HORIZON 2020 HORIZON 2020

Procedures, applications, financial rules in H2020

Matthijs SOEDE Research Programme Officer Unit K3 New and Renewable Energy Sources DG Research and Innovation

Major Simplification for the benefit of applicants

1. A single set of rules for all funding under Horizon 2020

Fewer, more flexible, funding instruments

2. Simpler reimbursement: 1 project = 1 funding rate

100% of the total eligible costs (70% for innovation actions)

Non-profit legal entities can also receive 100% in innovation actions

Single flat rate for indirect costs (25% of eligible costs)

3. Faster time to grant

Within 8 months of call deadline

Major Simplification for the benefit of applicants

4. Fewer, better targeted controls and audits

5. Coherent implementation

Through dedicated agencies

Single IT system

6. Simplification in grant agreements

Keeping flexibility where needed.

•A single set of rules

etc.

EU Financial Regulation

Specific rules for participation

Covering all H2020 research and innovation actions

EU Financial Regulation

Specific rules for participation

•Innovation,

•Simplification

•and Coherence

•Rules for participation: Three main objectives

RfP

Horizon

2020

Coherence Simplification

Innovation

•Conditions for Participation

Minimum conditions Standard collaborative actions

At least three legal entities each established in a different Member State or an Associated Country;

ERC, SME instrument, programme co-fund, coordination and support, training and mobility actions:

One legal entity established in a Member State or in an Associated Country.

Additional Conditions

In the work programme or work plan.

WE KEEP

Use of Grant Agreements

Actual costs

•Forms of funding - I

What is Specific provisions targeting innovation:

• pre-commercial procurement,

• procurement of innovative solutions

• and inducement prizes.

Forms of funding - II

NEW

Financial instruments:

• a debt financial instrument,

• a financial instrument providing equity finance for R&I, etc.

Possibility of output-based grants (lump-sums per project).

Enhanced use of other lump-sums, flat rates and unit costs.

One project = One rate For all beneficiaries and all

activities in the grant.

Defined in the Work Programme:

‒ Up to 100 % of the eligible costs;

‒ but limited to a maximum of 70 %

for innovation projects (exception for

non-profit organisations - maximum

of 100%).

(*) Research and technological development includes scientific coordination.

(**) For beneficiaries that are non-profit public bodies, secondary and higher

education establishments, research organisations and SMEs

(***) The reimbursement of indirect eligible costs, in the case of coordination

and support actions, may reach a maximum 7% of the direct eligible costs,

excluding the direct eligible costs for subcontracting and the costs of

resources made available by third parties which are not used on the premises

of the beneficiary.

(****) Including research for the benefit of specific groups (in particular

SMEs)

Maximum

reimbursement rates

Research and

technological

development

activities (*)

Demonstration activities

Other

activities

Network of

excellence 50%

75% (**) 100%

Collaborative

project(****) 50%

75% (**) 50% 100%

Coordination

and support

action

100% (***)

A single funding rate

FP7

Personnel costs

Wider acceptance of average personnel costs

Acceptance of supplementary payments

for non-profit organisations of up to 8000 euros/year/person

Simplifying participation for SMEs

Less requirements for time records

…and more in the Horizon 2020 Grant Agreement

Cost reimbursement

Single indirect cost model

20% ? 60% ?

Real ?

Simplified?

Single model: 25 % Flat Rate

FP7

An example

New funding model: what impact on the EU contribution?

Direct costs

Indirect costs

Total costs

% EU contribution

EU contribution

Flat-rate (60%) 100 60 160 75% € 120

Actual Cost (90%) 100 80 180 75% € 135

Direct costs

Indirect costs

Total costs

% EU contribution

EU contribution

100/25 Funding 100 25 125 100% € 125

FP7 Majority of HES & RTOs

SELECTION CRITERIA

a)Financial capacity – In line with the Financial Regulation and the Rules for Participation. At the proposal stage, coordinators will be invited to complete a self-assessment using an on-line tool.

a)Operational capacity – As a distinct operation, carried out during the evaluation of the award criterion ‘Quality and efficiency of the implementation’, experts will indicate whether the participants meet the selection criterion related to operational capacity, to carry out the proposed work, based on the competence and experience of the individual participant(s).

