05/12/2017

Horizon 2020 Advanced Training Workshop
December 5, 2017 - morning
Organised by : NCP Brussels, NCP Academy, NCP Japan
Venue: the Delegation of European Union to Japan, Tokyo, JapanThe Brussels Enterprise Agency
NCP Academy – Partner© the Brussels Enterprise Agency – 2017

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Greetings and introduction© the Brussels Enterprise Agency – 201731

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Brief introduction by Tania VAN LOON

The aims of today’s training
The NCP Academy“European Lab” methods

tvl@impulse.irisnet.be© the Brussels Enterprise Agency – 20173

The agenda• Welcome and introduction• Setting up the frame: Horizon 2020 & Third Countries participation• H2020 legal aspects• H2020 financial aspects• H2020 collaborative project management• Available resources (including partnering)• Administrative procedures for Coordinated projects• Administrative procedures for MSCA actions• Conclusions

Informal exchanges, Q/A, exercises© the Brussels Enterprise Agency – 201742

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Introduction of participants© the Brussels Enterprise Agency – 2017

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Setting up the frame :Horizon 2020 and Third Countries participation© the Brussels Enterprise Agency – 20173

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What is Horizon 2020•

European Framework programme for
Research & Innovation•

Started 01/01/2014 for 7 years•

78.6 billion €•Collaborative projects with European dimension•

Support European research excellence and leadership© the Brussels Enterprise Agency – 2017

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Three priorities or “pillars”• Future and Emerging
Technologies (FET)• Marie S. Curie actions (MSCA)• Frontier Research• Nanotechnologies,
advanced materials &processing• ICT• Space• Access to risk finance& SMEs• Health• Food, agriculture, maritime &bio-economy• Energy• Climate action / environment• Transport• Inclusive, innovative & reflective
societies• Secure societies© the Brussels Enterprise Agency – 201784

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Types of actions
RIA Research & Innovation Action: to establish new knowledge or explore the feasibility of a
new technology/product/process/service
IA Innovation Action: directly aiming at producing plans and arrangements or designs
for new/altered/improved products/processes or services
CSA Coordination & Support Action: accompanying measures
ERC European Research Council: ground breaking frontier research
MSCA Marie-Sklodowska-Curie Action: mobility of researchers+ Specific targets/set-ups : SME instrument, ERA-NET COFUND, EJP, PCP-PPI, FPA, SPA

http://ec.europa.eu/research/participants/data/ref/h2020/other/gm/h2020-grant-factsheet_en.pdf

Focus today: collaborative (RIA/IA), coordinated calls, MSCA (ITN/RISE)© the Brussels Enterprise Agency – 20179

Why it is so popular in the EU• Generous funding rates+ 25% flat rate for indirect costs• Time-to-grant max. 8 months
5 evaluation + 3 contract preparation• No paper: e-communication & ereporting• Official documents in English (and usual
shared language between mostPartners)
Complements national R&I
funding schemes (synergies
encouraged)

Max reimbursementrate

All types of legal
entities

Non-profit
organisations

Research &Innovation

100%

100%

Innovation

70%

100%

Non-profit’: by its legal form or with alegal or statutory obligation not to
distribute profits to its shareholders orindividual members© the Brussels Enterprise Agency – 2017105

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What about non-EU countries• Participants from anywhere in the world can takepart… but are not always funded• Individual researchers from any country in the world
seeking the opportunity to work in Europe for a certain
period of their career can apply for funding through theEuropean Research Council and the Marie SkłodowskaCurie actions© the Brussels Enterprise Agency – 201711

Country eligible for funding or not ?
Automatically eligible for funding

Industrialised countries and emerging
economies need to find own funding• Member States• Associated Countries
16 now (including Norway,
Turkey…)
http://ec.europa.eu/research/participants/data/ref/h2020/
grants_manual/hi/3cpart/h2020-hi-list-ac_en.pdf• Developing countries
130 (Afghanistan to Zimbabwe)
http://ec.europa.eu/research/participants/data/ref/h2020/
other/wp/2016-2017/annexes/h2020-wp1617-annex-acountries-rules_en.pdf

