The document outlines the process for participating in EU-funded collaborative research and innovation projects, particularly within the FP7/H2020 framework. It provides details on proposal submission phases, evaluation criteria, funding models, and partner search resources for applicants. Key features include varying funding percentages for direct and indirect costs, along with specific calls for proposals and guidelines for SMEs.

1. Technology Strategy Board
Driving Innovation
Cliff
Funnell
UK
FP7/H2020
Surface
Transport
NCP

2. Most
important
Slide
Contact
NCP:
Cliff.funnell@tsb.gov.uk
07813
301007
Technology Strategy Board
Driving Innovation

3. Technology Strategy Board
Driving Innovation
Overall
UK
Performance
in
FP7
EU
provides
up
to
20%
of
HEIs‘ external
research
income
UK
received
15.2%
of
FP7
spend
(second
only
to
Germany
–
16.1%)
UK
parNcipates
in
more
projects
than
any
other
Member
State
UK
return
for
Rail
projects
around
15%!

4. The
basics!
Technology Strategy Board
Driving Innovation
The
European
Commission
supports
collaboraNve
Research
and
InnovaNon
projects
by
means
of
grants.
Calls
are
launched,
inviNng
applicants
to
submit
project
proposals
which
fall
within
the
remit
of
the
Work
Programme.
The
collaborators
form
a
consorNum
which
generally
include
three
independent
partners
from
different
EU
member
or
associated
states.
DocumentaNon
for
parNcular
calls
for
proposals
can
be
downloaded
from
the
ParNcipant
Portal
[hWp://ec.europa.eu/research/parNcipants/portal]

5. Technology Strategy Board
Driving Innovation
.
Proposals
are
submiWed
by
the
coordinaNng
partner,
electronically,
using
the
parNcipant
portal,
before
a
fixed
date
and
Nme.
Submission
rules
are
published
in
the
specific
‘Guide
for
Proposers’
which
details
the
submission
process
and
sets
rules
which
are
rigorously
applied.
For
PPPs
and
CSAs
there
will
be
a
one-­‐stage
proposal
For
other
collaboraNve
projects
there
will
be
a
two-­‐stage
proposal

6. Two-­‐Stage
Proposals
Technology Strategy Board
Driving Innovation
Stage
1:
Outline
proposals
[max
15
pages
+
list
of
partners]
Evaluated
remotely
Limited
criteria
(Excellence
and
Impact)
Minimum
thresholds
of
4
out
of
5
for
both
criteria
Submission
deadline
at
28th
March?
Successful
proposals
are
invited
to
submit
a
complete
proposal
in
Stage
2

7. Two-­‐Stage
Proposals
Technology Strategy Board
Driving Innovation
Stage
2:
Evaluated
against
all
3
criteria
(Excellence,
ImplementaWon
and
Impact);
each
scored
out
of
5;
individual
threshold
of
3;
overall
threshold
of
10.
However,
for
for
InnovaNon
AcNons
and
SME
instrument,
Impact
criterion
weighted
by
factor
of
1.5
Consistency
with
first
stage
proposal
to
be
confirmed:
no
changes
of
key
partners;
no
deviaNons
above
+/-­‐20%
in
the
budget;
no
substanNal
change
in
the
scope
of
the
work
Final
submission
deadline
at
29th
August?

8. Technology Strategy Board
Driving Innovation
Proposals
are
evaluated
and
ranked.
The
number
of
projects
to
be
funded
(beginning
with
the
top-­‐ranked
proposals)
depends
upon
the
budget
allocated
to
the
Work
Programme.
Successful
applicants
are
invited
to
enter
contract
negoNaNons
with
the
Commission
to
determine
the
terms
and
condiNons
of
the
award.
This
necessitates
validaNon
of
the
idenNty
and
financial
status
of
the
proposers,
and
the
formal
DescripNon
of
Work
to
be
undertaken.
The
consorNum
partners
prepare
a
ConsorNum
Agreement
that
defines
the
way
the
consorNum
will
operate,
including
ownership
of
IPR

9. Technology Strategy Board
Driving Innovation
Commencement
of
the
project
follows.
Usually,
within
30
days
a
substanNal
pre-­‐financing
payment
is
made
by
the
Commission
The
coordinaNng
partner
interfaces
with
The
Commission
through
a
specific
Project
Officer.
Progress
reports
and
interim
cost
claims
are
submiWed;
usually
on
an
annual
basis.
Around
90%
of
the
grant
is
payable
before
the
project
ends.
The
remainder
or
retenNon
awaits
compleNon
of
all
documents.

