAMENTO FINANZIARIO E DALL’ART. 198 DELLE SUE REGOLE DI

APPLICAZIONE:• i rappresentati dell’entità devono provare di avere la capacità di

assumere obbligazioni legali in rappresentanza dell’entità stessa;• l’entità deve offrire garanzie per la protezione degli interessi finanziari

dell’Unione Europea equivalenti a quelle offerte da una ‘personagiuridica’ e, in particolare disporre della medesima capacità operativa e

finanziaria.

WHICH COUNTRIES?

5http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-3cpart_en.pdf

All countries can participateBUT not all countries can be funded

UE Member States yes Associated Countries yes

(Albania, Bosnia and Herzegovina, Faroe Islands, Former Yugoslav Republic ofMacedonia, Iceland, Israel, Moldova, Montenegro, Norway, Serbia, Switzerland, Turkey)

Third Countries low/middle income yes130 Developing Countries and Emerging Economies

Industrialized Countries no(eg: USA+ Japan + Australia + BRIC + Messico)Available local support for H2020 participants from non-EU countries Brazil CanadaChina India Japan Mexico Russia Republic of Korea South Africa USA

http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/international-cooperation_en.htm#countries

http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-3cpart_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_brazil_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_canada_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_china_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_india_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_japan_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_mexico_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_russia_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_korea_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_southafrica_en.pdfhttp://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_usa_en.pdfhttp://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/international-cooperation_en.htm#countries

Switzerland

from 15 September 2014

ASSOCIATED: ERC, MARIE SKŁODOWSKA-CURIE, FET,

INFRASTRUCTURE,

SPREADING EXCELLENCE

AND WIDENING

PARTICIPATION, EURATOM

THIRD COUNTRY (ALL

OTHER PROGRAMMES)

www.h2020.ch

http://www.h2020.ch/

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• Legal Entities

• EU Member States

• Associated countries to Horizon 2020

• Other bodies identified in the Work Programme

• Entities created under Union law (Joint Research Centre)

• International European interest organisation

• Other entities may receive funding if:

– participation is essential or

– such funding foreseen in bilateral arrangement between the Union and third country/international organisation

Eligibility for funding

Who can participate - Organizations

Some ideas

• Universities• Public Research Centers• Private Research Centers• Industry• SMEs• Public Administrations• Organizations from civil society• Etc.

Types of actions

• Research and innovation actions• Innovation actions• Coordination and support actions• SME instrument % FTI• ERANET Co-fund• Pre-commercial procurement (PCP) Co-fund• Public procurement of innovative solutions (PPI)

Co-fund• Prize

Disclaimer : legally not binding

GR

AN

Ts

Types of Collaborative Projects (1)

Research and Innovation Actions

Basic research, appliedresearch, technology

development and integration, and testing e validation on a small scale prototype in a laboratoryor simulated environment

Innovation Actions

Prototyping, testing, demostrating, piloting,

large - scale productvalidation and market

replication

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Research and Innovation Actions

Fundingrate: 100%

Innovation Actions

Fundingrate:

70%/100%

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Types of Collaborative Projects (2)

Supporting Research

Coordination and Support Actions

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%

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Eranets Cofound• The main and compulsory activity of the ERA-NET Cofund under Horizon

2020 is the implementation of the co-funded joint call for proposals that leads to the funding of transnational research and/or innovation projects. The call is normally based on a call for proposals resulting in grants to third parties, but may also cover calls for proposals for governmental lump sum research organisations based on in-kind contributions from their institutional funding. In this case the beneficiaries carry out trans-national projects partially or fully themselves. The inkind contributions are the resources allocated as direct expenditure in the selected transnational projects that are not reimbursed by the Union contribution.

• Funding rate: The Union contribution will be limited to a maximum of 33% of the total eligible costs of the action. The Union contribution to the costs for support to trans-national projects is limited to one call per grant agreement

In SC6

REV-INEQUAL-2016-3 Dynamics of inequalities across the life-course

CULT-COOP-2017-10 Culture, integration and European public space

Pre-Commercial Procurement (PCP) Cofund actions

The objective of a PCP action is to enable the public sector as a technologically demanding buyer to encourage research, development and validation of breakthrough solutions that can bring radical quality and efficiency improvements in areas of public interest.

