HORIZON 2020 GRANTS: UNDERSTANDING THE COMPLEXITIES FROM APPLICATION TO AWARD

Size: px

Start display at page:

Download "HORIZON 2020 GRANTS: UNDERSTANDING THE COMPLEXITIES FROM APPLICATION TO AWARD"

Stephanie Pearson
6 years ago
Views:

1 HORIZON 2020 GRANTS: UNDERSTANDING THE COMPLEXITIES FROM APPLICATION TO AWARD Tools and Tips for US EU Collaboration Under Horizon 2020 Mississippi State University November 6, 2017

2 AGENDA INTRODUCTION THE EU FRAMEWORK PROGRAM OVERVIEW HORIZON 2020 OVERVIEW HOW TO PARTICIPATE IN HORIZON 2020 CHALLENGES FOR US INSTUTIONS HARVARD GLOBAL CASE STUDY QUESTIONS

HARVARD UNIVERSITY Established : Oldest institution of higher education in the United States, established in 1636 by vote of the Great and General Court of the Massachusetts Bay Colony Faculty: About

3 HARVARD UNIVERSITY Established : Oldest institution of higher education in the United States, established in 1636 by vote of the Great and General Court of the Massachusetts Bay Colony Faculty: About 2,400 faculty members and more than 10,400 academic appointments in affiliated teaching hospitals Decentralized structure with 10 faculties and Radcliffe Students: Harvard College: About 6,700 Graduate and professional students: About 15,250 Total: About 22,000 Honors: 48 Nobel Laureates, 32 heads of state, 48 Pulitzer Prize winners

4 WHAT DO YOU KNOW ABOUT THE EU FRAMEWORK PROGRAMMES (FP)? The Framework Programmes for Research and Technological Development, also called Framework Programmes or abbreviated FP1 through FP7 with "FP8" being named "Horizon 2020", are funding programmes created by the European Union/European Commission to support and foster research in the European Research Area (ERA). The specific objectives and actions vary between funding periods. In FP6 and FP7 focus was still in technological research. In Horizon 2020 the focus is in innovation, delivering economic growth faster and delivering solutions to end users that are often governmental agencies.

5 EU FRAMEWORK PROGRAMMES KEY ELEMENTS OF RESEARCH POLICY IN EUROPE The First Framework Programme for research funding started in Since then scope and scale has been expanded matching the evolution of EU itself. In 1986, the Single European Act included for the first time a specific chapter on research, which put the emphasis on applied research aiming at supporting the competitiveness of European industry. In the 1980s there was only a small programme to support fundamental research. By 2007, the European Research Council (ERC) had been launched. The ERC, which represents 17 % of the EUR 80 billion budget of the current Horizon 2020 Framework Programme, supports fundamental research carried out by individual teams.

6 EU FRAMEWORK PROGRAMMES HISTORY

7 WHY COLLABORATE WITH THE EU? Access to 500 million people, 28 countries and a single market Single market equates to free movement of people, goods, services, capital and knowledge

8 WHY COLLABORATE WITH THE EU? EU INVESTMENT IN R&D Gross domestic expenditure on R&D (R&D intensity), EU-28, Source: Eurostat online data code 8

9 WHY COLLABORATE WITH THE EU? HORIZON 2020

10 HORIZON 2020: OVERVIEW HORIZON 2020: THE $87BN PROGRAMME

11 WHY COLLABORATE WITH THE EU? MULTILATERAL COOPERATION 11

HORIZON 2020: THREE PRIORITIES STRUCTURE OF HORIZON 2020 Industry driven:

Industrial leadership 17 billion 1 Excellent science 24.

driven: Excellent science is the foundation of tomorrow s technologies, jobs

12 HORIZON 2020: THREE PRIORITIES STRUCTURE OF HORIZON 2020 Industry driven: Strategic investments in key technologies Support to innovative companies 2 Industrial leadership 17 billion 1 Excellent science 24.4 billion 3 Societal challenges 31 billion Open to the world Researchers driven: Excellent science is the foundation of tomorrow s technologies, jobs and wellbeing Society driven: Address concerns of citizens and society/eu policy objectives Multidisciplinary collaborations

