H2020: Les oportunitats per les universitats i com hi hem intervingut

en la seva definició

Dra Lídia Borrell Damián

Directora de Recerca i Innovació

European University Association (EUA)

Universitat Rovira i Virgili

Campus Sescelades

Tarragona, 24-04-2014

Outline

Introduction to EUA

Who are we and how we work

Strategic objectives

Horizon 2020 and the voice of the university sector

What's new in Horizon 2020

Summary of EUA positions as the voice of the university sector

Budget breakdown; Seven societal challenges

Work Programmes: new features and work programme cycle

Engaging international partners

Implementation principles and modalities; Proposal Assessment

EUA Member Memos

Rules of Participation – October 2013

General Model Grant Agreement (MGA) – December 2013

Follow-up

Two examples of new developments in EUA

Open Access to Scientific Publications

European Platform of Universities Engaged in Energy (EPUE) and new FP7

action called UNI-SET (Universities in the SET-Plan)

…3…

…4…

Introduction to EUA

EUA acts as an independent stakeholder for Europe’s Universities.

Based in Brussels as a non-governmental membership organisation.

EUA membership represents 34 European Rectors’ Conferences and over 850 individual research based higher education institutions across 46 countries.

Dual-fold role:

I. providing a forum for debate and mutual-learning though conferences and workshops, projects and specific services for the membership, and

II. bringing empirical evidence from universities’ experiences and activities across their missions to inform the policy-making process in developing new instruments that help their strategic development and enhance their performance in addressing social, economic and civil society needs and goals.

Universities are essential stakeholders in building

an European Research Area (ERA)

Embedded in cities and regions, they enable social and economic development

Implement diverse missions in education and research

Educate knowledge workers and researchers

Able to foster interdisciplinary research skills and expertise

Are focal points for dialogue and knowledge exchange with society

Build international cooperation upon institutional historical and cultural links, strengths and capacities

…5… …5…

Maintain and further develop the position of universities as a key stakeholder providing input to European R&I policy developments at the highest policy and political EU level

Encourage university engagement in the next steps of the implementation of the European Research Area through follow-up action on the Memorandum of Understanding (MoU)

Consolidate the European Platform of Universities Engaged in Energy Research, Education and Training (EPUE) as the main stakeholder representing the university sector in the SET-Plan

Continue to develop and promote good practice guidelines in university-business cooperation to foster EU competitiveness in the long-term

Continue to promote structural reform and building critical mass in doctoral education in Europe, strengthening international cooperation and addressing the improvement of researcher careers and wider employment opportunities

…6…

Strategic objectives of EUA

for universities in ERA

…6…

What is Horizon 2020?

A budget of € 77 billion for 7 years (current prices)

A core part of Europe 2020, Innovation Union and the European Research Area:

Investing in future jobs & growth to overcome the economic crisis

Addressing people's concerns about their livelihoods, safety, environment…

Strengthening the EU's global position in research, technology & innovation

The new EU Framework Programme

for Research and Innovation, 2014-2020

…7…

…8…

EUA as the Voice of European Universities -

Statements to ERA and Horizon 2020 policy development

Developed in wide consultation with its members:

Smart People for Smart Growth: Statement by the European University Association

on the EU Flagship Initiative “Innovation Union” of the Europe 2020 European

Strategy for Smart, Sustainable and Inclusive Growth, 3rd February 2011

EUA position on the EC “Green Paper” on a Common Strategic Framework for EU

Research and Innovation Funding; 10th May 2011

EUA position on the EC consultation document on the “ERA Framework”, 30th

November 2011

EUA Input to the Debate on the Rules for Participation in Horizon 2020, 10th May

2012

Memorandum of Understanding between EUA and the European

Commission, 17th July 2012

Statement addressed to Heads of State and Government attending the “EU Budget

Summit”, 8th November 2012

Statement sent to EU Irish Presidency Chair of trilogue negotiations between

Council, European Parliament and European commission, February 2013

Excellence, simplification, open competition, European added-

value, cost model flexibility, transparent evaluation processes

“Bottom-up” funding instruments must be strengthened to support

basic science (European Research Council, Marie Curie Actions and

Future Enabling Technologies Programme)

Essential contribution of the social sciences, arts and humanities

should be retained and strengthened

Greater synergy between Competition policy (Horizon 2020) and

Cohesion Policy (ERDF & ESF) could be achieved by changing the

regulations to allow universities to be initiators of ERDF funding

applications in research, training and innovation activities (Smart

Specialisation Strategy).

…9…

Summary of main points on EUA’s statements

Coupling research to innovation – from research to deployment

Focus on societal challenges facing EU society, e.g. health, clean energy, transport…

Simplified access, for participants

A single programme bringing together three previously separate programmes/activities* (the 7th Research Framework Programme (FP7), innovation aspects of Competitiveness and Innovation Framework Programme (CIP), EU contribution to the European Institute of Innovation and Technology (EIT).