Exceptionally, eligible for EC funding IF• bilateral agreement between thatcountry and the EU• the country is explicitly identified in therelevant work programme and call for
proposal as being eligible for funding• their participation is deemed essential
for carrying out the action by theEuropean Commission© the Brussels Enterprise Agency – 2017126

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How can Japan be involved incollaborative projects ?
•
•
•
•
•

“Beneficiary not receiving EU funding”
EC contribution = zero
“Beneficiary receiving EU funding”
When deemed essential by the EC“International Partner” with national funding through “Coordinated call”
When cooperation with Third Countries is encouraged“Regular” Third Party
Affiliated/legal link to a Beneficiary, Sub-contractor (executing some Tasks,
Contractor (selling equipment, goods or services)Japanese corporation legally established in EU (Beneficiary)
Operational and financial capacity !

Specific rules for each type of role and set-up© the Brussels Enterprise Agency – 201713

How can Japan be involved in MSCA?

Non-EUorganisations canparticipate asadditional partners in
ITNs (to gain
experience outside
Europe during theirtraining)

ITN
Innovative Training
Networks

IF
Individual
Fellowships

RISE
Research &Innovation
Staff Exchange

What does is offer?
High quality researchtraining delivered throughinterdisciplinary
networks, industrial
doctorates or joints
doctorates

What does is offer?
Opportunities to work on
personal research projects
by moving between
countries and possible
sectors to acquire newskills.

What does is offer?
The exchanges of staff
members involved inresearch and innovation todevelop sustainable
collaborative projects andthe transfer of knowledge

Who applies?
International networks ofresearch organizations
from the academic andnon-academic sectors

Who applies?
Individual researchers
together with the hostorganizations

Who applies?
International networks ofresearch organizations
from the academic andnon-academic sectors

Who is funded?
Researchers at doctorallevel (less than 4 years offull time researchexperience and nodoctoral degree)

Who is funded?
Postdoctoral researchers

Who is funded?
Researchers, technicaladministrative andmanagerial staff of any
nationality and at all careerlevelsRISE can be within or
beyond Europe. In
worldwide
partnerships,
academia-to-academia
exchanges are permitted
Nationality of
researchers isirrelevant

http://ec.europa.eu/programmes/horizon2020/en/h2020-section/marie-sklodowska-curie-actions© the Brussels Enterprise Agency – 2017147

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How to grasp opportunities ?
Overview of the funding project life cycle
https://youtu.be/b5rib94nbgE

Strict rules and deadlines applicable to ALL
NOT a tender (important for IP rights)
Flagged topics for international cooperation
https://ec.europa.eu/research/participants/portal/desktop/en/opportunities/h2020/ftags/international_cooperation.html#c,topics=flags/s/IntlCoop/1/1&+callDeadline/desc

Currently 22 topics were cooperation with Japan is encouraged
http://ec.europa.eu/research/participants/data/ref/h2020/other/hi/h2020_localsupp_japan_en.pdf© the Brussels Enterprise Agency – 201715

Collaborative projects with co-funding
mechanism
Currently 2 forthcoming coordinated topics (ICT call)
Ministry of Internal Affairs and Communication (MIC) and the National Institute of ICT
of Japan (NIST)•
EUJ-01-2018 Advanced technologies (Security/Cloud/IoT/BigData) for a hyperconnected society in the context of Smart City•
EUJ-02-2018 5G and beyond
Co-funding mechanism•
Ex Japan Science and Technology Agency (JST) funds
SU-DRS-2018-2019-2020 Technologies for first responders
http://www.jst.go.jp/sicp/announce_eujoint_04_GeneralInfo.html© the Brussels Enterprise Agency – 2017168

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Why the rules are important ?

Proposal: can be
excluded if conditions
are not met. Ex.
minimum number ofPartners from EU,
include international
partners

Execution: costs canbe rejected if
conditions are notmet, collaboration
can be harmed Ex IP
rightsAfter end: auditors
can check until 2
years after balance of
payment,
exploitation of
results can beharmedNot only financial issues at stake© the Brussels Enterprise Agency – 201717

Why the rules are important ?