13 HORIZON 2020 INTERNATIONAL COOPERATION International cooperation is crucial to address many Horizon 2020 objectives Principle of general openness: the programme will remain to be the most open funding programme in the world H2020 shall be open to the association of: acceding countries, candidate countries and selected international partner countries that fulfil the relevant criteria (capacity, track record, close economic and geographical links to the Union, etc.) Targeted actions to be implemented taking a strategic approach to international cooperation (dedicated measures in the Inclusive, innovative and secure society challenge)

14 HORIZON 2020 RULES OF PARTICIPATION Applicants from non-eu countries are eligible to take part in Horizon 2020 programmes, even as coordinator All proposals must meet certain minimum conditions (in Rules for Participation) For standard collaborative actions: at least three legal entities - each established in a different Member State or an Associated Country. In addition, participants from any other country in the world can also be included Additional conditions can be set out in the work programme or work plan, e.g. number of participants, type of participants etc.

16 HOW TO PARTICIPATE IN H2020? OVERVIEW STEP 1: Register your organization online on the Participant Portal STEP 2: Receive a Participant Identification Code (PIC) STEP 3: Validate your PIC STEP 4: Appoint a LEAR and an L-SIGN 16

17 HOW TO PARTICIPATE IN H2020? WHAT HAPPENS AFTER I GET A PIC? = OPEN COMPETITION + PEER REVIEW Find a relevant call (annual work programme) Form a consortium* Submit a proposal Be selected & Get involved!

18 List of open calls for proposals Example of a Work Program me (LEIT)

UNDERSTANDING THE CALL TOPICS 'PHC 2 2015' 'Specific

20 UNDERSTANDING THE CALL TOPICS 'PHC ' 'Specific challenge' 'Scope' 'Expected impact' 'Type of action' 20

21 FROM CALL TO GRANT Publication of the calls Time to prepare the proposal Submission of proposals Evaluation Signature grant agreement Finalisation of the grant Information on the outcome of the evaluator 21

22 AWARD MANAGEMENT UNDER H2020

23 THE COMPARISON AGREEMENT STRUCTURE EU Financial Regulation H2020 Rules for Participation Work Programme Grant Agreement Standard Forum Negotiated between EU & Coordinator Signed by all beneficiaries Consortium Agreement Binds the consortium of all partners Signed by all beneficiaries EU does not sign

24 THE COMPARISON AGREEMENT STRUCTURE Model agreements used to craft actual agreements Many models available Similar, but not the same Choice driven by grant program type (general vs. specific) Choice also driven by number of beneficiaries (mono- vs. multibeneficiary) Consortium agreement Other supplemen tal agreement s Grant agreement Multi-beneficiary grant

25 CHALLENGING TERMS & CONDITIONS

26 ROLES AND GOVERNANCE STRUCTURE Article 41.2 & Section 6 Formal division of roles and obligations Coordinator manages grant activities for all beneficiaries and serves as the single point of contact for the funding agency Consortium agreement used to create additional rights and responsibilities among beneficiaries Consortium agreement imposes a pre-established governance structure on the beneficiaries

27 ELECTRONIC EXCHANGE SYSTEM Articles 17 & 52 Electronic exchange system used for all formal communication with agency and all financial and legal administration of the grant by beneficiaries Access to system requires registration and validation of the organization and of the Legal Entity Appointed Representative (LEAR)

28 PROMOTING GRANT ACTION AND RESULTS Article 38 Must implement a strategic and effective plan to promote the grant action and its results Plan must ensure the visibility of EU s funding for grant action and results

29 PROTECTING THE RESULTS Articles 26 & 27 For four years after the project ends, must take adequate steps to protect the results Protective measures include coordinating with funding agency and other grant beneficiaries before licensing or disseminating results Failure to protect may result in assumption of ownership by the funding agency

30 OPEN ACCESS DISSEMINATION Article 29 Must provide free and online access to scientific publications, data, and bibliographic metadata Must also report on compliance with this obligation

