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General Frequently Asked Questions on HORIZON 2020

 

 


Introducing Horizon2020

1. When did Horizon 2020 begin?

2. What does the programme look like?

3. What about the budget?

4. What has changed from the Seventh Framework Programme?

5. What specific elements of Horizon 2020 promote innovation?

Understanding the Pillars

6. What happens under Pillar One - Excellence in Science?

7. Which activities are addressed by the Pillar Two “Industrial Leadership”?

8. What are the KETs?

9. Biotechnology: what does it cover?

10. What is the SME Instrument and how does it works?

10.1 How is the budget of the SME Instrument structured?

10.2 What are the limitations in the SME instrument?

11. Where can I find information on the topics covered by the different LEITs?

12. Which activities are addressed by the Pillar Three “Societal Challenges”?

13. Where can I find information on the topics covered by the different Societal Challenges?

14. Are there any other activities not included in the three Pillars?

15. What are the cross-cutting activities?

16. What does it happen to the FP7 Science in Society programme

17. Where can I find the International Cooperation in Horizon 2020?

18. What will be done to address the disparities in research and innovation capabilities between member states?

19. What about new KICs?

Participating to H2020

20. What are the different funding schemes in Horizon 2020?

20.1 The Collaborative Projects: Research and Innovation Actions and Innovation Actions

20.2 What about the ERANET and CO-FUND actions?

20.3 What are the PRIZES?

21. Where has red tape been cut in Horizon 2020?

22. What about the reimbursement rates?

23. What about the bonus system?

24. Is it mandatory to make research data public?

25. What about ethics?

26. What does it mean "two-stage submission scheme"?

27. How can I add partners in stage 1?

28. Can the Third countries  participate in a proposal and can receive funding?

29. Can Switzerland participate in Horizon and how is it considered by the European Commission?

30. How can the Mexican organizations/researchers participate in Horizon 2020? 

31. Can I find an indicative duration for the proposals in the Work Programme? 

32. Does the LEAR remain the same of FP7? 

33. How can the cost of Certificate on Financial Statement be considered in the budget?

34. What is the difference between the“green”and“gold”Open Access?

35. What is the Data Management Plan and how can I manage it? 

36.Is it possible to include an additional partner to the consortium after the first step and is this well seen by the European Commission?

37.Are there any limitation whithin the budget distribution related to the nationality of the partners?

 

 

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Introducing Horizon2020



1. When did Horizon 2020 begin?
The new Framework Programme for Research and Innovation funded by the European Commission and called Horizon 2020 startedlast 1st of January 2014, after the final approval from the European Parliament and European Council. The calls were published on the 11 December 2013 and are available on the Participant Portal (http://ec.europa.eu/research/participants/portal/desktop/en/home.html).

 

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2. What does the programme look like?
The programme is structured in three main pillars:

  • Excellent Science,
  • Industrial Leadership 
  • Societal Challenges 

and integrated with 5 horizontal activities. The structure is shown in the figure below:

 

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  1. Excellence in Science – funding the best science through open competition. This is through four programmes: the European Research Council; Research Infrastructures; Future and Emerging Technologies; and the Marie Skłodowska-Curie research grant scheme.
  2. Industrial Leadership – this includes a programme to support innovative small and medium enterprises; financial instruments including debt and equity facilities to fund innovation; and a programme to encourage the development of enabling and industrial technologies;
  3. Social challenges – supporting research in areas such as health, climate, food, security, transport, energy, socio-economic sciences and humanities.

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3. What about the budget?
Horizon 2020 (including the Euratom nuclear research programme) will receive € 70.2 billion at constant prizes/€ 78,6 billion at current prizes for 7 years.
A percentage of the budget has been assigned to each programme, the table below shows the amount for each theme.

 

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More details are available at the following website: (http://ec.europa.eu/research/horizon2020/pdf/press/fact_sheet_on_horizon2020_budget.pdf)

 

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4. What has changed from the Seventh Framework Programme?
The new Common Strategic Programme for Research and Innovation combines three different instruments of the last period 2007-2013:

  • the 7th Framework Program (FP7),
  •  the Competitiveness and Innovation Framework Program (CIP),
  • the European Institute of Innovation and Technology (EIT).

Horizon 2020 aims to cover the full value chain, from frontier research, to technological development, demonstration, valorisation of results and innovation.

In this way Horizon 2020 strengths its innovative footprint, achieving a close-to-market position for Europe. Following this path, an important role is played by SMEs, which will be largely supported by the new Programme, and by synergies with Structural Funds.
Another Horizon’s important goal is a lightened set of procedures and a simplified reimbursement model which is intended to reach a larger number of participants coming from industry and academia.