One set of rules with small number of exceptions
Multi-beneficiaries (Collaborative, MSCA RISE/ITN) or Mono-beneficiaries (MSCA IF)
http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html“No negotiation”
Proposals are evaluated as submitted
Some contractual conditions are standardized and imposed on ALL(even if you do not sign the Grant Agreement)
Some contractual conditions will be asked by your European Partner
Anticipate and reduce risks© the Brussels Enterprise Agency – 201718

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Horizon 2020 legal aspects© the Brussels Enterprise Agency – 201720

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Key legal aspects

Work Packages, Tasks,
Planning & Deliverables
If selected: execute project
as described in proposal

According torules

Beneficial
beyondtheproject

Accordingto plan

Relevant
andusefulProtect,
exploit &disseminate
results

Even third parties / international partners not receiving
funding must comply with some basic rules© the Brussels Enterprise Agency – 201721

If your organisation is Sub-contractor
Sub-contractor = conducts tasks
Eligible cost = price, no indirect cost
The (EU) Beneficiary using a Sub-contractor must follow the following rules:•

Mention that there will be sub-contracting in the proposal/Annex 1•

Select Sub-contractors according to
No conflict of interest
Best value for money•

Ensure that the majority of the research and development work done by thesubcontractor(s) is located in the EU Member States or associated countries© the Brussels Enterprise Agency – 20172211

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If your organisation is Contractor

Contractor sell equipment, services or goods to a Beneficiary(NOT action tasks)
Eligible cost = price + 25% indirect cost
The (EU) Beneficiary using a Contractor must follow the following rules:•

NO mention in Annex 1•

Select Contractors according to
No conflict of interest
Best value for money© the Brussels Enterprise Agency – 201723

If your organisation is an International Partner
NOT Beneficiary, NO signatory of the Grant Agreement, perform tasks
Named in Grant Agreement
Budget must be provided for information
Cost not reimbursed, not considered in grant calculation
NOT subject to financial reporting or financial checks/audits
International Partner has obligations of• Record-keeping (on the scientific and technical implementation)• Technical reporting• Avoiding conflicts of interest• Maintaining confidentiality• Promoting the action and give visibility to the EU funding© the Brussels Enterprise Agency – 201724

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Provide visibility to the EU funding

This project has received funding fromthe European Union’s Horizon 2020
research & innovation programme under
grant agreement n° 633563© the Brussels Enterprise Agency – 201725

If your organisation is a Partner

Beneficiary, Signatory of the Grant Agreement, perform tasks
Named in Grant Agreement
Budget must be provided
Cost reimbursed, considered in grant calculation
Subject to financial reporting or financial checks/audits
All obligations apply (as any other Partner such as EU or Associated)• Grant Agreement• Consortium Agreement• National laws and regulations• Internal rules of your organisation© the Brussels Enterprise Agency – 201726

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Partners commit to RRI

www.rri-tools.eu© the Brussels Enterprise Agency – 201727

Governance: recruitment and working
conditions or researchers(EU) Partners must implement the principles set out in the Commission
Recommendation on the European Charter for Researchers and the Code of
Conduct for the Recruitment of Researchers 48, in particular regarding:- working conditions;- transparent recruitment processes based on merit, and- career development.
The beneficiaries must ensure that researchers and third parties involved in theaction are aware of them

© the Brussels Enterprise Agency – 201728

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Beneficial beyond the project•

General principles for Researchers and for ResearchInstitutions/Funders to ensure that the nature of the relationshipbetween researchers and employers or funders is conducive to
successful performance in generating, transferring, sharing anddisseminating knowledge and technological development, and to thecareer development of researchers
Ex non-discrimination, working conditions, supervision, mobility...

https://euraxess.ec.europa.eu/jobs/charter/european-charter•

Code of Conduct for Research Integrity (new: ALLEA)

http://www.allea.org/allea-publishes-revised-edition-european-code-conductresearch-integrity/© the Brussels Enterprise Agency – 201729

Beneficial beyond the project
The Grant Agreement
imposes a contractual
obligation to the
Beneficiaries to “usetheir best efforts to”

Protect

Consortium Agreement
should define intellectual
property rights management

Exploit
Exploitation strategy &channels
Convert the knowledge of
publicly-funded projects
into socio-economic
benefits& Disseminate
results© the Brussels Enterprise Agency – 2017

Open access topublications &
data
30

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Open Access to Data•

Open Access to Research Data
Obligation to deposit data + metadata + tools / instruments to validate resultspresented in scientific publications•

