ecas guide to european funding for the non-profit sector
TRANSCRIPT
ECAS Guide to European Funding for
the Non-Profit Sector
22nd edition Co-authors: Marta Pont and Dimitra Panagiotatou
Editing: Alex Lea Editor-in-Chief: Assya Kavrakova
77, Avenue de la Toison d’Or, 1st floor 1060 - Bruxelles
Tel: +32 2 548 04 90 Fax: +32 2 548 04 99
E-mail: [email protected] Website: http://www.ecas.org/
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This document is copyright of ECAS © ECAS 2016. All rights reserved
You may not, except with the express written permission of the author, distribute or
commercially exploit its content.
Cover design: François Bellens - Managing Director of 2B.COM S.P.R.L
“This project has been funded with the support of the Europe for Citizens
Programme. The European Commission support for the production of this publication
does not constitute an endorsement of the contents which reflect the views only of
the authors, and the Commission cannot be held responsible for any use which may be
made of the information contained therein.”
ISBN number: 2-87451-029-7
Price: EUR 49 (eBook) and EUR 59 + shipping costs (printed version)
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FOREWORD
Dear ECAS members, colleagues and friends,
We are pleased to present to you the 22nd edition of ECAS’ Funding Guide for the Non-Profit
Sector, which this year is offered in two formats – an e-Book and a printed version – in order
to meet the different needs and preferences expressed by our readers.
The e-Book offers enhanced accessibility, as it can be consulted any time from any electronic
device and can be in addition saved as a PDF file. On the other hand, the printed version
remains the classical book for consultation, more suitable for those who are looking for a
publication to which they can refer on a regular basis. The 2016 edition builds on the previous
edition, both in terms of content and layout, and presents the following improvements:
Increased user-friendliness through diagrams and images which summarise and
highlight the main concepts of funding;
An expanded list of tips and recommendations for preparing a project application;
A more extensive list of non-EU funding sources, including international organisations,
national and regional foundations and private donors to diversify your funding matrix;
An updated and expanded list of contacts at the European Commission and its
executive agencies for the different funding programmes.
The e-Funding Guide comes as part of the upgraded package of services we offer to our
Members. ECAS’ online membership area (http://members.ecas.org), which was launched in
January 2015, offers our Members access to:
Individual and timely advice on EU funding opportunities and programmes;
Monthly funding updates on open calls for proposals and tenders;
Free access to the e-Funding Guide;
Information about relevant EU information days and networking events;
Opportunities to identify other members active in their policy fields and build
partnerships for projects.
We hope that you will find this new edition useful and practical in terms of both content and
accessibility. We very much appreciate your feedback as providing quality services is one of
our priorities, and kindly invite you to send us your comments or remarks to
Sincerely Yours,
Assya Kavrakova
ECAS Director
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LIST OF ABBREVIATIONS
ACP African, Caribbean and Pacific Countries AMIF Asylum, Migration and Integration Fund CAP Common Agricultural Policy CBC Cross-Border Cooperation Programme CBSS Country Based Support Scheme CECIS Common Emergency Communication & Information System CEF Connecting Europe Facility CFP Common Fisheries Policy CFSP Common Foreign and Security Policy CHAFEA Consumers, Health and Food Executive Agency CIP Competitiveness and Innovation Programme CISE Common Information Sharing Environment CLLD Community-Led Local Development CNECT Communications Networks, Content and Technology (DG) CORDIS Community Research and Development Information Service COSME EU programme for the Competitiveness of Enterprises and SMEs CSA Coordination and Support Action CSF Common Strategic Framework CSO Civil Society Organisation CSO-LA Civil Society Organisations and Local Authorities DAC Development Assistance Committee (of the OECD) DCI Development Cooperation Instrument DG Directorate-General (of the European Commission) EAC Education and Culture (DG of the European Commission) EACEA Education, Audiovisual and Culture Executive Agency EAFRD European Agricultural Fund for Rural Development EAGF European Agricultural Guarantee Fund EAO European Audiovisual Observatory EaSI EU Programme for Employment and Social Innovation EASME Executive Agency for Small and Medium-sized Enterprises EC European Commission ECAS European Citizen Action Service ECHO European Commission's Humanitarian Aid and Civil Protection Department ECR European Research Council EDF European Development Fund EDRIS European Emergency Disaster Response Information System EEA European Economic Area EEAS European External Action Service EFTA European Free Trade Area EIB European Investment Bank EIDHR European Instrument for Democracy and Human Rights EIF European Investment Fund EIP European Innovation Partnership EIUC European Inter-University Centre for Human Rights and Democratisation