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5. What specific elements of Horizon 2020 promote innovation?
The entire programme is permeated by innovation. The main elements are visible in the second pillar, Industrial Leadership, that aims to reach a more competitive Europe, through a strong innovative footprint by the application of enabling and industrial technologies like nanotechnologies, advanced materials, biotechnology, advanced manufacturing and processing, information and communication technology and space.

The financial instruments, available in the same pillars, will activate the European Investment Bank and the European Investment Fund in providing debt and equity facilities with the aim at improving the availability of funds for industries and organisations at large.

The “Fast Track to Innovation” pilot actions will also support innovation under the pillars “Industrial Technologies” and “Societal Challenges”. The idea of the Commission is a bottom-up approach with continuously open calls and a maximum time to grant of six months. This new instrument is mostly directed to SMEs with the aim of spreading and enlarging innovation. This scheme will be tested during the 2015 and then will be operative maybe in the 2018 calls.

 

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Understanding the Pillars


6. What happens under Pillar One - Excellence in Science?
Activities under this Pillar aim to reinforce and extend the excellence of the Union’s science base and to consolidate the European Research Area in order to make the Union’s research and innovation system more competitive on a global scale.
Pillar One “Excellent Science” will fund the best science through open competition.
Four programme are foreseen:

European Research Council (ERC) grants, as in the FP7, funds frontier research. The same five funding schemes are foreseen in Horizon:

  • Starting-Grants;
  • Consolidator Grants;
  • Advanced-Grants;
  • Synergy-Grant (no calls in 2014);
  • Proof of concept.


Future and Emerging Technologies (FET) will fund high-potential/high risk projects, with a large technological and social impact . Three types of FET schemes have been proposed:

  • FET “Open”: Collaborative research for embryonic, high risk visionary science and technology;
  • FET “Proactive”: Nurturing emerging themes and communities;
  • FET “Flagships”: Tackling grand interdisciplinary science and technology challenges (e.g. Graphene and Human Brain flagships launched last January 2013)

Marie Skłodowska Curie Actions will offer mobility and carrier opportunities to researchers (both from academia and industry) around Europe and beyond.
HORIZON 2020 shows a rationalisation of the FP7 funding schemes as shown below:

  • Innovative training networks (ITN);
  • R&I Staff Exchange (RISE) will include the FP7 schemes IAPP and IRSES;
  • Individual Fellowships (IF) will include the FP7 schemes IEF, IOF, IIF, CIG;
  • Individual co-funding activities: synergies with structural funds.

Research Infrastructures Programme will foster the innovation potential of research infrastructures and their human capital, will reinforce the European research infrastructure policy and international co-operation and will implement the European research infrastructures for 2020 and beyond. The calls for 2014/2015 are the following:

  • Developing new world-class research infrastructures;
  • Integrating and opening research infrastructures of European interest;
  • E-Infrastructures;
  • Support to innovation, human resources, policy and international Cooperation.

 

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7. Which activities are addressed by the Pillar Two “Industrial Leadership”?
This pillar aims to speed up development of the technologies and innovations that will support tomorrow's businesses and help innovative European SMEs to grow into world-leading companies.
The goal is to make Europe a more attractive location to invest in research and innovation (including eco-innovation), by promoting activities where businesses set the agenda. It will provide major investment in key industrial technologies, maximise the growth potential of European companies by providing them with adequate levels of finance and help innovative SMEs to grow into world-leading companies.

The second Pillar supports three different activities:

  • Leadership in Enabling and Industrial Technologies (LEITs):
  • Information and Communication Technologies,
  • Nanotechnologies, Advanced Materials, Advanced Manufacturing, Biotechnologies
  • Space
  • Access to risk finance
  • Innovation in SMEs

 

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8. What are the KETs?
the Key Enabling Technologies (KETs), embodied in the second pillar ”Industrial Leadership”, are technologies with an high knowledge and R&D intensity which promote innovation in society and economy. The KETs are interdisciplinary technologies that cover and integrate different sectors.
The following technologies are part of KETs and will be covered in the “Industrial Technologies” pillar:

  • Photonics, 
  • Manufacturing,
  • Biotechnology,
  • Advanced Materials,
  • Micro/Nanoelectronics,
  • Nanotechnologies.