What's new

…10…

…11…

Three main priorities

European Commission

Coverage of the full innovation chain

European Commission

…12…

Horizon 2020 Budget breakdown

EUR 77.028 million (in current prices)

…13…

Seven societal challenges

…14…

Work Programmes: new features

Challenge-based approach: broad latitude for applicants to devise innovative solutions

Broader topics, less prescription & focus on impact

Biennial WP, annual calls (in most cases)

1 topic = various projects (in most cases)

No 'ringfencing' of topic budget/ranking (in most cases)

Simplified type of actions & funding rates

2-stage evaluation for most topics

Facilitated access through keywords & tags …15…

2016 2017

2018 2019

2020

2015 2014

1st

2nd

3rd

Calls: annual, biennial or open

Single stage or two-stage evaluations

* possible revision

*

Work programme cycle in H2020

…16…

Anybody can participate, submit proposals, join consortia

Participants from developing countries can get funding

Participants from industrialised & emerging countries can get funding only exceptionally

Some topics in the Work Programme may target cooperation with specific countries in given areas

Basis: agreed common interest, co-funding if possible

Reinforce collaboration with key partners; integration with candidate countries, proximity & partnership with neighbours; and/or multilateral cooperation

Engaging international partners:

Openness + selective targeting

BO

TTO

M-U

P

TO

P-D

OW

N

…17…

Implementation principles

Multi-partner transnational consortia (in most cases)

Public calls for proposals

Competitive selection

Evaluation by independent experts

Evaluation criteria:

Excellence

Impact

Implementation quality

Funding rates:

Direct costs = 100% or 70%

Indirect costs = 25% of direct costs

…18…

…19…

Implementation modalities FORMS OF

FUNDING TYPES OF ACTIONS

Funding

rate

Min n°

partners

Grants - Research and Innovation actions/RIA

- Innovation Actions/IA

- Coordination and Support Actions/CSA

- Marie Sklodowska Curie Actions/MSCA

- European Research Council/ERC grants

100%

70%/100%*

100%

100%

100%

3

3

1

1

1

Programme

co-fund

- ERA-Net co-fund

- PCP/PPI co-fund

33% (top-up)

PCP 70%

PPI 20% 3

Prizes - Inducement prizes, award prices Lump sum

(result based)

1

Procurement - Tenders 100% 1

Financial

instruments

- Loan instrument

- Equity instrument

-

-

1

1

Specific

Procedures

- SME Instrument

- Fast Track to Innovation (pilot)

1. Lump sum

2. 70%

70%

1

1

1

* 100% for non-profit …19…

Two-stage evaluation

Stage 1

proposal submission

- max. 15 pages

- focus on content and results

proposal evaluation

- 2 criteria: excellence and impact

- outcome: 'GO' or 'NO GO'

Stage 2

proposal submission

- only stage 1 'GO' proposals admitted

proposal evaluation

- 3 criteria: excellence, impact, implementation

…20…

EVALUATION GRANT PREPARATION

Call deadline (single stage/ Second stage)

Evaluation Summary Report (ESR) to proposers

Grant signature

Max 5 months Max 3 months

M 5 M 0 M 8

Time-to-grant process

…21…

EUA Member Memo

On the Rules for Participation and Dissemination in

HORIZON 2020 (October 2013)

Main points of the political agreement

Project consortia

Forms of funding

Reimbursement of costs

Personal costs and time recording

Time-to-grant

Certificate on the Financial Statements (CFS)

– Necessary for claims on final payments when the amount of the EU financial contribution to the project is equal to or superior to 325,000 euros.

Open access

– Mandatory for all scientific publications produced with funding from Horizon 2020

– Contributions to the costs will be eligible for reimbursement.

– In open access publications, “gold” or “green” will be left to the discretion of the grant recipient.

…22…

All provisions, general and specific, in one document (new)

Terms defined in the Financial Regulation (except H2020 specific terms)

Annotated MGA (included in H2020 Grants Manual)

Replaces FP7’s guidance documents and explains the provisions by providing examples

Complete version expected in March 2014

EUA Member Memo

On the general Model Grant Agreement (MGA) (December 2013)

…23…

General Model Grant Agreement (MGA)

Structure

C1: general conditions

C2: action, duration and budget

C3: details of the grant (amount, reimbursement rates, eligible costs)

C4: rights and obligations including consequences of non-compliance

C5: division of roles

C6: rejection, reduction, penalties and termination

C7: final provisions including entry into force, amendments, applicable law

…24…

Important elements for universities

C3: details of the grant (I)

1. Calculation of personnel costs

• hourly rate (calculated on the basis of actual costs or unit costs) * number of actual hours worked on the action

• Non-profit organisations: up to €8 000/year additional remuneration for personnel working on the action

• Researchers who work exclusively on a project will not be required to record their time.

2. Costing of large infrastructure • Reimbursement as direct costs under the general

reimbursement model (100% total eligible direct costs + a flat rate of 25% of the total eligible direct costs to cover indirect costs).

• Guidelines will be included in the annotated MGA.