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EMFF European Maritime and Fisheries Fund EMN European Migration Network EMSA European Maritime Safety Agency EMU European Monetary Union ENI European Neighbourhood Instrument ENP European Neighbourhood Policy ENRD European Network for Rural Development EPALE European Platform for Adult Learning EPCIP European Programme for Critical Infrastructure Protection ERA European Research Area ERC European Research Council ERCC Emergency Response Coordination Centre ERDF European Regional Development Fund ESF European Social Fund ESIF European Structural and Investment Funds ESMA European Maritime Safety Agency EU European Union EUAV EU Aid Volunteers Initiative EURES European Employment Services FEAD Fund for European Aid to the Most Deprived FP7 7th Framework Programme FPA Framework Partnership Agreement GDP Gross Domestic Product GMES European Earth monitoring programme GNI Gross National Income GPGC Global Public Goods and Challenges Programme IA Innovation Action IcSP Instrument contributing to Stability and Peace IMP Integrated Maritime Policy INEA Innovation and Networks Executive Agency IOM International Organization for Migration IPA Instrument for Pre-Accession Assistance IPA II Instrument for Pre-Accession Assistance (Phase II) ISF Internal Security Fund (ISF) ITI Integrated Territorial Investment Approach JAES Joint Africa-EU Strategy KA Key Action (Erasmus+) LDC Least Developed Country LEADER Liaison Entre Actions de Développement de l'Économie Rurale (in French) LGBTI Lesbian, Gay, Bisexual, Transgender and Inter-sex persons LIFE EU Programme for Environment and Climate Action MDP Food Distribution programme for the Most Deprived Persons MFF Multiannual Financial Framework MIP Multi-Annual Indicative Programme MOVE Mobility and Transport (DG) MSCA Marie Skłodowska-Curie Actions NCFF Natural Capital Financing Facility NCP National Contact Point
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NEAR Neighbourhood and Enlargement Negotiations (DG) NEET Young people not in employment, education or training NGO Non-Governmental Organisation NIP National Indicative Programme NUT Nomenclature of Units for Territorial Statistic OCT Overseas Countries and Territories ODA Official Development Assistance OECD Organisation for Economic Cooperation and Development OLAF European Anti-Fraud Office (of the European Commission) OP Operational Programmes PADOR Potential Applicant Data On-Line Registration PbP Peace-building Partnership PF4EE Private Financing for Energy Efficiency PI Partnership Instrument for Cooperation with Third Countries PPP Public-Private Partnership REC Rights, Equality and Citizenship Programme RIA Research and Innovation Action SDG Sustainable Development Goal SFPA Sustainable Fisheries Partnership Agreement SME Small and Medium-sized Enterprise TEN-T Trans-European Transport Network TO Thematic Objective TTIP Transatlantic Trade and Investment Partnership Agreement UNHCR United Nations High Commissioner for Refugees WHO World Health Organisation VET Vocational and Educational Training YEI Youth Employment Initiative YEP Youth Employment Package
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TABLE OF CONTENTS
FOREWORD ................................................................................................................................. 3
LIST OF ABBREVIATIONS .............................................................................................................. 4
TABLE OF CONTENTS ................................................................................................................... 7
INTRODUCTION ........................................................................................................................... 9
WHO ARE WE AND WHAT ARE OUR GOALS? ..................................................................................... 10
THE FUNDING GUIDE AT A GLANCE ................................................................................................... 11
EU FUNDING PERSPECTIVES AND PRIORITIES FOR THE COMING YEARS .................................... 13
THE EU BUDGET AND ITS MODALITIES ............................................................................................... 13
HOW IS THE BUDGET ADOPTED? ....................................................................................................... 14
HOW IS THE BUDGET MANAGED? ..................................................................................................... 14
THE EU BUDGET FOR 2016 ........................................................................................................ 16
THE EUROPE 2020 STRATEGY .......................................................................................................... 17
THE MULTIANNUAL FINANCIAL FRAMEWORK 2014-2020 ................................................................... 18
MFF STRUCTURE AND CONTENT ....................................................................................................... 20
THE COMMISSION WORK PROGRAMME FOR 2016.............................................................................. 22
HOW TO GAIN ACCESS TO EUROPEAN FUNDING .................................................................................. 24
USEFUL WEBSITES AND DOCUMENTS ................................................................................................. 25
BUDGET LINES RELEVANT FOR THE NON-PROFIT SECTOR ......................................................... 27
HEADING 1A: COMPETITIVENESS FOR GROWTH AND JOBS ..................................................................... 30
General Introduction ............................................................................................................. 30
Main funding Instruments .................................................................................................... 32
Horizon 2020: The EU Research and Innovation Programme ........................................ 32
EaSI: Fostering Employment and Social Innovation in Europe ....................................... 42
Connecting Europe Facility: Enhancing Europe´s digital, telecom and energy
infrastructure .................................................................................................................... 49
ERASMUS+: The Education, Training, Youth and Sport Programme .............................. 55
HEADING 1B - ECONOMIC, SOCIAL AND TERRITORIAL COHESION ............................................................ 66
General Introduction ............................................................................................................. 66
ESIF characteristics ................................................................................................................ 67