Paying attention to the whole value chain, the High level group on KETs adapted to Horizon 2020 the Technology Readiness Levels (TRL) as measure on how a technology is near to the market. There are 9 TRL levels, starting with the lowest, up to the closest to the market, as report in the general annex:
1 – Basic Research
2-4 – Technology concept / Proof of Concept / Lab validation
5 – Validation in relevant environment
6 – Demonstration in relevant environment
7 – Demonstration in operational environment
8 – System complete and qualified
9 - Deployment

Several topics in NMP, ICT and other work programmes indicate the level of TRL in which address the projects.

For more information, please visit the following website: http://ec.europa.eu/programmes/horizon2020/en/h2020-section/leadership-enabling-and-industrial-technologies

 

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9. Biotechnology: what does it cover?
The standard classification of biotechnologies in white, red and green, was represented in the FP7 under the three different themes NMP, HEALTH and KBBE.
The so-called “white” biotechnologies, related to processes, in H2020 becomes a specific call under the theme NMPB, and it is articulated in three different areas:

  • Cutting-edge biotechnologies as future innovation drivers;
  • Biotechnology-based industrial processes driving competitiveness and sustainability;
  • Innovative and competitive platform technologies.

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10. What is the SME Instrument and how does it work?
In Horizon 2020 there are two different approaches for SMEs:

  • bottom-up: through a new SME Instrument is introduced, that will be open mainly to SMEs,
  • top-down: through the participation to the calls for proposals published under the different LEITs and Societal Challenges.

In Horizon 2020 it is foreseen that the 20% of the total budget of the Leadership and Enabling Technologies and Social Challenges pillars is dedicated to the SMEs. In particular of this 20% of the IL + SC budget,13%is foreseen for the SMEs participation inCollaborative projects, while the 7% is reserved forthe SME Instrument.

The SME Instrument consists of three separate phases and a coaching and mentoring service for beneficiaries. Participants can apply to phase 1 with a view to applying to phase 2 at a later date, or directly to phase 2.

 

SME Instrument phases:

 

SME instrument

 

 

Phase 1: the feasibility study should verify the technological/practical as well as economic viability of an idea which is innovative in its specific sectors. The activities could be: market analysis, IPR, risk assessment, partner search. The usefulness of the concept has to be detected into phase 1 and reached into phase 2. The proposal should contain an initial business plan based on the idea to be presented. The funding is a lump sum of 50.000 euro and the period covered by the first phase lasts 6 months.


Phase 2: the activities of this phase are focused on innovation and demonstration actions such as testing, prototyping, piloting. The proposals should be based on an elaborated business plan that can correspond to the final business plan of the phase 1 or can be elaborated by other means.

 

Phase 3: in this phase the SMEs do not receive any funding from the Commission but can benefit from support measures and services which support them in receiving financial support.
Successful beneficiaries could receive coaching and monitoring support in phase 1 and 2.

 

10.1. How is the budget of the SME Instrument structured?

The publication date is the 11/12/2013, the opening is established on the 01/03/2014 for the phase 1 and the phase 2, for the call 2014
The SME Instrument is organized in an open call with three cut-off dates:

 

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The overall indicative budget is estimated 251.02 million in 2014 and 264.57 million in 2015.
The SME Instrument passes through the Societal Challenges and the Key Enabling Technologies and the percentage of co- funding is 70% (phase 2), except for Health with the 100% of funding.

 

 

10.2. What are the limitations in the SME instrument?
In line with the EU Strategy 2020, the SME instrument is designed to promote competitiveness, growth and job creation of European SMEs through delivering innovations for the market place. SMEs will be supported to enhance their innovation capacity and innovation output with growth potential. As the SME instrument aims to bridge the gap between research and development and the commercialization of innovation, the funding of single company projects is possible. The projects need to have a clear European added value.
In the SME instrument no current submission or implementation with another phase 1 or phase 2 project is permitted indeed it is targeted at companies that need SME instrument funding as core part of their business strategy to launch a high-potential innovation. It is a competitive scheme in which only the best ideas have a chance to succeed. Consequently SMEs with usually limited absorption capacities, need to focus their applications.

If a proposal is rejected, it is possible re-present it at the next cut-off date.

 

 

11. Where can I find information on the topics covered by the different LEITs?
Description of the general approach will be available in the Regulation establishing Horizon 2020, that will be published after the official approval from the Parliament and Council.

 
The details about topics of each LEIT are described in the specific work programme published on the 11/12/2013

The introduction of the official Work Programme 2014/2015 is available at the following link: http://ec.europa.eu/research/participants/data/ref/h2020/wp/2014_2015/main/h2020-wp1415-leit_en.pdf
In the documentation of the calls is also available an introduction to LEIT strategy.