Data Management Plan describes the data management life cycle for all data setsthat will be collected, processed or generated by the research project[1st version within 6 months after project start]

Why open access ?
https://www.youtube.com/watch?v=o-OyGDCbu88
http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/open-access-data-management/data-management_en.htm© the Brussels Enterprise Agency – 201731

Rules and precautions on
IP management

Provide access rights to background & results so that other Partners can conduct
R&I and exploit results© the Brussels Enterprise Agency – 201732

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Exploitation strategy
Many possible ways
• Use results in further research activities• Contribute to new/on-going standardisation activities• Develop and create new services/products for commercial exploitation© the Brussels Enterprise Agency – 201733

Why IP is important for Third Country Partners

EU viewpoint:(EU) Beneficiaries must make arrangements with (Sub-)contractors andInternational Partners that could claim rights to results
Examples (third parties that may claim rights): academic institutions in countries that have akind of ‘professor’s privilege’ system (according to which researchers may have some rights to
the results of university research)
Examples (arrangements): transferring ownership to the beneficiary; granting access rights tothe beneficiary with a right to sub-license.

© the Brussels Enterprise Agency – 201734

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Why IP is important for Third Country Partners

Third Country viewpoint:•
Protecting their own IP rights•
Envisage future exploitation of results
This is defined in• Consortium Agreement or other written arrangement: obligation for
Collaborative projects• Coordination Agreement: obligation for Coordinated calls• Partnership Agreement: recommendation for MSCA ITN/RISE© the Brussels Enterprise Agency – 2017

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Dissemination strategy

Design in line with the exploitation strategy and according to Partners’ roles• Scientific and non-scientific publications
Peer-reviewed journal articles should be Open Access= on-line access to scientific information that is free-of-charge for the reader• Conferences, networking events, business fairs• Project website, leaflets, posters, social media

http://ec.europa.eu/research/participants/docs/h2020-funding-guide/grants/grant-management/dissemination-of-results_en.htm© the Brussels Enterprise Agency – 20173618

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Communication = promotion

Provide targeted information to multiple audiences (including the media and the public)
Strategic and effective communication plan during the whole project• Objectives (e.g. What impact is intended? What reaction or change is expected from thetarget audience?)• Targeted and adapted to audiences beyond the project's own community• Pertinent messages (e.g. How does the project relates to our daily lives?)• Uses the right medium and means (e.g. local, regional, national, EU-wide level, one-way
exchange such as website or two-way such as school visit)• Proportionate to the project scale

http://ec.europa.eu/research/participants/docs/h2020-funding-guide/grants/grant-management/communication_en.htm© the Brussels Enterprise Agency – 201738

© the Brussels Enterprise Agency – 201739

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Horizon 2020 financial aspects© the Brussels Enterprise Agency – 201740

The link between money & rules

Actual grant is based on the actual costs
Pre-payments do not guarantee final grant amountof grant reduction → involve bookkeeping, top & financial management© the Brussels Enterprise Agency – 20174120

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Final Grant amount can be reduced•

If less actual eligible costs than budgeted(If more actuals than budgeted: total is capped)•

To ensure the non-profit rule••

Income generated by the project•

Financial or in-kind contributions given by third parties for the project

If improper implementation / breach of other obligations•

Technical analysis by the EC
work performed vs activities defined in project•

Financial analysis by the EC (and external audit)
financial rules

Check progress regularly© the Brussels Enterprise Agency – 201742

Eligible costs must be cumulatively…
•

Actually incurred (REAL, not estimated, budgeted, imputed)•

Incurred during the project duration
Except costs for drafting and submitting final report (+60 days)•

Entered as eligible costs in the estimated budget under the relevant budget
category (OR file a request for amendment)•

Connected and essential to the project•

Identifiable and verifiable
Except indirect costs•

According to the national accounting rules and beneficiary’s usual accounting
practice•

Comply with national laws on taxes, labor and social security•

Sound financial management, economy and efficiency© the Brussels Enterprise Agency – 20174321