Funding rate: max 90% (NEW)

Public Procurement of Innovative Solutions (PPI) Cofund actions

• The objective of a PPI action is to reinforce early deployment of innovative solutions that address challenges of public interest. The aim is to enable trans-national buyer groups of procurers to share the risks of acting as early adopters of innovative solutions and to overcome the fragmentation of demand for innovative solutions in Europe. Each PPI action focuses on one concrete unmet need that is shared by the participating procurers and requires the deployment of innovative solutions that are to a significant extent similar across countries and are therefore proposed to be procured jointly

• Funding rate: max 35% (NEW)

Fast Track to Innovation Objectives:

• Increase the participation of industry, SMEs and first time applicants in Horizon 2020

• Stimulate private sector investment in research and innovation

• Promote research and innovation with a focus on value creation and accelerate the development of technologies into innovative products, processes and services

• Means: Full-scale pilot starting in 2015 • In-depth assessment as part of interim evaluation

Horizon 2020

• Follows bottom-up logic (within SC and LEITs)

• One common call, permanently open, 3 cut-offs per year

• Time-to-grant 6 months

• Funds innovation actions (70%), grant up to €3 mn

• Allows consortia of min. 3, max. 5 members — mandatory industry involvement

• Impact criterion has higher weighting in evaluations

• Budget: €200 mn for 2015/2016 (100 + 100) — ca. 100 projects with average EU contribution of €2 mn

• Future of pilot (beyond 2016) only decided after full evaluation

Fast Track to Innovation

•- Mandatory industry involvement can consist in the following…:

• … either at least 60% of the overall budget of the proposal must be allocated to consortium partner(s) from industry

• … or the minimum number of industry participants must be 2 in a consortium of 3 or 4 partners, and 3 in a consortium of 5 partners.

- Proposals shall include a business plan (market development strategy)

- SMEs and first-time industry applicants particularly welcome

Fast Track to Innovation

PREMI• Recognition prizes (Nobel Prize, DG INFSO's "ICT

Prize", …) = riconoscimento di meriti scientifici

• Inducement Prizes = competizione che attribuisce un premio al raggiungimento di un obiettivo specifico (Ortieg Prize, Ansari X-Prize, …). L’importo del premio non è legato al costo di realizzo dell’obiettivo

SMEs in H2020Small and medium enterprises (SMEs) – a key source of jobs and innovation – receive special attention in Horizon 2020. They can collaborate in projects as part of a consortium and can receive support through a dedicated instrument designed specifically for highly innovative smaller companies. The integrated and streamlined character of Horizon 2020 will boost SME participation to at least 20 % (€8.65 billion) of the total combined budgets of the ‘Leadership in enabling and industrial technologies’ and the ‘Societal Challenges’ themes. The SME instrument will be pivotal in achieving this target by providing support to help single SMEs, or consortia of SMEs, assess the market viability of their ideas at the high-risk stage, and then to help them develop these ideas further. Funding is also available for business coaching and guidance on how to identify and attract private investors. Funding: At least €3 billion allocated to the SME instrument

Concept & FeasibilityAssessment

DemonstrationMarket replication

R&D

Commercialisation

Idea to concept, risk assessment,

technological & commercial feasibility

Demonstration, prototyping, testing , market replication, scaling up, miniaturisation,

research

Quality label for successful projects,

access to risk finance, indirect support

Sostegno continuo per l'intera durata MercatoIdea

Pre-Commercial Procurement

SME window EU financial facilities

INNOVATION ACTION - PROCEDURE

B. STRUMENTO PMI

Lump sum: 50.000 €

~ 6 mesi

1-3 (5) M€ contributo CE

~ 12 to 24 mesi

Nessun finanziamento diretto

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Type of Action – Where?

Work Programme

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Type of Action – Where?

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Research and Innovation Action

STANDARD ELIGIBILITY CRITERIA

ELIGIBILITY CRITERIA-1

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.• Research & innovation action

• innovation action

• ERA-NET Cofund

• Pre-commercial procurement (PCP) Cofund

• Public procurement of Innovative solutions (PPI) Cofund

ELIGIBILITY CRITERIA - 2

One legal entity established a Member State or associated country

Coordination support action

SME Istruments

3 CRITERI

POSSIBILI BANDI CON PROCEDURA DI PRESENTAZIONE A DUE STEPECCELLENZA, UNICO CRITERIO PER LE AZIONI ERCPESO PONDERATO CRITERIO ‘IMPATTO’ NELLE INNOVATION ACTION

Cri

teri

o 1 Eccellenza

Cri

teri

o 2 Impatto

Cri

teri

o 3 Qualità e

efficienza dell’attuazione

CRITERI DI SELEZIONE E ATTRIBUZIONE (Art. 15)

Proposal Template

FUNDING OF THE ACTION (Art. 28)

UNIQUE REIMBURSEMENT % FOR THE ACTION, NO DISTINCTION

AMONG BENEFICIARIES• 100% (cd. RESEARCH & INNOVATION

action)• 70% INNOVATION action ( exceptino-profit entities 100%) e CO-FUND

NEW

INDIRECT COST (Art. 29)

Flat rate 25% on direct cost(EXCLUDING SUBCONTRACTING AND

COST RELATED TO THIRD PARTIESRESORCES MADE AVAILABLE,NOT IN THE PREMISES OF THE

BENEFICIARY, )