…25…

Important elements for universities

C3: details of the grant (II)

2. Costing of large infrastructure

• Conditions that have to be fulfilled for the reimbursement are unclear in the current guidelines. At the present we can say that:

1. “large research infrastructure”

2. “at least 75% of the total fixed assets”

3. methodology for declaring costs accepted by the EC in an ex-ante assessment

4. portion of costs corresponds to the duration of the H2020 action and the rate

of actual use for the purpose of that action

• Implications for universities: difficulty in discriminating infrastructures used for research vs. teaching and learning purposes.

Reimbursement option seems to be unusable and unattractive for most universities. …26…

Horizon 2020

EUA will follow implementation of H2020

Find out more:

www.ec.europa.eu/research/horizon2020

www.ec.europa.eu/research/participants/portal/page/home

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…28…

EC and Open Access (OA):

OA policy for Horizon 2020

The EC made OA to scientific publications a general principle of

H2020.

immediately accessible online (“gold” and “hybrid” OA) - costs can be eligible for reimbursement.

or

available through an OA repository no later than 6 months (12 for SSH) after publication (“green” OA).

All articles produced with H2020 funding will have to be

EC COM (October, 2010): http://ec.europa.eu/research/era/docs/en/ec-understanding-era-14.pdf

“dissemination, transfer and use of research results, including through OA to publications and data from publicly funded research", singled out as one of the action points to achieve a well-functioning ERA.

OA funding models

OA journals that are free for authors and readers.

OA journals that are free for authors and readers of the online version, with subscription payment for the paper version.

~ 28% of OA journals; model favoured more by not-for-profit publishers.

'Author pays' OA journals /Gold OA (publication fees vary greatly).

E.g., PLoS ONE, a peer-reviewed, high impact factor OA journal that has achieved financial stability through high-volume publishing.

Hybrid systems/'open choice' publishing.

Criticised by funders as unsustainable since publishers charge authors for publication while maintaining high subscription prices ('double dipping‘).

Journals with free access to certain content.

Journals with free access to the contents after a period of embargo/'delayed OA‘/Green OA.

Science-Metrix (August, 2013): http://www.science-metrix.com/pdf/SM_EC_OA_Policies.pdf

Science Europe (December, 2013): http://www.scienceeurope.org/uploads/PublicDocumentsAndSpeeches/ScienceEurope_Roadmap.pdf

Report on OA Strategies in the ERA

Commissioned by the EC to Science-Metrix

…29…

Initial list of main issues on OA with relevance for dialogue at the European level:

Business models/costs of OA.

Requirement for self-archiving of research publications in institutional (or shared) repositories.

Peer-review and quality assessment in OA (emphasis particularly on the issues of journals’ impact factor and existence of incentives, or lack of, towards OA for researchers).

Difficulty in assessing the progress of OA and its impact in the advancement of research due to limited data available on OA.

OA implications for key players, such as researchers, institutions, policy-makers, funders, teachers.

…30…

The role of EUA in the OA policy dialogue?

…30…

UNI-SET Support action from the EU Commission under establishment

EUA-EPUE and KU Leuven (representing the universities in EIT KIC InnoEnergy) are preparing an action for the mobilisation of the research, education and innovation capacities of Europe’s universities

WP1

Project

management

and steering

and

project

administration

WP2

Mapping of Masters and

Research

Activity/Doctorate

Programmes

and information systems

EPUE

WP5

Links with

SET Plan,

EERA, other

relevant

organisations

and

Dissemination

WP3

Identification of

professional/student

profiles

WP4

Clustering Activities

…31…

Thank you for your attention!

Contact:

Lidia.borrell-damian@eua.be

www.eua.be

1. European Research Council (ERC)

Frontier research by the best individual teams

13.095

2. Future & Emerging Technologies (FET)

Collaborative research to open new fields of innovation

2.696

3. Marie Sklodowska-Curie actions

Opportunities for training & career development

6.162

4. Research infrastructures

Ensuring access to world-class facilities

2.488

I. Excellent science

Proposed funding: € 24.441 million

1. Leadership in enabling & industrial technologies

(ICT, nanotechnologies, materials, biotechnology, manufacturing, space)

13.557

2. Access to risk finance

Leveraging private finance & venture capital for research & innovation

2.842

3. Innovation in SMEs*

Fostering all forms of innovation in all types of SMEs

616

(*) Within the target of allocating a minimum of 20% of the total combined budgets for priorities II.1

and III, and 'Access to risk finance' with strong SME focus

II. Industrial leadership

Proposed funding: € 17.015 million

1. Health, demographic change & wellbeing 7.472

2. Food security, sustainable agriculture & forestry, marine, maritime & inland water research & the bio-economy

3.851

3. Secure, clean & efficient energy* 5.931

4. Smart, green & integrated transport 6.339

5. Climate action, environment, resource efficiency & raw materials

3.081

6. Europe in a changing world – Inclusive, innovative & reflective societies

1.310

7. Secure societies – Protecting freedom & security of Europe & its citizens

1.695

III. Societal challenges

Proposed funding: € 29.679 million

IV. Spreading excellence & widening participation

816

V. Science with and for society 462

VI. Non-nuclear direct actions of the Joint Research Centre (JRC)

1.903

European Institute of Innovation and Technology (EIT)

2.711

Other priorities

Proposed funding: € 5.893 million