Horizon2020 Introduction for US Participants

AUSTRIAN RESEARCH PROMOTION AGENCY FFG
THE STRONG PARTNER IN R&D:
Österreichische Forschungsförderungsgesellschaft | Sensengasse 1 | 1090 Wien | www.ffg.at 1
Major national funding agency
addressing the innovation base of the Austrian
business sector focus on applied research
Comprehensive portfolio of funding instruments
both for innovation-newcomers and innovation
champions
Mobilisation and support of industry and science
for participation in European programmes (e.g.
FP7, H2020, EUREKA, etc.)
Budget 2014: 508 million EUR
Staff 2014: 250 headcounts
Yearly: 3.000 projects involving
5.500 partners
>> Access to the entire Austrian R&D Community!

EUROPEAN AND
INTERNATIONAL PROGRAMMES
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§  Enhancing the Austrian
participation in European and
international funding programmes
§  Support of Austrian researchers
in industry and science
§  Establishing contacts with international
R&D networks
§  Monitoring Austrian participation in
EU Framework Programme
§  Horizon 2020
National Contact Point
§  Austrian EUREKA Contact Point
§  Enterprise Europe Network Office
§  National competence and
service centre for European
and international R&D
programmes and initiatives
§  Professional information and counselling
on all programmes by competent national
contact points
§  FFG training academy
Austrian Research Promotion Agency | Sensengasse 1 | 1090 Vienna | www.ffg.at

Services:
•  Supporting the EU-U.S. STI policy
dialogue
•  Raising awareness on research
and innovation opportunities
•  Fostering innovation partnerships
•  Enhancing EU-U.S. research
partnerships
•  Communicating and disseminating
relevant H2020 data and information
Consortium:
•  9 European partners
DLR (Germany), FFG (Austria),
inno TSD (France), Biocat (Spain),
AKA (Finland), Intrasoft International
(Belgium), RCN (Norway), IPPT PAN
(Poland), TUBITAK (Turkey)
•  4 US partners:
DMI, FIU, NCURA, CTR
DLR Contact:
Olaf Heilmayer Olaf.Heilmayer@dlr.de
Vera Kammann vera.kammann@dlr.de
FFG Contact:
Ralf König ralf.koenig@ffg.at
Elli B. Tzatzanis-Stepanovic elli.stepanovic@ffg.at
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www.euussciencetechnology.eu

Two previous complementary projects fostering the
strategic U.S. – EU S&T cooperation
Link2US
Participation of
EU Teams
in
U.S. Programes
BILAT-USA
Trans-atlantic Dialogue
Platform,
Information, Awareness,
Cooperation, Projects,
Participation of U.S. Teams
in FP7
§  http://www.earma.org/Resources/Documents/EARMA%20Conference%20Presentations/Vienna
%202013/01-07-KOENIG-BILAT-USA__FFG-PRE_101.pdf
§  << Executive Summary>>
http://archive.euussciencetechnology.eu/uploads/news/Executive%20summary_STE.pdf
§  <<Report>> Analysis of Existing Instruments, Regulations and Obstacles for U.S participation in
the 7th Framework Programme
http://archive.euussciencetechnology.eu/news/show?id=269
http://archive.euussciencetechnology.eu

Overview
•  What is Horizon 2020? – Structure, Budget
•  What is new? – Main changes to FP7
•  How to participate? – Possibilities for US org., general
rules for participation, main funding instruments
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USA: One of the most successful cooperation
partner country in FP7*
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particularly successful in Health | ICT | Food, Agriculture, Fisheries, Biotechnology | Energy
* signed projects, October 2014
U.S. Partners
•  514 participations
•  € 81,9 million
($ 92,8 million)
financial EU
contributions

USA: One of the most successful cooperation
partner country in Horizon 2020*
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* submitted proposals, October 2014
U.S. Partners
•  28 retained
proposals (from 100)
•  35 US applicants
•  € 358.361 ($ 405.934)
requested EU
contribution