NEW

CERTIFICATE ON FINANCIAL STATEMENT (Art. 34)

When the ceiling of EC CONTRIBUTION is reached ≥

375.000€(one CFS aat the end of the project if the action has 2 or

less reporting period )

AT THE END OF THE PROJECT , FOR AMOUNT REPORTED (ONLY real costs& unit costs, NO lump sum &

flat rate ) ≥ 325.000€

NEW

EX POST AUDITS

WITHIN 5 YEARS FROM THE END OF

THE PROJECT

WITHIN 2 YEARS FROM THE PAYMENT

OF THE BALANCE

SELECTION AND AWARD CRITERIA (Art. 15)

FINANCIAL VIABILITY CHECK

ALL COORDINATOR & BENEFICIARIES WITH EC

CONTRIBUTION > 500.000€,PLUS

BENEFICIARIES WITH DOUBTFUL FINANCIAL CAPACITY (AT EC

DISCRETION)

ONLY COORDINATOR FOR

ACTION REQUESTING EC

CONTRIBUTION > 500.000€, PLUS

BENEFICIARIES WITH

DOUBTFUL FINANCIAL

CAPACITY (AT EC DISCRETION)

NEW

PARTICIPANT PORTAL

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The Horizon 2020 is the EU’s largest instrument for funding research and innovation

•3 Internet portals related to the H2020 are currentlyavailable:

• RESEARCH on EUROPA: political information• http://ec.europa.eu/research/index.cfm

• PARTICIPANT PORTAL: interactions with participants•http://ec.europa.eu/research/participants/portal/desktop/en/home.html

• CORDIS: dissemination of FP7 results• http://cordis.europa.eu/fp7/

http://ec.europa.eu/research/index.cfmhttp://ec.europa.eu/research/participants/portal/desktop/en/home.htmlhttp://cordis.europa.eu/fp7/

Research Participant Portal

• Unique entry point for the interactions with the European Commission or Agencies in handling grant-related actions, based on:

ECASSingle sign-on

(1 ECAS account = 1 e-mail address = 1 person)

IAMAccess rights based on role authorisation

Personalised services on the Participant Portal

• Brings homogeneity, transparency and better service integration for grant management.

+

=

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Public accessECAS login or registration

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Personalised access to the IT tools

Personalised access to the user account

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Participant Portal services: overview

Funding Opportunities

Experts

Support

How to Participate

My Organisation(s)

My Proposal(s)

My Project(s)

My Notification(s)

My Expert Area

Pe

rso

nal

ised

serv

ice

s

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Horizon 2020 calls (2014-2020)

Other calls not directly managed through the Participant Portal

FP7 & CIP calls (2007-2013)

Find relevant topicsusing the keyword search…

…or the free text search

Some calls and topics are grouped according to predefined criteria

Browse the calls by exploring the H2020 structure

Register or log in to your ECAS account

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Check your mailbox, a confirmation e-mail will arrive within a few minutes.

This process must be completed within 1 hour and a half after the original request.

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Following a confirmation you can log in to the Portal.

Important: ECAS credentials are strictly confidential!

The Login page (ECAS authentication) appears

Make sure the selected domain is “External”

Click on the “Login!” button

Enter your username or e-mail address and your password

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PARTICIPANT PORTAL

ECAS ACCOUNT

You are now logged in to the Participant Portal.

Your personal folders are available on the left hand side.

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Obtaining PIC• MY ORGANISATION REGISTER START REGISTRATION

• STEP 1: ECAS account

• STEP 2: Start the registration of an organisation

• basic legal information (Registration extract, VAT data) of your organisation needed

• STEP 3: Finalise the organisation registration and receive a PIC number

PARTICIPANT PORTAL

PIC

Si ottiene tramite registrazione online tramite la cd. Unique Regitration Facility, ospitata dal Participant Portal:

https://ec.europa.eu/research/participants/portal//desktop/en/organisations/register.htmlPresuppone validazione dell’ente da parte della CE Obbligatorio in fase di preparazione del GA

I dati associati al PIC possono essere modificati/aggiornati solo tramite il LEAR (Legal EntityAuthorized Representative)

Codice Identificativo del Partecipante (9 CIFRE) cui sono associati i dati amministrativo-finanziari

(dati amm.vi dell’ente, status giuridico, metodo di calcolo dei costi indiretti, etc…)

https://ec.europa.eu/research/participants/portal/desktop/en/organisations/register.html

PARTICIPANT PORTAL

PIC

PIC

PART AAdministrative

PART BTechnical

FUNDING GUIDE FOR THE SUBMISSION

Participant Portal/How To Participate

GRAZIE PER L’ATTENZIONE!