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Main categories of costs

Personnel costs

Other direct costs
Sub-contracting (tasks)• Define and stick to ONE calculation of productive hours(Option 1: 1720h/year)• Calculate hourly rate based on personnel costs of last closed financial year
and number of productive hours• Keep records of hours spent/person/WP/task (signed Time Sheets)• Special cases: in-house consultants & SME owner without a salary• Temporary workforce is NOT personnel cost but Other direct cost
• Select by fair, transparent and efficient process• Ensure « best value for money » or if appropriate « lowest price » and avoid
conflicts of interest• KEEP original supporting docs
• They can also be audited -> ensure this clause in included in your contracts• Calculated as 25% * (Personnel costs + Other direct costs)• NO supporting docs

Indirect cost

© the Brussels Enterprise Agency – 201744

Estimate the budget & EC contribution
Workload*
personnel
costpartner 1

Workload*
personnel
costpartner 2

Etc

Total personnel cost

All subcontractsof partner
1

All subcontractsof partner
2

Etc

Travel &otherdirectcosts ofpartner 1

Total subcontracting

Travel &otherdirectcosts ofpartner 2

Etc

Total other direct costs

Total
indirectcost(calcul.)→ Total budget→ Total EC contribution = total budget * reimbursement rate/participant
Third Country partner (not receiving funding): reimbursement rate = 0© the Brussels Enterprise Agency – 20174522

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Why is it important for everyone

For the (EU) Partners with EU
funding

For the Third Country Partners
without EU funding•• Risk of stopping the project• Risk of loosing own investment or
national funding• Reliability, partners relations•••

Coordinator and the Partners
need this funding to execute theproject
Risk of loosing (part of the)funding if the technical work is notdone properly or if the financial
rules are not followed
Risk of stopping the project
Reliability, partners relations© the Brussels Enterprise Agency – 201746

© the Brussels Enterprise Agency – 201747

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Main differences between Collaborativeand MSCA budgeting• Collaborative = (mostly) based on actual costs• MSCA ITN / IF / RISE = based on unit costs• Living allowance applies a country correction coefficient
WP2018-2020: modification→ increase by 5% of the living and top-up allowances© the Brussels Enterprise Agency – 201748

MSCA actions budgeting
Researcher unit cost
(person/month)

Institutional unit cost
(person/month)

LivingMobility

Familyallowance

allowance

Research,
Training,
Networking

Management

allowance *

ITN

3110

600

500

1800

1200

Automaticallyapplicable

IF

4650

600

500

800

650

Partially
applicable

1800

700

Not applicable

Item

RISE

(2000)

costs

Which funding opportunities for Third Country (TC) partners ?
• Beneficiaries seconding staff members to TC can transfer total or part of the EU contribution
to the TC partners (institutional cost)
Important to define financial rights and obligations• Japanese researchers can get researcher unit cost ITN / IF (automatic)© the Brussels Enterprise Agency – 20174924

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Currency of financial report• All reporting must be done in €• Beneficiaries with account in € use their own usual practices to convert• Beneficiaries without account in € use daily euro exchange rate is published in the
C series of the Official Journal of the European Union
http://www.ecb.europa.eu/stats/policy_and_exchange_rates/euro_reference_exchange_rates/html/index.en.html• If no daily rate: use monthly using the average of the monthly accounting rates overthe corresponding reporting period, using the currency converter on theCommission’s website
http://ec.europa.eu/budget/contracts_grants/info_contracts/inforeuro/index_en.cfm© the Brussels Enterprise Agency – 201750

Financial control after the project•

Beneficiaries can undergo financial checks, reviews, audits andinvestigations•

Beneficiaries using Sub-contractors, Contractors, International
Partners or other Third Parties must ensure that theCommission/Agency, the European Court of Auditors (ECA) and theEuropean Anti-Fraud Office (OLAF) can exercise their rights under
Articles 22 and 23 (checks, reviews, audits and investigations )© the Brussels Enterprise Agency – 20175125

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Third Country viewpoint

Collaborative project as Partner (e.g. when mentioned in call, deemed
essential)•
Follow all financial rules as other (EU) partners
Collaborative projects as International Partner•
Know why sometimes difficult for EU/AC Partners•
Secure some minor funding (ex travel costs of experts)•
Agree with EU Beneficiary on financial conditions
MSCA•
Can secure more than the automatic minimum foreseen in ITN / IF•
Agree with EU Beneficiary on financial conditions© the Brussels Enterprise Agency – 201752

© the Brussels Enterprise Agency – 201753

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