Implementing the Cohesion Policy ....................................................................................... 69
Exploring Synergies and Combining Funds ........................................................................... 70
European Structural & Investment Funds and other Initiatives .......................................... 72
European Regional Development Fund .......................................................................... 72
European Social Fund ....................................................................................................... 79
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Youth Employment Initiative ............................................................................................ 84
Fund for European Aid to the Most Deprived ................................................................. 89
Support to Asylum Seekers ............................................................................................... 93
Cohesion Fund ................................................................................................................... 98
HEADING 2 – SUSTAINABLE GROWTH: NATURAL RESOURCES .............................................................. 102
General Introduction ........................................................................................................... 102
Main funding instruments .................................................................................................. 103
Life: The EU Programme for Environment and Climate Change .................................. 103
European Agricultural Fund for Rural Development ..................................................... 108
European Maritime and Fisheries Fund ......................................................................... 114
HEADING 3 - SECURITY AND CITIZENSHIP .......................................................................................... 119
General Introduction ........................................................................................................... 119
Main Funding Instruments .................................................................................................. 120
Justice Programme .......................................................................................................... 120
Rights, Equality and Citizenship Programme ................................................................. 124
Asylum, Migration and Integration Fund ...................................................................... 128
Europe for Citizens Programme ..................................................................................... 133
Creative Europe Programme .......................................................................................... 141
Consumer Programme .................................................................................................... 149
Health Programme .......................................................................................................... 154
HEADING 4 – GLOBAL EUROPE ....................................................................................................... 161
General Introduction ........................................................................................................... 161
Main Funding Instruments & Other Initiatives .................................................................. 163
The Instrument for Pre-Accession Assistance .............................................................. 163
European Neighbourhood Instrument ......................................................................... 169
Development Cooperation Instrument ......................................................................... 175
Partnership Instrument for Cooperation with Third Countries .................................... 184
European Development Fund (EDF) .............................................................................. 188
European Instrument for Democracy and Human Rights ............................................ 192
Instrument Contributing to Stability and Peace ............................................................ 197
Humanitarian Aid Instrument ......................................................................................... 201
Union Civil Protection Mechanism ................................................................................. 206
EU Aid Volunteers Initiative ............................................................................................ 211
RECOMMENDATIONS FOR A SUCCESSFUL PROJECT APPLICATION .......................................... 217
BEFORE STARTING THE APPLICATION PROCESS: ................................................................................... 219
WHEN WRITING THE PROJECT APPLICATION: ...................................................................................... 224
ALTERNATIVE FUNDING SOURCES AND CO-FUNDING ............................................................. 226
PRIVATE FOUNDATIONS ................................................................................................................. 226
INTERNATIONAL/EUROPEAN ORGANISATIONS .................................................................................... 266
NATIONAL/REGIONAL FOUNDATIONS ............................................................................................... 281
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INTRODUCTION
In recent years, there has been growing interest in funding from the European Union budget.
The climate of economic austerity and insecurity, as well as the multiple crises that have
occurred in the past few years, has seen serious cuts in the amount of funding available at the
national and regional levels. This curtailment of finance has led various bodies, actors and
individuals to increasingly seek funding opportunities at the European level – especially non-
profit actors, whose funding streams have been particularly affected.