31 JOINT AND SEVERAL LIABILITY Article 41.1 Consortium members are jointly and severally liable for the technical implementation of the grant action

32 FINANCIAL STATEMENTS AND PAYMENTS Articles 20.6 & 21.6 Financial statements must be drafted in euros Payments to grant beneficiaries will be made in euros

33 POTENTIAL PENALTIES Articles 43 & 45 Funding agency may reduce the grant award for improper implementation or for breach of the agreement terms Funding agency may also impose financial or administrative penalties for substantial errors or serious breach Agency will follow contradictory procedure outlined in grant

34 EUROPEAN LAW AND JURISDICTION Article 57 Grant agreement is governed by applicable EU law, supplemented by Belgian law where necessary Jurisdiction for adjudicating disputes resides with the General Court, or the Court of Justice of the European Union on appeal

35 OTHER OBLIGATIONS ROOTED IN EU LAW Articles 32, 33, 35 Some obligations are based on EU law Grant recipients must comply with and report on their adherence to these obligations Recruitment and working conditions Gender equality Conflict of Interest Failure to comply may result in grant reduction

36 ACCESS RIGHTS TO RESULTS AND BACKGROUND IP Articles 25 & 31 Must authorize use of results or background technology identified to the project when needed to implement actions under the project This use must be authorized on a royalty-free basis For one year after the project ends, access must also be granted when needed to exploit results This use shall be under fair and reasonable conditions

37 CAPPED RATE OF INDIRECT COST RECOVERY Article 6.2 E Entitled to recover a flat rate of 25% of the eligible total direct costs, minus any Costs for subcontracting Costs of in-kind contributions incurred by third parties not used on the beneficiaries premises The costs of providing financial support to third parties

38 Compliance Difference: Effort Tracking & Timesheets According to the EU: For personnel costs (declared as actual costs or on the basis of unit costs), the beneficiaries must keep time records for the number of hours declared. The time records must be in writing and approved by the persons working on the action and their supervisors, at least monthly /grants_manual/amga/h2020- amga_en.pdf#page=151 38

39 COMPLIANCE CHALLENGES EFFORT TRACKING & TIMESHEETS According to the EU: For personnel costs (declared as actual costs or on the basis of unit costs), the beneficiaries must keep time records for the number of hours declared. The time records must be in writing and approved by the persons working on the action and their supervisors, at least monthly.

40 COMPLIANCE CHALLENGES EFFORT TRACKING & TIMESHEETS All working time ( productive time ) must be recorded for EVERYONE on a monthly basis by an appropriate time-sheet system in order to justify the DIRECT relation between salaries/fringe and the project. Most impacted population is Faculty Time sheet data requirements: Hours need to be broken out by: Grant subproject ( Work Package ) EU grant Non-productive or non-eu work hours Workdays and non-workdays (holidays, weekends, sick, vacation, etc.)

41 COMPLIANCE CHALLENGES EFFORT TRACKING & TIMESHEETS

42 COMPLIANCE CHALLENGES EFFORT TRACKING & TIMESHEETS Employee contracts or equivalent act Standard number of productive hours = 140/month (52 weeks 4 weeks X 35 hours / 12) Must align with other effort reporting (e.g., ECRT)

43 HARVARD GLOBAL A NEW MODEL

44 HARVARD GLOBAL MODEL THE BASICS Global operations infrastructure Overseen by Harvard University s Department of Global Support Services Includes overseas payroll, disbursements, accounting, taxes, business registrations and filings Harvard departments contract with HG for this work Fully deployed in 2013 Grants management Overseen by Harvard University s Office for Sponsored Programs HG applies for and receives grants directly from certain funders Grants may be for domestic projects HG performs substantive work on grants and also contracts with Harvard University, as needed

45 HARVARD GLOBAL MODEL WHY IS THE MODEL HELPFUL? Limitation of Financial Risk for the Institution is achieved through this Model. Expertise is developed in the Central Office and shared by Departments and Faculty. Level of Service and Support in the face of research funding decline. Compliance measures and internal controls are provided for an otherwise complex and unfamiliar system. And remember: No US federally-funded grants, limited subcontracts and limited cost sharing.

