Horizon 2020 rules for participation - Università degli Studi di ...

Horizon 2020
rules for participation
                                        Elena Maffia– maffia@apre.it
H2020 NCP – Europe in a changing worlds: inclusive, innovative and reflective societies
                                                                                 (SC6)
                      H2020 NCP – Spreading Excellence and Widening Participation

                                                                        www.apre.it

                              Cassino, 15 dicembre 2015
                                                                         APRE 2013

Rules for participation

                          2

DEFINIZIONI (art.2)

          Qualsiasi persona fisica o      ‘LEGAL ENTITY’
       giuridica, creata sulla base del                    Ammessa la partecipazione di
       diritto nazionale/comunitario/                      soggetti giuridici sprovvisti di
                Internazionale                                 personalita’ giuridica
       Purche’ dotata di personalita’
                   giuridica
                                                                                              NEW

                                           ‘NON-PROFIT        Un soggetto giuridico che
                   N.A.                   LEGAL ENTITY’
                                                            legalmente non distribuisce i
                                                             profitti tra i suoi membri o
                                                                        azionisti

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 ‘persona
     giuridica’ e, in particolare disporre della medesima capacità operativa e
     finanziaria.

WHICH COUNTRIES?
  All countries can participate
  BUT not all countries can be funded

    UE Member States  yes
    Associated Countries  yes
        (Albania, Bosnia and Herzegovina, Faroe Islands, Former Yugoslav Republic of
        Macedonia, Iceland, Israel, Moldova, Montenegro, Norway, Serbia, Switzerland, Turkey)
    Third Countries low/middle income  yes
        130 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 Canada
       China 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.pdf   5

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

Eligibility for funding
• 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

                                                                  7

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
•

                                                      GRANTs
  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

Types of Collaborative Projects (1)

    Research and
                                 Innovation Actions
 Innovation Actions
    Basic research, applied
      research, technology          Prototyping, testing,
        development and            demostrating, piloting,
   integration, and testing e       large - scale product
   validation on a small scale     validation and market
   prototype in a laboratory             replication
   or simulated environment

                                                       10

Types of Collaborative Projects (2)

     Research and
                       Innovation Actions
  Innovation Actions

                         Funding
    Funding
                          rate:
   rate: 100%
                        70%/100%

                                      11

Supporting Research

 Coordination and Support Actions
  accompanying measures such as standardisation,
        dissemination, awareness-raising and           Funding rate: 100%
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

                                                                  12

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

Fast Track to Innovation
 • 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

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 H2020
Small 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

INNOVATION ACTION - PROCEDURE
B. STRUMENTO PMI

    Concept & Feasibility            Demonstration                  Commercialisation
        Assessment                  Market replication                               Pre-Commercial
                                          R&D                                          Procurement
                                                                                     SME window EU
                                                                                    financial facilities
        Idea to concept,        Demonstration, prototyping,            Quality label for
        risk assessment,        testing , market replication,        successful projects,
   technological & commercial    scaling up, miniaturisation,       access to risk finance,
            feasibility                   research                     indirect support
      Lump sum: 50.000 €          1-3 (5) M€ contributo CE      Nessun finanziamento diretto
           ~ 6 mesi                   ~ 12 to 24 mesi

    Idea                    Sostegno continuo per l'intera durata            Mercato

Type of Action – Where?

 Work Programme

                          23

Type of Action – Where?

                          24

Research and Innovation Action

                         25

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

CRITERI DI SELEZIONE E ATTRIBUZIONE (Art. 15)

                                                 3 CRITERI
  Criterio 1

                                    Criterio 2

                                                               Criterio 3
               Eccellenza                        Impatto                    Qualità e
                                                                            efficienza
                                                                            dell’attuazione

            POSSIBILI BANDI CON PROCEDURA DI PRESENTAZIONE A DUE STEP
           ECCELLENZA, UNICO CRITERIO PER LE AZIONI ERC
           PESO PONDERATO CRITERIO ‘IMPATTO’ NELLE INNOVATION ACTION