What is Horizon 2020?
A core part of Europe 2020 Strategy à Innovation Union
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What is Horizon 2020?
•  A €80 billion research and innovation funding
programme (2014-2020)
•  A single programme bringing together three formerly
separated programmes/initiatives (FP7/CIP/EIT).
•  Coupling research to innovation
from research to retail, all forms of innovation.
•  Focus on societal challenges facing EU/world society.
•  Simplified access for all organisations in all EU countries
and beyond => openess for international cooperations.
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Horizon 2020 – Structure
1. European Research
Council (ERC)
2. Future and Emerging
Technologies (FET)
3. Marie Sklodowska Curie
4. Research Infrastructures
1. LEIT = Leadership in
Enabling and Industrial
Technologies incl KET
- ICT
- Nanotechnologies
- Advanced material
- Biotechnology
- Advanced
manufacturing
- Space
2. Access to Risk Finance
3. Innovation in SMEs
1. Health, Demographic Change
2. Food Security, Agriculture and
Forestry, Marine, Maritime
Research, Bioeconomy
3. Energy
4. Transport
5. Climate, Environment,
Resource Efficiency and Raw
Materials
6. Inclusive, Innovative and
reflective Societies
7. Secure Security
Excellent Science
€ 24.4bn
Industrial
Leadership
€17bn
Societal Challenges
€ 29.7bn
•  Widening Participation
•  Science with and for Society
•  European Institute of Innovation and Technology (EIT)
•  Joint Research Centre (JRC)

H2020 Retained proposals with
US Higher or secondary education (HES)
participation
Marie Sklodowska-Curie actions = 21 US HES
Leadership in enabling and industrial technologies = 3 US HES
Information and Communication Technologies = 1 US HES
Space = 2 US HES
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Evaluation of proposal – standard award criteria
ü  ERC frontier research actions = „only excellence“
ü  Innovation actions = higher weighting for „impact“
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Excellence Impact
Quality +
Efficiency
of the
action

Horizon 2020 – Budget
€15 billion over
first two years (calls 2014-15)

Horizon 2020 and partnering –
Public Private Partnerships
Public private partnerships
•  Through Joint Technology Initiatives or other formal
structures
•  Through contractual agreements, which provide inputs for
work programmes
Public public partnerships
•  Through «Co-fund» for topping up individual calls/actions
(replacing current ERA-Net, ERA-Net Plus)
•  Through participation in joint programmes between Member
States
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Lessons Learned from first Horizon 2020 Calls
Updated preliminary statistics for 2014:
•  Calls/topics with total budget of over €8 billion closed
•  Average oversubscription around 7 times available budget
•  Some 2100 eligible proposals retained in already evaluated
calls/topics with a requested total budget of €5 billion
•  Time-to-grant so far respected in vast majority of cases
First comprehensive statistics on 2014 calls/topics will be
available at the end of March 2015.
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Timetable towards the adoption
of the Work programme 2016-2017
• 
2015
Jan – May Preparation of draft WP parts, prepared on basis of Strategic
Programming Document, including discussion with PC configurations on
basis of drafts
June Inter-service consultation
July Opinions of PC configurations
September Adoption of the WP for 2016-2017 + publication of the calls for
proposals
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Overview
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What is new? Main changes
•  EU Financial Regulation and Rules for
participation are valid for all H2020
components (e.g. EIT, JTI, Article 185…);
exceptions are possible where necessary.
•  Standard funding rates for all project
participants and activities
=> (one funding rate per project)
•  25% flat rate for
indirect costs
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•  Shortening of the average „time-to-grant“ => 8 mth
•  Simplified controls and audits
- ex-post audit strategy => emphasis on risk-based
control and fraud detection
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5 mths from deadline:
Information about evaluation
results
3 more
mths:
Contract