The EU allocates considerable financial resources to projects and actions that are related to
its policies and their implementation. This money is used to invest in a broad spectrum of
policy areas ranging from sustainable economic development to employment conditions,
research and innovation, education, culture, health and environmental protection, to name
but a few. In fact, for virtually every idea, initiative or action that could incorporate a
European perspective or dimension, there is a dedicated budget line at the EU level, offering
many opportunities for fund-seekers.
However, in spite of the mounting appeal of EU funding opportunities, prevailing prejudices
about the European budget and the way it is distributed still cause some organisations to
refrain from applying for EU funding, as they believe it to be based on complex rules and
cumbersome procedures only understandable to “insiders”. EU funding rules and procedures
are, indeed, not a walk in the park, but gaining access to EU funds is not impossible provided
that some effort is put into identifying the relevant programmes and funding instruments and
understanding their specific requirements.
For the past 21 years, ECAS has published an annual funding guide for the non-profit sector –
as part of the services it provides to its network of members – in order to address this need
for simplification and guidance. Once again, ECAS is pleased to issue this 22nd edition of the
Funding Guide, which aims to guide the reader through the EU funding opportunities
available to the non-profit sector, singling out the most important features of each
programme as well as the essential requirements that need to be fulfilled in order to submit a
successful project application.
Similar to last year’s edition, this Guide provides an updated reference document for all
programmes, actions and initiatives relevant to the non-profit sector and funded through the
EU budget, gathering all the essential information and key contact points otherwise scattered
across the different documents and websites of the EU institutions. This Guide aims to
become your reference document to identify programmes of interest and potential funding
opportunities available to your organisation. Following last year’s format, the 2016 edition
comes in an e-format, in line with state-of-the-art publications, so that the reader can access
it from any electronic device and readily find the desired information. In addition, for those
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who still prefer a hard version for consultation, a few copies have been printed and are
available for purchase on ECAS’ website and in some European bookstores in Brussels.
As part of its mission to help bring Europe closer to its citizens, ECAS hopes to encourage
greater levels of cooperation between civil society organisations and the EU institutions. This
is why we believe that EU programmes should not merely be perceived as a source of funding
for projects, but rather as a promising framework for ideas and partnerships to emerge and
for innovation to be stimulated to the benefit of millions of people while fostering
interactions and opportunities to learn from one another. This is, ultimately, what the
European project is all about.
WHO ARE WE AND WHAT ARE OUR GOALS?
The European Citizen Action Service (ECAS) is a Brussels-based, international non-profit
organisation with 25 years of experience and a
pan-European and cross-sectoral membership.
ECAS’ general mission, as defined in its
Statutes, is:
To strengthen the European strategy of
NGOs in member and applicant
countries of the European Union;
To defend people’s free movement
rights and promote a more inclusive
European citizenship; and
To campaign for transparency and
institutional reforms to bring the EU
closer to citizens.
As part of our mission and objectives, we provide free legal advice and technical assistance to
both civil society organisations (CSOs) and citizens on EU citizens’ rights enforcement and
civic participation in the EU decision-making process through a number of dedicated services,
including Your Europe Advice, the EU Rights Clinic and the ECI Support Centre.
We also provide advice and information to our network of approximately 100 members about
funding opportunities and relevant events and updates at the EU level, including regular
alerts about open calls for proposals and tenders, information days and workshops organised
by the EU institutions, networking events and partnership opportunities as they emerge.
In addition, this year, coinciding with our 25th anniversary, we have expanded the services we
offer to the non-profit sector and now offer customised training courses on different topics,
including EU fundraising and project writing, project management and effective advocacy and
Interested in our organisation?
If you think that ECAS matches
your interests, you envisage a
partnership with us and/or you are
thinking of joining our network of
members, we invite you to visit our
website for more detailed
information about our fields of
activity and the services we offer,
or contact us directly via email at:
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implementation, monitoring and decision-making of various funds and initiatives at the
regional and local levels, namely as partners for EU funding.