Proposal Template

FUNDING OF THE ACTION (Art. 28)

                                                                 NEW
                          UNIQUE REIMBURSEMENT % FOR
                           THE ACTION, NO DISTINCTION
                              AMONG BENEFICIARIES
                          • 100% (cd. RESEARCH & INNOVATION
                                           action)
                            • 70% INNOVATION action ( excepti
                            no-profit entities 100%) e CO-FUND

INDIRECT COST (Art. 29)

                                                            NEW

                            Flat rate 25% on direct cost
                          (EXCLUDING SUBCONTRACTING AND
                            COST RELATED TO THIRD PARTIES
                              RESORCES MADE AVAILABLE,
                             NOT IN THE PREMISES OF THE
                                    BENEFICIARY, )

CERTIFICATE ON FINANCIAL STATEMENT (Art. 34)

                                                                         NEW
       When the ceiling of EC
    CONTRIBUTION is reached ≥                    AT THE END OF THE
               375.000€                        PROJECT , FOR AMOUNT
     (one CFS aat the end of the               REPORTED (ONLY real costs
    project if the action has 2 or             & unit costs, NO lump sum &
       less reporting period )                   flat rate ) ≥ 325.000€

EX POST AUDITS

 WITHIN 5 YEARS           WITHIN 2 YEARS
FROM THE END OF         FROM THE PAYMENT
  THE PROJECT             OF THE BALANCE

SELECTION AND AWARD CRITERIA (Art. 15)

                            FINANCIAL VIABILITY CHECK

        ALL COORDINATOR &                       ONLY COORDINATOR FOR NEW
       BENEFICIARIES WITH EC                     ACTION REQUESTING EC
     CONTRIBUTION > 500.000€,                   CONTRIBUTION > 500.000€,
                  PLUS                                    PLUS
      BENEFICIARIES WITH DOUBTFUL                  BENEFICIARIES WITH
       FINANCIAL CAPACITY (AT EC                  DOUBTFUL FINANCIAL
              DISCRETION)                           CAPACITY (AT EC
                                                      DISCRETION)

PARTICIPANT PORTAL

The Horizon 2020 is the EU’s largest instrument for
             funding research and innovation
       •3 Internet portals related to the H2020 are currently
                              available:
• 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/

                                                                         40

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

                 ECAS                                          IAM
            Single sign-on
       (1 ECAS account = 1 e-mail
                                          +        Access rights based
           address = 1 person)
                                                   on role authorisation

                                          =
                      Personalised services
                     on the Participant Portal

•   Brings homogeneity, transparency and better service integration
    for grant management.
                                                                           41

ECAS login or
Public access
                 registration

                                42

Personalised access
                      Personalised access
  to the IT tools
                      to the user account

                                            43

Participant Portal services: overview
                   Funding Opportunities

                     How to Participate

                          Experts

                          Support

                     My Organisation(s)

                      My Proposal(s)
   Personalised
     services

                       My Project(s)

                     My Notification(s)

                      My Expert Area
                                           44

Horizon 2020 calls (2014-2020)

Other calls not directly managed through the Participant
                          Portal

                  FP7 & CIP calls (2007-2013)

Find relevant topics
using 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

                             49

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.

Following a confirmation you can log in to the Portal.

Important: ECAS credentials are strictly confidential!

                                                         50

Make sure the selected domain
                is “External”

Enter your username or e-mail address
         and your password

      Click on the “Login!” button

                 The Login page (ECAS authentication) appears

                                                                51

PARTICIPANT PORTAL
ECAS ACCOUNT

You are now logged in to the Participant Portal.

Your personal folders are available on the left hand side.

                                                             53

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

         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…)

       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.html
                             Presuppone 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 Entity
                                        Authorized Representative)

PARTICIPANT PORTAL
PIC

PIC

PART A
     Administrative

 PART B
Technical

FUNDING GUIDE FOR THE
                SUBMISSION

Participant Portal/How To Participate

GRAZIE PER L’ATTENZIONE!