 

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12. Which activities are addressed by the Pillar Three “Societal Challenges”?
Horizon 2020 reflects the policy priorities of the Europe 2020 strategy and addresses major concerns shared by citizens in Europe and elsewhere.
A challenge-based approach will bring together resources and knowledge across different fields, technologies and disciplines, including social sciences and the humanities. This will cover activities from research to market with a new focus on innovation-related activities, such as piloting, demonstration, test-beds, and support for public procurement and market uptake. It will include establishing links with the activities of the European Innovation Partnerships (EIP).

The seven Societal Challenges will support the research& innovation in different areas like:

  • Health, demographic change and wellbeing;
  • Food security, sustainable agriculture and forestry, marine and maritime and inland water research & the bio-economy;
  • Secure, clean and efficient energy;
  • Smart, green and integrated transport;
  • Climate action, environment, resource efficiency and raw materials;
  • Europe in a changing world – Inclusive, innovative and reflective society;
  • Secure society - protecting freedom and security of Europe and its citizens

 

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13. Where can I find information on the topics covered by the different Societal Challenges?
Description of the general approach will be available in the Regulation establishing Horizon 2020, that will be published after the official approval from the Parliament and Council.
The details about topics of each Societal Challenge are described in the specific work programme published on the 11/12/2013..
The introduction of the official Work Programme 2014/2015 is available at the following link: http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html#h2020-work-programmes-2014-15-main-wp

 

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14. Are there any other activities not included in the three Pillars?
Yes, there will be some horizontal activities, such as: “Science with and for Society”, “Spreading Excellence and Widening Participation”, “European Institute of Technology” and the Joint Research Centre, plus the general opening of Horizon 2020 to “International Cooperation”.

SCIENCE WITH AND FOR SOCIETY
The aim of this programme is to build effective cooperation between science and society, to recruit new talent for science and to pair scientific excellence with social awareness and responsibility.
The ‘Science with and for Society’ programme will be instrumental in addressing the European societal challenges tackled by Horizon 2020, building capacities and developing innovative ways of connecting science to society. It will make science more attractive (notably to young people), increase society's appetite for innovation, and open up further research and innovation activities.

 

SPREADING EXCELLENCE AND WIDENING PARTICIPATION
The aim of the independent pillar "Spreading excellence and widening participation" is to maximising investment in research and innovation to enable the European Union to function in a more streamlined and homogeneous way, allowing the individual strengths of each Member State to be optimised.
There is significant evidence pointing to the fact that the pathway to economic growth and competitiveness is strongly connected to the scaling up of investment in research and innovation.
In order to address these challenges, Horizon 2020 introduces specific measures for spreading excellence and widening participation. These measures are targeted at low-performing Member States in terms of research and innovation, and they will be implemented by the Member States most in need of the new Cohesion policy for the 2014-2020 programming period.

 

EUROPEAN INSTITUTE OF INNOVATION AND TECHNOLOGY
The aim of the EIT is to fully integrate all three sides of the Knowledge Triangle (higher education, research and business). It works to reinforce the innovation capacity of the European Union in order to address grand challenges facing European society.

 

THE JOINT RESEARCH CENTER
The Joint Research Centre is the in-house science service of the European Commission. Its mission is to provide scientific and technical support to EU policy making, thus operating at the interface between research and EU policy. It provides input throughout the whole policy cycle from conception to implementation and evaluation.
The direct actions of the JRC funded through Horizon 2020 will focus on the EU's policy priorities and the societal challenges as spelled out in Europe 2020 and

reflected in Horizon 2020.

 

EURATOM
The Euratom Research and Training Programme has the following specific objectives:

  • Support safety of nuclear systems;
  • Contribute to the development of safe longer term solutions for the management of ultimate radioactive waste;
  • Support the development and sustainability of nuclear expertise and excellence in the European Union;
  • Support radiation protection and development of medical applications of radiation, including, inter alia, the secure and safe supply and use of radioisotopes;
  • Move toward demonstration of feasibility of fusion as a power source by exploiting existing and future fusion facilities.