Finally, the non-profit sector and civil society are able to directly influence the content of the
EU funding programmes and the way funds are allocated through their participation in policy-
making. This can be done via the various consultation tools currently in place, including
traditional public consultations and the Structured Dialogues with the European Commission
set up for different policy fields and funding programmes. In addition, under the new Better
Regulation agenda2, stakeholders are invited to give feedback even in the early stages of
policy-making (through roadmaps and inception impact assessments), as well as on legislative
proposals at the end of the preparatory phase before their adoption by the College of
Commissioners. Furthermore, the Commission invites stakeholders to share their views on EU
policies and funding programmes at any moment, via the Lighten the load - Have Your Say
platform3. Through these platforms, funding-seekers are able to participate in the design and
revision of ongoing funding programmes and better align them to their objectives.
With this goal in mind, we hope you find this Guide useful and instructive, and we wish you all
the greatest success in your proposals and aspirations!
2 http://ec.europa.eu/smart-regulation/stakeholder-consultation/index_en.htm
3 http://ec.europa.eu/smart-regulation/refit/simplification/consultation/consultation_en.htm#up
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The EU’s Sources of Revenue
1. Its traditional own resources, comprising customs duties on imports from outside the EU and sugar levies
2. VAT-based resources, encompassing a percentage (around 0.3%) of each Member State's standardised value added tax (VAT) rate
3. GNI-based resources, comprising a percentage (around 0.7 %) of each Member State's gross national income (GNI)
4. Other resources, including deductions from EU staff salaries, bank interest, fines and contributions from non-EU countries
EU FUNDING PERSPECTIVES AND PRIORITIES FOR THE COMING
YEARS
THE EU BUDGET AND ITS MODALITIES
The European Union has a budget to finance policies carried out at the European level such as
agriculture, research, security and external development aid, as well as for its administration
which includes a parliament, executive branch and judiciary which are distinct from those of
the Member States. These arms administer the application of treaties, laws and agreements
between the Member States and their expenditure on
common policies throughout the Union. According to
the European Commission, 6% of expenditure is on
administration, compared with 94% spent on enacting
the policies themselves. Actions funded by the
European Union are set yearly in the annual budget,
grouped under broad spending categories, known as
headings, and reflect the priorities set by the EU
Member States on a yearly basis. The EU budget,
which is almost entirely funded by its own resources,
fixes income and expenditure per year, lists all the
activities that are to be funded, and sets out the total
amounts of financial allocations and staff available for
each action. Additionally, the budget further cites the
authorising acts for each action.
The operating principles and basic rules governing the
establishment and implementation of the EU’s budget
are fixed in the Financial Regulation4. The Regulation
has a horizontal nature, and is therefore applicable to
all areas of expenditure and revenue. The
Implementing Regulation contains more detailed and
technical rules, essential for the day to day application
of the Financial Regulation. A review of the financial rules is required at least every three
years. In the present economic environment, it is even more important that the delivery
mechanisms of the budget operate in the most efficient way possible and facilitate the
implementation of EU policies whilst ensuring the sound treatment of European taxpayers'
contributions. In particular, it is crucial that these mechanisms are simple and transparent,
especially for the final beneficiaries of EU funds.
4 For full texts, see http://ec.europa.eu/budget/biblio/documents/regulations/regulations_en.cfm
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o Organisations designated by Article 208 and 209 of the Financial Regulation:
agencies, public-private partnership bodies (PPP), and so forth;
o Public law bodies;
o Private law bodies with a public service mission;
o Bodies governed by the private law of a Member State that are entrusted with
the implementation of a public-private partnership (PPP);
o Persons entrusted with the implementation of specific actions in the Common
Foreign and Security Policy (CFSP).
Source: European Commission, DG Budget
The European Commission and national EU governments are equally responsible for
protecting the Union’s financial interests. On one hand, the Commission must recover all
unduly paid funds, whether resulting from error, irregularity or deliberate fraud; whilst on the
other, Member States are expected to cooperate with the Commission and its Anti-Fraud
Office (OLAF) to ensure that all financial instruments are managed properly and in accordance
with the rules. Finally, the Commission’s DG Budget has an important role in budget adoption
and implementation as it helps define the rules for financial management (the Financial
Regulation), establishes internal control standards, manages the accounting system and
prepares the annual accounts.
To finish, the EU budget can be expressed in two types of appropriations, namely:
i) commitments or legally binding promises to spend money on specific initiatives which will
not necessarily be paid out in the same year but may be disbursed over several financial
years; and ii) payments or actual amounts authorised for disbursement in a given year.