46 HARVARD GLOBAL MODEL HOW DO WE TREAT EU PROJECTS? Like every other sponsored project except for: Training for Faculty and Researchers EU Boot Camp for all involved in the Project Training for Departmental Research Administrators Core Group of Pre/Post Experts in Central Administration that handle all questions and financial reporting related to the Award Maintain constant communication with Lead Beneficiary Research Administrators

47 HORIZON 2020 & A THIRD COUNTRY WHAT S IN IT FOR YOU? Fully open to the participation of ALL Researchers, Innovators, and Institutions in ALL Calls for Proposals Topics 3 rd country participation is by default NOT ELIGIBLE FOR FUNDING under Horizon 2020 US institutions eligible for funding for all HEALTH calls under H rd countries eligibility for funding always within the call text 47

48 HORIZON 2020 AND THE US

49 THIRD COUNTRY FOCUS: US PARTICIPATION US Entities are considered a Third Country for all projects US Entities may qualify for funding if the USA is explicitly identified in the relevant work programme and call for proposal as eligible or their participation is deemed by the European Commission to be essential for carrying out the action. when participating in the health programme on the basis of a reciprocal EU - US/NIH arrangement US-partners are eligible for funding for all calls under the Societal Challenge Health, demographic change and well-being 49

50 THIRD COUNTRY FOCUS: US PARTICIPATION Leverage existing or reciprocal Research Partnerships Consider Hosting a MSCA Fellow Participating is not just about funding but rather engaging on a global stage. Be aware as a new participant that the administrative learning curve is high. Make sure you push for budget early. Be honest with your partners and collaborators about your knowledge of EU grants. Ask questions! If you don t understand your requirements, make sure the coordinator knows. 50

HORIZON 2020 AND A THIRD COUNTRY WHY BOTHER? WHAT ARE THE BENEFITS? Connect teams and individual researchers with Europe s excellence in research and innovation and increase research quality globally.

51 HORIZON 2020 AND A THIRD COUNTRY WHY BOTHER? WHAT ARE THE BENEFITS? Connect teams and individual researchers with Europe s excellence in research and innovation and increase research quality globally. Access to Europe's expertise, equipment, facilities, data, infrastructures, and world-leading scientific networks. Boost your individual researcher career through mobility and researcher staff exchange, business and commecialisation opportunities. Work together with European partners on tackling most pertinent societal challenges affecting your country.

52 IMPLEMENTING ARRANGEMENT. The US Government looks forward to continue the discussions with you and your team as you plan for FP9. We hope that through further discussions in advance of FP9, we can return to an approach that would support enhanced U.S.-EU S&T cooperation.. Dr. John Holdren Director, White House office of Science and Technology Policy 52

53 IMPLEMENTING ARRANGEMENT: IN A NUTSHELL The Implementing Arrangement aims to enable research partnerships between U.S. Research institutions and Horizon2020 participants. refers to U.S. researchers not receiving funding from Horizon2020 but wanting to collaborate with Horizon2020 consortiums. The participating EU and US institutions cooperate in accordance with applicable laws, rules, policies and regulations of their respective funding program Administrative and scientific reportings in accordance with rules and regulations ofsuchfunding body. are encouraged to reach a common understanding in respect of IP, data access and data disseminatzion as well as other matters essential to research collaboration governance. Funding of collaborative activities by either the US Government or the EC does not depend on a successful award from the other side.

54 RESOURCES Participant Portal EURAXESS Bilat EU Delegation Website Horizon 2020 website Participant Portal

55 Thank you! Mississippi State University National Association of College and University Research Administrators European Commission Bilat 4.0 USA Ryan Lankton, University of Michigan Annika Glauner, ETH Zurich *for permission to use slides that were previously copresented on this topic

56 QUESTIONS? Jennifer Ponting: Director, Pre-Award Services Office for Sponsored Programs Harvard University

Horizon 2020 Condensed

Horizon 2020 Condensed The Legal and Financial Basics Under FP7, legal and financial issues represented a constant battle for many institutions and a number of issues had to be clarified by the European