 

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15. What are the cross-cutting initiatives?
The ability to better address cross-cutting issues has been one of the key concerns in the design of Horizon 2020 and is equally well reflected in the way that the programme will be implemented.
The implementation of Horizon 2020 should contribute to the cross-cutting objectives across all three pillars of Horizon 2020. Such objectives include:

  • SSH: Social sciences and humanities research is fully integrated into each of the pillars of Horizon 2020 and each of the specific objectives. This is an essential part of the outcome approach around which Horizon 2020 is designed and will be implemented. In addition it is a key objective that social sciences and humanities research will contribute to the evidence base for policy making at international, Union, national, and regional levels.
  • Gender issues: in Horizon 2020, gender will be addressed as a cross-cutting issue in order to rectify imbalances between women and men, and to integrate a gender dimension in research and innovation programming and content. The gender issue is particularly integrated in specific topics. A topic is considered gender relevant when it and/ or its findings affect individuals of groups of persons. In these cases, gender issues should be integrated at various stages of the action and when relevant, specific studies can be included.
  • International Cooperation: is a crucial and open aspect for research and innovation
    There are three main objectives:
    - Strengthening the excellence and making the EU more attractive in research and innovation such as in industrial and economic competitiveness.
    - Raising the Societal Challenges;
    - Supporting foreign EU politics
    A more detailed question on international cooperation is available in the following FAQ.

 

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16. Where can I find the International Cooperation in Horizon 2020?
Although in FP7 the International Cooperation was the 7th activity of the Capacity Programme, in H2020 it will be embodied within the 6th Social Challenge, “Europe in a changing world – Inclusive, innovative and reflective society”, with networking/twinning and supporting actions.
For the 2014/2015 Work Programme, the call “ Europe as global actor” is dedicated to the international cooperation.

Besides this specific collocation, in the new Programme there will be cross-activities under the two pillars “Industrial Leadership” and “Societal Challenges”, e.g. project with required/preferential 3rd country participation.

The International Cooperation has also a return on the pillar, “Excellent Science” , in fact both Marie Sklodowska-Curie Actions and ERC are opened to international researchers and the Research Infrastructures program has a global view.

Although the EU interest in the international cooperation has grown in Horizon 2020, not all third countries can receive the EU funding. Indeed the BRIC and Mexico can participate as partner in the projects but they cannot receive automatic funding.

 

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17. What does it happen to the FP7 Science in Society programme?
The “Science in Society” program has been changed in “Science with and for Society” with a budget of €462 million, 0,6% of the total Horizon 2020 budget.
The aim of this program is the creation of a link between society and science, making science attractive for people. It will be outside the three main pillars of Horizon 2020.
In the Work Programme 2014/2015 there will be the following calls:

  • Call for Making Science Education and Careers Attractive For Young People;
  • Call for promoting Gender Equality in Research and Innovation;
  • Call for integrating Society in Science and Innovation;
  • Call for developing governance for the advancement of Responsible Research and Innovation;

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18. What is done to address the disparities in research and innovation capabilities between member states?
The EU’s attention in low-performing countries between member states is higher in Horizon 2020. The “Spreading Science and Widening Participation” activity gives regard to those regions that need to grow in competitiveness creating new centres of excellence.

The EU’s aim is to make the different funding schemes, such as Structural Funds, cooperate to reach a better European performance. The regional Fund can be used for capacity building, such as equipment, human resources development, small grants, and contribution to the funding of ERC, Marie Curie or collaborative projects.

 

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19. What about new KICs?
The Knowledge and Innovation Communities (KICs) are the European Institute of Technology (EIT)'s operational units working in cross-disciplinary areas of strategic importance. In Horizon 2020 will be added 5 new KICs to the original ones (Energy, ICT, Climate Change). The new KICs for the period 2014-2020 will be launched in three different waves:

  • First Wave 2014:
    - “Healthy living and active ageing”
    - “Raw materials”
  • Second Wave 2016: 
    - “Food4Future”
    - “Added value manufacturing”
  • Third Wave 2018: 
    - “Urban mobility”

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Participating to H2020

 

20. What are the different funding schemes in Horizon 2020? 

In Horizon 2020 the funding schemes are different from the 7° Framework Programme and are called “actions”. The different types of actions are the following:

  • Collaborative projects: Research and Innovation Actions and Innovation Actions;
  • ERANET CO-FUND;
  • Pre-Commercial Procurement (PCP) and Public Procurement of Innovative Solutions (PPI)
  • Prizes
  • Coordination and support action - CSA
  • Fast track to innovation (pilot in 2015)
  • SME Instruments

 

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20.1 How are the Collaborative projects funded? Research and Innovation Actions and Innovation Actions
The R&I Actions primarily consist of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. For this purpose they may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment.
Projects may contain closely connected but limited demonstration or pilot activities aiming to show technical feasibility in a near to operational environment.
Reimbursement rate (direct cost): 100%.