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THE COMMISSION WORK PROGRAMME FOR 2016
The Work Programme sets out the European Commission's priorities for 2016. In particular, it
identifies actions or initiatives that are expected to generate added value and create a real
impact on the creation of jobs, growth and investment in the coming months11.
i. A New Boost for Jobs, Growth and Investment: The economic narrative of the
Commission is built around three axes: boosting investment, pursuing structural
reforms and fiscal responsibility. Under this objective one can find social, economic
and environmental initiatives addressed in the following concrete legislative acts: New
Skills Agenda for Europe, New start for working parents, Circular Economy Package,
Review of the MFF 2014-2020 and Next steps for a sustainable European future.
ii. A Connected Digital Single Market: The Digital Single Market outlined by the
Commission in May 2015 will be taken forward with new legislative proposals on
portability, copyright, digital contract rights, VAT for electronic commerce and
consumer protection cooperation. Through the implementation of the Digital Single
Market Strategy, and with the aim of placing Europe at the forefront of a digital
revolution for its citizens and businesses, the EU aspires to digitise all areas of the
economy and of society.
iii. A Resilient Energy Union with a Forward-Looking Climate Change Policy: Following up
on the Framework Strategy, the Energy Union Package sets out the key actions to be
taken in order to ensure the security and efficiency of Europe’s energy supply, reduce
dependence on imports from third countries, further integrate national energy
markets, and promote research and innovation in the field of energy. In addition, a
package detailing a multilateral response to climate change will be adopted under this
initiative.
iv. A Deeper & Fairer Internal Market with a Strengthened Industrial Base: The Single
Market Strategy will be taken forward through an examination of, and subsequent
reaction to, how EU law affects to different business models, alongside other related
challenges. Various legislative packages also fall under this initiative, namely the
Labour Mobility Package, European Defence Action Plan, the Action Plan on VAT,
Corporate Tax Package and the Space Strategy for Europe initiative.
v. A Deeper & Fairer Economic and Monetary Union: Under the European Pillar of Social
Rights, the aim of this action is to address gaps in existing legislation and identify
common principles with a view towards encouraging the convergence of employment
and social performance between Member States over time. In addition, legislative
steps towards a European Bank Deposit Insurance Scheme based on a reinsurance
mechanism and further measures to complete the Banking Union will be taken.
11
For full text, see http://ec.europa.eu/atwork/pdf/cwp_2016_en.pdf
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vi. A Reasonable & Balanced Free Trade Agreement with the U.S: Following-up on the
Trade and Investment Strategy, and building on the Trade for All Strategy for a more
effective and transparent trade and investment policy based on common values, the
Commission will pursue the TTIP negotiations with the US, as well as make progress at
WTO, engage strategically with Asia and ensure that EPAs are well implemented.
vii. An Area of Justice & Fundamental Rights Based on Mutual Trust: So as to reinforce the
fight against cross-border crime and terrorism and encourage judicial cooperation for
the benefit of citizens across the EU, the Commission will take further actions to
implement the European Agenda on Security, including forwarding proposals to
amend the Framework Decision on terrorism, improve rules on firearms and combat
fraud and the counterfeiting of non-cash means of payment.
viii. Towards a New Policy on Migration: In response to the ongoing and unprecedented
migration crisis, the Commission, building on the European Agenda on Migration, is
promoting two new parallel initiatives: Better Migration Management, and the Border
Management Package. The former entails a Communication and further legislative
measures, including an extension of the Blue Card approach and a proposal for a
structured system on resettlement of refugees and revision of the Dublin System on
asylum; whilst the latter aims to assist the EU in progressing towards a European
Border and Coast Guard, building on a reinforced Frontex.