10. Proposal
Process
3.
Call
for
Proposals
Applicants
Support
from
Na2onal
Contact
Points
4.
Submission
of
Proposals
5.
EvaluaWon
by
Independent
Panel
of
Experts
6.
Ranking
of
proposals
7.
Decision
on
projects
to
be
funded
8.
Contract
negoWaWon
between
applicant
and
Commission
9.
Grant
offered
Technology Strategy Board
Driving Innovation

11. Funding model
Technology Strategy Board
Driving Innovation
Direct
costs:
• Research
&
InnovaNon
AcNons
• Up
to
100%
of
total
eligible
costs
• InnovaNon
AcNons
(near-­‐market
acNviNes,
e.g.
prototyping,
tesNng,
demonstraNng,
experimental
development,
piloNng
etc.)
• Up
to
100%
(not-­‐for-­‐profit
organisaNons)
or
70%
(others)
of
total
eligible
costs
Indirect
costs:
• A
further
25%
of
total
eligible
direct
costs
• No
full
cost
opNon

12. The
ConsorWum
Technology Strategy Board
Driving Innovation
For
CollaboraNve
Projects
:
• Three
independent
legal
enNNes
from
three
different
Member
States
or
Associated
States
Not
Limited
to
European
countries!

13. Finding partners
Technology Strategy Board
Driving Innovation
Partner
Finding
Services
Friends of
Existing
Contacts
Existing
Contacts

14. ETNA
Plus
–
NaWonal
Contact
Points
Technology Strategy Board
Driving Innovation

15. NCP
Partner
Search
Plaborm
Technology Strategy Board
Driving Innovation
15

16. NCP
Partner
Search
Plaborm
Technology Strategy Board
Driving Innovation
16

17. NCP
Partner
Search
Plaborm
Technology Strategy Board
Driving Innovation
17

18. Other
Partner
Search
Sources
Technology Strategy Board
Driving Innovation
• Past/Ongoing
Projects
•
•
•
CORDIS
Transport
Research
&
InnovaNon
Portal
[TRIP]
ETP
directories
of
projects
• ERRAC
Membership,
e.g.
working
groups
• InformaNon
Days
• Brokerage
Events

19. Horizon
2020
–
2014
Call
Technology Strategy Board
Driving Innovation
What
do
we
know
at
the
moment?
• Dran
WPs
available
[31st
October]
-­‐
but
wording
may
sNll
change!
• Overall
funding
model
• Call
published
on
11th
December
• Transport
InformaNon
Days
on
18th
December
hWp://ec.europa.eu/research/transport/events/infoday2013/index_en.htm
• The
total
budget
and
structure
of
2014/2015
Calls
• The
likely
project
size/funding
for
each
Topic
–
indicated
in
topic
text

20. SME support: integrated approach
20 %
budgetary
target in
LEITs & SC
'Innovation
in SMEs'
Collaborative projects
13%
Horizon
2020
Technology Strategy Board
Driving Innovation
SME instrument
7%
Access to Risk
Finance
Eurostars II
Enhancing Innovation Capacity
Market-driven Innovation
20

21. SME
instrument
main
features
Technology Strategy Board
Driving Innovation
• 7%
of
SC/LEIT
budget
allocated
to
SME
instrument
• Targeted
at
all
types
of
innovaNve
SMEs
• Only
SMEs
allowed
to
apply
for
funding
(single
company
support
possible)
• Market-­‐oriented,
EU
dimension
• BoWom-­‐up,
although
each
Societal
Challenge
/LEIT
defines
a
broad
topic
• Grant-­‐based
staged
funding

22. Technology Strategy Board
Driving Innovation

23. Technology Strategy Board
Driving Innovation
• ConNnuously
open
call
with
around
four
cut-­‐off
dates
per
year
• Opening
on
1st
March
2014
• First
cut-­‐off
for
Phase
1
on
18th
June
2014;
• First
cut-­‐off
for
Phase
2
in
November
2014.
• No
obligaNon
for
applicants
to
sequenNally
cover
all
three
phases
• Funding
for
Phase
2
-­‐
70%
(excepNons
possible)
• Phase
1:
•
10%
of
budget
•
10%
success
rate
• Phase
2:
• 88%
of
budget
• 30
–
50%
success
rate
23

24. EvaluaWon
of
SME
Instrument
Technology Strategy Board
Driving Innovation

25. Access to Finance – Two facilities
Technology Strategy Board
Driving Innovation
The debt facility will provide:
•
loans to single beneficiaries for investment in research and innovation;
•
guarantees to financial beneficiaries making loans to beneficiaries;
•
combinations of loans and guarantees, and guarantees or counter-guarantees for
national and regional debt- financing schemes.
•
an SME window targeting R&I-driven SMEs with loan amounts that complement finance
to SMEs by the Loan Guarantee Facility
The equity facility
•
venture and/or mezzanine capital to individual enterprises in the early stage (start-up
window).
•
expansion and growth-stage investments in conjunction with the Equity Facility for
Growth

26. Contacts
Technology Strategy Board
Driving Innovation
Contact
NCP
Cliff.funnell@tsb.gov.uk
07813
301007
Register
interest/access
EU
informaWon
hWp://ec.europa.eu/research/parNcipants/portal
Partner
Search
&
Sources
of
informaWon
/
roadmaps
/
funded
projects
hWp://www.errac.org
hWp://www.transport-­‐ncps.net/
hWp://www.transport-­‐research.info/