The Innovation Actions primarily consist of activities directly aiming at producing plans and arrangements or designs for new, altered or improved products, processes or services. For this purpose they may include prototyping, testing, demonstrating, piloting, large-scale product validation and market replication.
Reimbursement rate (direct cost): 70% and 100% for no profit.

Regarding the rate of funding, Horizon 2020 tries to simplify and foresee an unique flat rate for all the participants except for the no profits in the Innovation Actions.

 

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20.2 What about the ERANET and CO-FUND actions?
The ERA-NET, ERA-NET Plus Actions, the Initiatives under the art.185, the European Joint Programmes and the Marie-Skłodowska-Curie CO-FUND actions that were separated in FP7, in Horizon 2020 are collected in the so-called CO-FUND Actions. The CO-FUND Actions first aim is  supplementing individual calls or programmes funded by entities, other than Union bodies, managing research and innovation programmes.
The Research and innovation funding programmes can have both financial or in-kind contributions. The percentage of contribution will be defined in the Work Programmes and the beneficiaries apply their national funding rules when issuing grants/contracts to third parties.

ERA-NET CO-FUND
The eligible participants are research funders - programme managers/owners. The EU contribution is mainly a proportional contribution to total public funding of the joint call and it will be applied the ERA-NET Plus reimbursement rate (33% of direct cost).

PRE-COMMERCIAL PROCUREMENT (PCP)
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.
Reimbursement rate: 70% (direct cost)

PUBLIC PROCUREMENT OF INNOVATIVE SOLUTIONS (PPI)
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.
Reimbursement rate: 20% (direct cost)

 

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20.3 What are the PRIZES?
Under new Financial regulations prizes are defined as a new form of Union financial support as rewards following a contest, separate from grants.

Prizes will be used to:

  • recognize past achievements, so called ex-post awards or recognition prizes e.g. Sacharov Prize of European Parliament, used for communication activities mainly.
  • induce future activities, so called inducement prizes, mainly used to incentivise R&I.


The prizes available for each call are listed in the Work Programme.

 

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21. Where has red tape been cut in Horizon 2020?
The Horizon time to grant will be shortened to 8 months (instead of 1 year of FP7) of which 5 months for the Commission to inform the applicants and 3 months for the signing of the Grant Agreement. The negotiation has been deleted in Horizon 2020 while some derogations are foreseen for the ERC projects.
Furthermore the method to calculate the indirect costs has become the same for all types of applicants and activities (25% for direct costs excluding subcontracting and third parties).

 

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22. What about the reimbursement rates?
A unique funding rate is foreseen in the new Programme, without differences between beneficiaries. For the Research and Innovation Actions the rate will be fixed at 100% of direct costs, while for the Innovation Actions the rate will be 100% for no-profit organisations and 70% for profits.
The Indirect Costs are calculated as the 25% of direct cost (except for subcontracting and third parties). This rate is the same for No-profit and profit.

 

 types of activity

 


23. What about the bonus system?
The Council proposal has introduced the eligibility of a bonus system that allows an additional remuneration up to 8000€ per year per person in no-profit organizations. This bonus will considered as eligible cost only if it is part of the usual remuneration practices of the participant for all projects (both national and international).

 

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24. Is it mandatory to make research data public?
The open access to data public will be ensured to facilitate and promote the circulation of information and their exploitation.
The Open Access (OA) in Horizon 2020 is mandatory, results of publicly-funded research can therefore be disseminated more broadly and faster, to the benefit of researchers, innovative industry and citizens. Open access can also boost the visibility of European research, and in particular offer small and medium-sized enterprises (SMEs) access to the latest research for utilisation.
The Commission strategy is to develop and implement open access to research results from projects funded by the EU Research Framework Programmes, namely FP7 and Horizon 2020.
There are two different approaches to the Open Access:
“Green” Open Access or Self-archiving means that the published article or the final peer-reviewed manuscript is archived (deposited) by the author - or a representative - in an online repository before, alongside or after its publication. Repository software usually allows authors to delay access to the article (‘embargo period’).
“Gold” Open Access or Open access publishing means that an article is immediately provided in open access mode as published. In this model, the payment of publication costs is shifted away from readers paying via subscriptions. The business model most often encountered is based on one-off payments by authors. These costs (often referred to as Author Processing Charges, APCs) can usually be borne by the university or research institute to which the researcher is affiliated, or to the funding agency supporting the research. In other cases, the costs of open access publishing are covered by subsidies or other funding models.

 

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25. What about ethics?
The ethics (e.g. research on embryonic stem cells) and their rules are unchanged from FP7. All research must comply with ethical principles and relevant national, EU and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights.
The opinions of the European Group on Ethics in Science and New Technologies will be taken into account.