ix. A Stronger Global Actor: In the framework of EU's external action, focus will be given
to the Post-Cotonou Framework which governs relations with the ACP countries and
regions, and a package for capacity building in the security sector which covers
security sector reform and possibly a new instrument dedicated to capacity building in
support of security and development in third countries. Furthermore, the Commission
Boost for Jobs, Growth and Investment Connected Digital
Single Market
Resilient Energy Uniion & Climate
Change Policy
Deeper & Fairer Economic and
Monetary Union
Reasonable & Balanced Free
Trade Agreement with the US
Area of Justice & Fundamental
Rights
New Policy on Migration
Stronger Global Actor
Union of Democratic
Change
EUROPEAN
COMMISSION
WORKPLAN
2016
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Horizon 2020 objectives: To integrate research and
innovation by establishing continuous support throughout the entire process
To use research and innovation funding to respond to major societal challenges
To support innovation and activities close to the market in order to create new business opportunities
MAIN FUNDING INSTRUMENTS
HORIZON 2020: THE EU RESEARCH AND INNOVATION PROGRAMME
Overall Objectives
Horizon 2020 is the EU’s Framework Programme for Research and Innovation. It runs from
2014 until 2020 and implements the Innovation Union flagship initiative12 of the Europe 2020
Strategy13. Horizon 2020 is aimed towards making Europe a world class science performer,
removing obstacles to innovation and changing the way public and private sectors work
together by creating synergies between them.
It also plays a key role in the implementation of
other flagship initiatives, such as A Digital Agenda
for Europe and Resource Efficient Europe.
Horizon 2020 brings together previously separate
programmes to fund research and innovation
activities in Europe, including the 7th Framework
Programme (FP7) and the Competitiveness and
Innovation Programme (CIP), and possesses a
significantly higher budget than the two prior
programmes. Horizon 2020 supports the
development of activities from idea to market,
with a focus on excellent projects regardless of
geographical location.
Legal Basis
Regulation (EU) No 1290/2013 laying down the rules for participation and dissemination in
Horizon 2020 – the Framework Programme for Research and Innovation (2014-2020)14.
Budget
Horizon 2020 has an overall budget of EUR 80 billion for the 2014-2020 programming period,
and the programme’s forecasted budget for 2016 is EUR 9.3 billion. This amount is split
between the three main pillars into which Horizon 2020 is organised, in addition to two
further specific objectives and a horizontal strand encompassing cross-cutting activities:
Pillar 1: Excellent Science (EUR 2.7 billion): Supports world-class science in Europe, by
developing, attracting and retaining research talent and supporting the development
12
See http://ec.europa.eu/research/innovation-union/index_en.cfm?pg=intro. 13
See http://ec.europa.eu/europe2020/europe-2020-in-a-nutshell/flagship-initiatives/index_en.htm. 14
For full text, see http://inea.ec.europa.eu/download/legal_framework/reg1290_2013participation_dissh2020.pdf
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of state-of-the-art research infrastructure. Under this pillar, grants are offered to
individual researchers from anywhere in the world who want to work in Europe;
Pillar 2: Industrial Leadership (EUR 1.7 billion): Aims to speed up the development of
the technologies and innovations that will underpin tomorrow's businesses and help
innovative European SMEs to grow into world-leading companies;
Pillar 3: Societal Challenges (EUR 2.7 billion, a slight increase on 2015): Supports
research and innovation in areas of major concern to the citizens in Europe and those
elsewhere in order to develop breakthrough solutions. The priorities funded under
this pillar are the most relevant for the non-profit sector, and so this Guide focuses
particularly on this pillar.
Specific Objective 1: Spreading Excellence and Widening Participation (EUR 111.4
million15): Supports low-performing Member States in terms of research and
innovation through different measures.
Specific Objective 2: Science with and for Society (EUR 54.7 million): Connects science
to society by making it more attractive for young people in particular, and by involving
all stakeholders, including researchers, citizens, policy-makers, businesses and non-
profit organisations, in the process in order to better align the innovation process and
its outcomes with actual needs and values. This scheme is developed in more detail
below.
15
As provided for in the Work Programme 2016-2017: http://ec.europa.eu/research/participants/data/ref/h2020/wp/2016_2017/main/h2020-wp1617-sewp_en.pdf
Pillar I
Excellent Science
• European Research Council
• Future and emerging technologies
• Marie Curie Actions
• European Research Infrastructures
Pillar II
Industrial Leadership
• Leadership in Enabling and Industrial Technologies (LEIT)
• ICT
• Nanotechnologies, Advanced Materials, Advanced Manufacturing, etc.