Evaluation - I

Evaluation - II

Proposal evaluated by the experts “as it is”

and not as “what could be” = no need for negotiation

Innovation actions higher weighting for "IMPACT"

STANDARD AWARD CRITERIA

QUALITY & EFFICIENCY

OF THE ACTION IMPACT EXCELLENCE

ERC frontier Research actions only EXCELLENCE

AWARD CRITERIA

PROPOSAL SCORING (half point scores may be given)

0 Proposal fails to address the criterion or cannot be assessed due to missing or incomplete information

1 Poor. The criterion is inadequately addressed, or there are serious inherent weaknesses

2 Fair. Proposal broadly addresses the criterion, but there are significant weaknesses

3 Good. Proposal addresses the criterion well, but a number of shortcomings are present

4 Very Good. Proposal addresses the criterion very well, but a small number of shortcomings are present

5 Excellent. Proposal sucefully addresses all relevant aspects of the criterion. Any shortcomings are minor.

Evaluation - III

Part B Excellence

1.1 Objectives

1.2 Relation to the workprogramme

1.3 Concept and approach

1.4 Ambition

Impact

2.1 Expected impacts

2.2 Measures to maximize impact

a) Dissemination and exploitation of results

b) Communication activies

Implementation

3.1 Project Plan

3.2 Management Structure and procedures

3.3 Consortium as a whole

3.4 Resources to be committed

•Time to grant: speeding up the process - I

A maximum TTG of 8 months

5 months for informing all applicants

on scientific evaluation

3 months

for signature of GA

Some exceptions apply

Time to grant: speeding up the process - II

How to speed up the process No more negotiations:

each proposal evaluated 'as it is',

not as 'what could be';

Legal entity validated in parallel.

No more paper: e-communication & e-signature of grants.

Horizon 2020 model Grant Agreement Objectives

Simplification

• Provisions

• Wording

Flexibility

• To accommodate

particularities

• Usual cost accounting practices

Coherence

• Within H2020 and with other EU programmes

Continuity

• Where possible and adequate

Horizon 2020 model Grant Agreement A single document with all provisions

FP7

Core text

Special clauses

General

conditions Annex II

Specific provisions Annexes III

Simpler access

• Participant Portal: Single entry point from calls to electronic submission of proposals

• New tools for smart searches for the benefit of users, including newcomers to the programme.

What is Additional exploitation

/dissemination obligations

(in the work programme)

Open access:

• obligatory for scientific publications and,

• to research data (in appropriate areas and when foreseen in the work programme)

Access rights:

• for the Union, all parts of the programme

• for MS under 'Secure societies',

Specific provision:

• for pre-commercial public procurement and

• for procurement of innovative solutions

Intellectual Property Rights

NEW

Controls and Audits

Financial viability

Restricted to coordinators for projects ≥ €500 k€

Audit certificates

Only for final payments/per beneficiary /for actual costs ≥ €325 000 €

Optional Certificates on average personnel costs

Ex-post audits

Provisions in Horizon 2020 Regulation!

Commission's audits up to two years after payment of the balance

Audit strategy focused on risk and fraud prevention

Extrapolation New Financial Regulation will apply

Continuity with FP7

Guarantee Fund

For official information:

• Participant Portal http://ec.europa.eu/research/participants/portal/desktop/en/home.html

• Helpdesk http://ec.europa.eu/research/enquiries

• Learn more about Horizon 2020 http://ec.europa.eu/horizon2020

HORIZON 2020

Thank you very much for your attention!

Find out more: www.ec.europa/research/horizon2020