The process to assess and address the ethical dimension of activities funded under Horizon 2020 is called the Ethics Appraisal Procedure.

 

action

 

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26. What does it mean "two-stage submission scheme"?

The two-stage submission schemes require that you submit a ‘short outline proposal  (7 or 15 pages, depending on the Societal Challenge or KETs) for the first stage and you will be invited to submit your ‘full proposal’ ( up to 70 pages) for the second stage, only if you pass the first-stage evaluation. The full proposal must be consistent with the short outline proposal and may not differ substantially.  (extracted from the Grants Manual on Proposal Submission). 

 

 

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27. How can I add partners in stage 1?

Please note that for this call, consortium partners are not required to be identified in the administrative form but must be mentioned in the Technical Annex. At a later stage, if and when invited for submitting an updated proposal under stage two, all consortium partners will have to be added in the administrative form.

 

 

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28. Can the Third countries participate in a proposal and can receive funding?

The Third industrialized countries (as well as those from China, Russia, India, Brazil and Mexico under the H2020 rules) can participate in a Horizon 2020 project, but they are not automatically eligible for funding, with the following exceptions:

- When a funding is foreseen in the Call;

- When funding is provided under a bilateral scientific and technological agreement or any other arrangement between the Union and an international organization or a third country;

- When the Commission deems participation of the entity essential for carrying out the action funded through Horizon 2020.

 

The rules for participation for third countries are explained here: http://ec.europa.eu/research/participants/data/ref/h2020/wp/2014_2015/annexes/h2020-wp1415-annex-a-countries-rules_en.pdf

 

EXCEPTIONIn recognition of the opening of the US National Institutes of Health’s programmes to European researchers, any legal entity established in the United States of America is eligible to receive Union funding to support its participation in projects supported under all topics in calls under the Societal Challenge ‘Health, demographic change and well-being’.

 

>> List of Third countries

 

 

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29. Can Switzerland participate in Horizon and how is it considered by the European Commission?

Switzerland will be partially associated to Horizon 2020 from 15 September 2014 until December 2016. Since mid-September, its legal entities will participate with an associated country status - only to calls under:
the "Excellent Science" pillar (the 1st pillar), containing the European Research Council, Future and Emerging Technologies, Research Infrastructures and the Marie Skłodowska-Curie actions;
actions under the specific objective “Spreading excellence and widening participation”;
the Euratom Programme; and
the activities carried out by the European Joint Undertaking for ITER and the Development of Fusion for Energy for 2014-2020.
In practical terms this means that for these calls the Swiss participants would automatically be eligible for funding and would count towards the minimum number of participants required for a project (eligibility criteria).

 

PILLARS

STATUS

Excellent Science

Associated Country

Industrial Leadership

Third Country

Societal Challenges

Third Country

HORIZONTAL ACTIVITIES

STATUS

Fast Track to Innovation

Third Country

Spreading Excellence and Widening Participation

Associated Country

Science with and for Society

Third Country

European Institute of Innovation and Technology (EIT)

Third Country

Euratom

Associated Country

 An international agreement associating Switzerland to parts of Horizon 2020 is expected to be signed in December 2014 and will apply retroactively from 15 September 2014 upon its signature. For all calls with a closing signature before 15 September 2014, the Swiss legal entities will continue to be treated as entities from an industrialised third country not associated to Horizon 2020.
For the participation to all other actions of the programme (i.e. the Industrial Leadership and Societal Challenges pillars, the specific actions Fast Track to Innovation, Science with and for Society, European Institute of Innovation and Technology), Swiss participants will not be considered as automatically eligible for funding and will not count towards the minimum number of participants required for a project (eligibility criteria). Swiss entities will be treated as entities from an industrialised third country not associated to H2020 also for actions under Art. 185 and Art. 187.
After December 2016 the participation of Switzerland to parts of Horizon 2020 will be followed by either full association or no association. If Switzerland does not ratify the Protocol on the extension to Croatia of the Free Movement of Persons Agreement between the EU and Switzerland before 9 February 2017, the Agreement associating Switzerland to parts of Horizon 2020 will be terminated with a retroactive effect as of 31 December 2016. However, if Switzerland ratifies the Protocol, the association Agreement will continue to apply and will be expanded to cover the whole of Horizon 2020, Euratom Programme and activities carried out by Fusion for Energy from 1 January 2017.
(Situation on 12 September 2014)

 

For further information please see the information note on: http://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020-hi-swiss-part_en.pdf

 

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30. How can the Mexican organizations/researchers participate in Horizon 2020?

