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Horizon 2020 vs FP7 Part -1

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?.

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Horizon 2020 vs FP7 Part -1

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  1. Horizon 2020 vs FP7Part-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. ERA-Wide projects, specific for neighboring countries

  5. Horizon 2020: Framework Programme for Research and Innovation Europe 2020 Priorities European Research Area International cooperation Shared objectives and principles • 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 • EIT will contribute to addressing these challenges • 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 Simplified access

  6. 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…)

  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. HORIZON 2020 II. Leadership in Enabling and Industrial Technologies (LEIT) • Priority 1: Excellent Science • Priority 2: Industrial Leadership This Work Programme • Priority 3: Societal Challenges

  9. 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

  10. II. Leadership in Enabling and Industrial Technologies (LEIT) Industrial mastering and deployment of Key Enabling Technologies (KETs)What are KETs? • Nanotechnologies • Advanced Materials • Micro- and nano- electronics • Photonics • Biotechnology • Advanced Manufacturing • Six strategic technologies • Driving competitiveness and growth opportunities • Contributions to solving societal challenges • Knowledge- and Capital- intensive • Cut across many sectors • European KET Strategy: • EC Communications • (2009)512 & (2012)341 • KET High-level Group

  11. III. Calls Work Programme topics • Structure reflects the challenge based approach • 3 key features : • Specific Challenge • sets context, problem to be addressed, why intervention is necessary • Scope • delineates the problem, specifies the focus and the boundaries of the potential action BUT without overly describing specific approaches • Expected Impact • describe the key elements of what is expected to be achieved in relation to the specific challenge

  12. Useful links • Participant Portal : • https://ec.europa.eu/research/participants/portal/page/home • Horizon 2020 documents • Support services • Evaluation experts Calls for proposals: Pre-publishedWork Programmes http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020-documents

  13. http://ec.europa.eu/research/participants/portal/page/expertshttp://ec.europa.eu/research/participants/portal/page/experts INSERISCI COME REGISTRARSI

  14. Horizon 2020 vs FP7Part-2 Firat Gedikli

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

  16. Work Programme and Calls

  17. 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 • …

  18. 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

  19. New Participant Portal

  20. Proposal Submission and Evaluation

  21. 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

  22. 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

  23. 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

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

  25. 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

  26. Model Grant Agreement

  27. 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

  28. 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

  29. 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

  30. Minimum Conditions and Eligibility for Funding

  31. 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

  32. 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

  33. Simplification

  34. 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)

  35. 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

  36. 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)

  37. 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

  38. Types of Action

  39. Funding Schemes • Prizes

  40. Max. Reimbursement Rate

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