•  Simplification of time-recording
Abolition for staff working exclusively on an EU project
•  Open Access
- as basic principle for peer-reviewed scientific publications
- pilot for scientific data
•  Electronic signature
of grants, amendments and cost reporting
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Overview
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How to participate?
Minimum criteria for participation
•  Standard conditions:
a minimum of three mutually independent legal entities
from different EU Member States or Associated Countries
•  Exceptions:
ERC, Coordination/Support Actions, SME-Instrument...:
at least one legal entity
•  Additional eligibility criteria:
possibly applicable in accordance with Work Programme
or Work Plan
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How to participate?
Funding for partners from third countries
Applicants from non-EU countries
are always free to take part in Horizon 2020.
Automatically funded countries
=> specified in the Work Programme
„Industrialised Countries“ (USA, …), BRIC and Mexico
=> no automatic funding, except in the case of:
ü  Funding is explicitly foreseen in the relevant call text or
ü  Participation is deemed essential for the realisation of the
project (outstanding competence/expertise, access to research infrastructure,
access to particular geographical environments, access to data) or
ü  Existing bilateral S&T agreement
http://ec.europa.eu/world/agreements/prepareCreateTreatiesWorkspace/treatiesGeneralData.do?step=0&redirect=true&treatyId=3141
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US-partners are eligible
under all topics in calls under
the Societal Challenge
‘Health, demographic
change and well-being’.

How to participate?
Main funding Instruments
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Funding actions Funding rates
Research and Innovation action 100 %
Innovation action („close to market“)
funds new, modified or improved products, processes or services
- creating protypes, tests, demonstrations, pilot projects, large-scale
product validation and developing marketability
70 %
100 % for NPO
European Research Council (ERC) 100 %
Marie Skłodowska-Curie action 100 %
SME Instrument 70 %
And some more: Prizes, Pre-Commercial Procurement,
Public Procurement of Innovative Solutions, Co-fund

Funding rate for
“Research and Innovation actions“
•  Indirect costs:
25 % of the direct, eligible costs
(except subcontracting + third parties in-kind contribution not
used on the beneficiaries premises)
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Direct
Costs
Indirect
Costs
Total Funding
rate
Funding
100 € 25 € 125 € 100 % 125 €
Direct
Costs
Indirect
Costs
Funded 100%

Funding rate for
„Innovation actions“
•  Indirect costs:
25 % of the direct, eligible costs
(except subcontracting + third parties in-kind contribution not
used on the beneficiaries premises)
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Direct
Costs
Indirect
Costs
Generally funded 70 %
„non-profit“ org.: 100 %
Type of
organisation

Direct
costs

Indirect
costs

Total
Funding
rate

Funding

General
100 €
25 €
125 €
70 %
87,5 €

Non profit org.
100 €
25 €
125 €
100 %
125 €


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How to participate?
Opportunities for U.S. organisations
Browse the calls by exploring
the H2020 structure
Find relevant topics
using the keyword search or
the Europa free text search
http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/index.html
Or find calls specific U.S. calls here:
http://www.euussciencetechnology.eu/content/horizon-2020-open-calls
http://incontact.etag.ee/topics/open//US

How to participate?
Opportunitiesfor U.S. organisations
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choose « containing exact phrase »
Search phrases:
-  USA
-  United States of America
-  North(ern) America(n)
-  Industrializ(s)ed Countries
-  High-Income Countries
-  Third Countries
-  Atlantic
-  etc.
-  or any research theme/topic of interest
Calls and topics classified (by the
European Commission) as relevant
for international STI cooperation
http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h2020/search/search_topics.html

How to participate?
Possibilities for U.S. organisations
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http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h2020/search/search_topics.htmlhttp://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h2020/search/search_topics.html

Further information
•  Horizon 2020 Webpage
http://ec.europa.eu/programmes/horizon2020
•  Funding of applicants from non-EU countries
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/
h2020-hi-3cpart_en.pdf
•  Reference Documents
(RfP, Annotated Grant Agreement, manuals)
http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html
•  BILAT USA 2.0
http://www.euussciencetechnology.eu
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Martin Baumgartner
Legal & Financial National Contact Point Horizon 2020
FFG – Austrian Research Promotion Agency
Division European and International Programmes
martin.baumgartner@ffg.at
Twitter: @Legal_NCP_AT
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Horizon2020 Introduction for US Participants

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