Mexico is considered by the EC as a Third industrialized country, consequently Mexican organizations cannot be automatically funded. But aiming to encourage the participation of Mexican entities in the Horizon 2020 Program (H2020) and in order to strengthen the bilateral relation between the European Union (EU) and Mexico in Science, Technology and Innovation (STI), the CONACYT (Consejo National de Ciencia y Tecnologìa) has recently launched a Call named CONACYT-H2020.

 

With this Call, CONACYT aims to contribute to support scientific, technologic and innovation national and international activities, so that they are reflected in improved competitiveness of Mexico.

 

For more information, please visit the CONACYT website (www.conacyt.gob.mx). 

 

 

 

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31. Can I find an indicative duration for the proposals in the Work Programme?

There is no indicative duration recommended in the Work Programme. It will depend on the activities to be implemented. There is no commitment between duration and budget. 

 

 

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32. Does the LEAR remain the same of FP7?

NO. In Horizon 2020 the LEAR (Legal Entity Appointed Representative) have to be reappointed.

The LEAR is the contact person for the legal and financial aspects and he/she must be authorised to manage the legal and financial information about his/her organisation on the Participant Portal, and to manage access rights of persons in his/her organisation and to appoint representatives of his/her organisation to electronically sign grant agreements or financial statements via the Participant Portal.

The procedure for the LEAR’s appointment and the related documents are available on the Participant Portal at the following link: http://ec.europa.eu/research/participants/docs/h2020-funding-guide/grants/applying-for-funding/register-an-organisation/lear-appointment_en.htm

 

 

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33. How can the cost of Certificate on Financial Statement be considered in the budget? 

The Certificate on Financial Statement is an eligible considered within the Other direct costs and not a subcontracting as in FP7. If the Grant Agreement does not require a CFS (i.e. if the EU or Euratom contribution is less than EUR 325000), CFS costs are not eligible, because they are not considered necessary.

Source: Annotated Model Grant Agreement, p.61 http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/amga/h2020-amga_en.pdf

 

 

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34. What is the difference between the “green” and “gold” Open Access?

The “green” OA, also calledSelf-archiving, means that the published article or the final peer-reviewed manuscript is archived (deposited) by the author - or a representative - in an online repository before, alongside or after its publication. Repository software usually allows authors to delay access to the article (‘embargo period’).

 

The “gold” OA, also called Open access publishing, means that an article is immediately provided in open access mode as published. In this model, the payment of publication costs is shifted away from readers paying via subscriptions. The business model most often encountered is based on one-off payments by authors. These costs (often referred to as Author Processing Charges, APCs) can usually be borne by the university or research institute to which the researcher is affiliated, or to the funding agency supporting the research. In other cases, the costs of open access publishing are covered by subsidies or other funding models.

 

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35. What is the Data Management Plan and how can I manage it?

Under the Pilot on Open Research Data, which is a pilot initiative regarding the Open Access, it is mandatory to make a Data Management Plan to be included as a draft in the proposal and to be completed within the first six months of the project. The questions to be answered in the Data Management Plan are:

-          What data will be collected / generated?

-          What standards will be used / how will metadata be generated?

-          What data will be exploited? What data will be shared/made open?

-          How will data be curated and preserved?

 

The Data Management Plan is mandatory for some specific areas, in particular regarding the Societal Challenge: Climate Action, Environment, Resource Efficiency and Raw materials, are included all the topics except for the Raw materials. The projects which are not obligated, can participate on a voluntary basis. 

 

 

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36. Is it possible to include an additional partner to the consortium after the first step and is this well seen by the European Commission?

In compliance with H2020 rules it is possible to add new partners to the consortium for the second stage, because the consortium does not have to be final in the first stage and also in the first stage the implementation is not an evaluation criterion (implementation includes: management structures, partners, operational capacity, partners complementarity, budget, etc.). The first stage is only looking at excellence and impact of the proposals. For the second stage implementation will be one of the evaluation criteria and it is important to insure that the consortium covers well the domain the proposal is addressing (including the value chain/s involved).

Based on the above, a different shape of the consortium compared to the first stage is neither positive nor negative, just because this aspect is not evaluated in the first stage proposals.

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37.Are there any limitation whithin the budget distribution related to the nationality of the partners?

No, there are no limitations related to the budget distribution among the partners of a project. The project must have a European impact and the consortium has to be composed by at least three entities coming from three different Member States or Associated Countries.

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