Dave RichardsonAssociate Vice Chancellor and Director

Office of Sponsored Programs and Research Administration

University of Illinois at Urbana-Champaign

Horizon 2020 An EU Funding Opportunity

European Union

28 EU Member States

12 EU Associated countries

8 EU enlargement countries

16 Countries of the European Neighbourhood policy (ENP)

Framework Program 7 Summary of U.S. Participation

In excess of 340 U.S. applications selected for FP7 ParticipationU.S. accounted for approximately 11% of non-European

Participation – 2nd only to the Russian Federation in funding received

FP7 Proposals involving a U.S. Participant had a 30% yield rate versus 15% without

75% of all Marie Curie International Outgoing Fellows study in the U.S. while the U.S. accounts for 14% of Incoming Fellows

40% of U.S. Project Participants did not sign an FP7 Grant Agreement but participated in other ways

What is Horizon 2020?

European Union (EU) Research and Innovation Program

Over €80 Billion of funding available from 2014 to 2020

Accounts for about 10% of all EU R&D.

Roughly the equivalent of 2 NSFs during this time period

Touted as the world’s most open and competitive R&D program

32% 22%39%

Yes, but …. U.S. is categorized as a “third country/third party”

Eligibility provision should be explicitly stated in the proposal call

H2020-SC6 -INT-1. Enhancing and focusing research and innovation cooperation with the Union’s key international partner countries …” For these topics, legal entities established in Russia, China, Australia, USA and Brazil will be eligible to receive funding from the Union budget. “

There is a need for a bilateral agreement on a specific area or topic

Societal Challenge 1. HEALTH & USA. “In 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’.

When the EU Commission deems it essential to the success of project

Are U.S. Institutions Eligible for Participation?

European Research Council – Frontier Research Grants

• Research must be potentially groundbreaking.

• Minimum time commitment by PI is 50% in host country.• Reduced Commitment for Advanced Researcher.• Commitment requirement does not apply to team members.

• U.S. scientists are eligible to be PI, but the Host Institution (HI) executes the agreement with the European Commission. • PI is actually a "third party" in the contract

• Abstracts of granted ERC projects http://cordis.europa.eu/fp7/projects_en.html

Marie Sklodowska-Curie Actions

Innovative Training Networks (ITN) Doctoral-level training and exchange program

Partner Organizations (UIUC) Unfunded participation Letter of Commitment required in Proposal Part B

Recruited Researchers are seconded to the Partner Organization Max duration up to 30% of recruitment period Researcher keeps their employment contract with the ‘sending’ institution Sending institution pays their travel and subsistence

Consortiums

1. III. Societal Challenges - Specific arrangement for US partners to be eligible for funding in “Health, Demographic change and well-being”.

2. Are we eligible to serve as the Lead Institution? Yes.

3. What are the minimum level of EU entities required to meet eligibility? In general, at least three entities from EU Member States or associated countries are required, in addition to U.S. Institution. Check individual Call for specific requirements.

4. Capacity of Participating Organizations. - technical expertise leads to the EU investment- primary roles in the project deemed essential to success- connection to an important subset of US research teams and sites

Proposal Structure

Two stage calls First stage (~white paper) – simplified submission Second stage – full submission, by invitation only

Part A – Administrative information Auto-populated by selecting your PIC (Participant Identification Code)

Part B – Technical information Requirements vary by Call. Typically a single PDF upload

Validate Errors – mandatory information is missing; cannot submit Warnings – optional information is missing; may submit

H2020 Submission Process

Participant Portal - basics

http://ec.europa.eu/research/participants/portalAccount with ECAS (European Commission Authentication

Service) Required for each individual Created within minutes from the Portal Gives you access to all proposals you are involved in (as PI or partner)

PIC (Participant Identification Code) Required for each institution

Will auto-populate sections of Part A (administrative) forms

Access all proposals you are involved in (as PI or partner)

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Participant Portal - roles

Proposal Coordinator – Lead PI. Responsible for overall planning of the proposal; for building up the Consortium; always first participant.

Partner – Co-PIs, Collaborators. Lead PI will invite Partners to have access to the proposal.

Referee – References for Fellowship applications. Lead PI (Fellow) will designate.

Contact Person (optional) – Administrative Support. Lead PI allows access for Contact Person(s) to assist in the review/completion of the proposal.

Participant Portal – formatting notes

Proposals printed for EC reviewers in black and white on A4 paper.

Page limits refer to size A4 paper

PDF formatting requirementsEC templates are in RTF editable format and must be converted to PDF for submissionPDF files only, size limited to 10Mb for Part B (Technical)Use max 300 dpi resolution to reduce file size (high resolution is not required).PDF filename must only contain alphanumeric characters (A-Z, 0-9).

Budget Example

F&A is assessed at 25% TDC for all parties

OMB Circular A21 for guidance

Submit budgets in Euros

Exchange rates will be updated upon award

Horizon2020 – One single document with all provisions

Core text

Special clauses

General conditions

Specific provisions

Model Grant Agreement

U.S. Concerns with H2020 Grant Agreement

• Cost Sharing

• Governing Law / Court of Jurisdiction

• Liquidated Damages / Financial Penalties

• Foreground Intellectual Property

• Liability for Damages

• Effects of Termination

Liability for Damages

46.1 Agency cannot be held liable for any damages as a consequence of implementing the Agreement.

46.2.1 Except in case of force major, the recipients of the grant must compensate the Agency for any damage it sustains as a result of implementing the Agreement.

46.2.3 If payment for damages is not made by the recipient of the grant the Agency may offset it against the grant amount owed to the recipient – without the recipient’s consent.

57.1 The Agreement is governed by the EU law and supplemented by law of Belgium

57.2 Disputes are to be settled in the Court of Justice of the European Union.

Effects of Termination and Governing Law

50.2.2 If the Agreement is terminated, the Agency will only pay for actual costs incurred. Un-cancellable obligations are not covered.

•Horizon 2020 http://www.ec.europa.eu/programmes/horizon2020/en

•BILAT USA 2.0http://www.euussciencetechnology.eu/

•European Commission: Participant Portal http://ec.europa.eu/research/participants/portal

•European Commission: FAQs http://ec.europa.eu/research/participants/portal/desktop/en/support/faq.html#f01

Resources

QUESTIONS?