• Space
• Access to Risk Finance
• Innovation in SMEs
Pillar III
Societal Challenges
• Health, demographic change and wellbeing
• Food security and sustainable agriculture
• Secure, clean and efficient energy
• Smart, green and integrated transport
• Climate action and environment
• Europe in a changing world
• Secure societies
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Funded Actions
The Societal Challenges pillar supports research and investment that targets society and
citizens by supporting major breakthrough solutions coming from multi-disciplinary
collaborations. It is the most relevant pillar to the non-profit sector, and this is the reason why
it is object of particular attention in this Guide. It covers activities from research to release to
market, with a focus on innovation-related activities such as piloting, demonstration, test-
beds and support for public procurement and market uptake. It focuses on seven concrete
challenges, which are further developed in separate biannual work programmes16:
Health, demographic change and wellbeing (EUR 500 million for 201617): Responding to
this challenge, research and innovation funded under Horizon 2020 aims at encouraging
investment to promote better health for all, keeping older people active and
independent for longer, and supporting the development of new, safer and more
effective interventions. Under this challenge, Horizon 2020 also aspires to contribute to
the sustainability of health and care systems;
Food security, sustainable agriculture and forestry, marine and maritime inland water
research and bio-economy (EUR 364.5 million, significantly higher than in the previous
year): Research and innovation in these fields will support the transition towards the
optimal and renewable use of biological resources and towards sustainable primary
production and processing systems. Research activities will need to address the
following challenges: securing viable food production in the face of a growing demand,
ensuring the sustainable management of natural resources and climate action,
contributing to a balanced territorial development of rural areas, and ensuring food and
feed security and safety beyond sufficient supply. This challenge will also support
research aiming to maximise the benefits from Europe's oceans, seas and inland waters
in a sustainable manner, and the transition towards a low-carbon and resource-efficient
Europe;
Secure, clean and efficient energy (EUR 674 million): In order to respond to this
challenge, Horizon 2020 will support the transition to a reliable, sustainable and
competitive energy system. The current Work Programme (2016-2017) foresees two
calls, one focusing on energy efficiency and the other on the transition towards a low-
carbon economy with an increased reliance on renewable energy technologies. In
addition, a number of prizes, studies and other support measures are also foreseen;
Smart, green and integrated transport (EUR 450.7 million, significantly higher than in the
2015): Investment under this challenge will boost the competitiveness of European
transport industries and achieve a European transport system that is resource-efficient,
climate- and environmentally-friendly, and safe and seamless for the benefit of all
16
For more information about the societal challenges addressed by Horizon 2020 and to access the individual work programmes for 2016-2017, visit https://ec.europa.eu/programmes/horizon2020/en/h2020-sections. 17
All the figures are based on the information provided in the work programme specific to each of the themes.
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citizens, the economy and society. This challenge concretely aims to contributing to the
achievement of the following four Horizon 2020 objectives: a resource efficient and
environment-friendly transport system; better mobility, less congestion and more
safety and security; a global leadership position for the European transport industry;
and socio-economic and behavioural research and forward looking activities for policy
making. The current 2016-17 Work Programme will address these objectives through
three calls for proposals: Mobility for Growth, Green Vehicles and Small Business and
Fast Track Innovation for Transport;
Climate action, environment, resource efficiency and raw materials (EUR 358 million):
Activities under this Challenge will pursue the following specific objectives: achieving a
resource-efficient and climate change resilient economy and society; ensuring the
sustainable management of natural resources and ecosystems; and working towards a
sustainable supply and use of raw materials;
Europe in a changing world – inclusive, innovative and reflective societies (EUR 155
million): In responding to this challenge, funded research and innovation actions will
focus on fostering a greater understanding of Europe by providing solutions and
supporting inclusive, innovative and reflective European societies with an innovative
public sector in a context of unprecedented transformations and growing global
interdependencies. In line with the present challenges, the 2016-2017 Work
Programme will focus on the modernisation of public administrations and innovative
public services, on tackling inequalities and radicalisation within Europe, on
empowering the younger generation, in particular with regard to their digital skills, on
strengthening Europe’s position in the global context, and on promoting the European
public and cultural space;
Secure societies – protecting freedom and security of Europe and its citizens (EUR 185
million): the aims of this challenge are to enhance the resilience of our society against
natural and man-made disasters, through solutions ranging from the development of
new crisis management tools to communication interoperability and the development
of novel ways to protect critical infrastructure; to fight crime and terrorism; to improve
border security, ranging from improved maritime border protection to supply chain
security and support of the Union's external security policies including through conflict
prevention and peace building; and to provide enhanced cyber-security, ranging from
secure information sharing to new assurance models. In line with the present
challenges, the 2016-2017 Work Programme foresees specific actions to address and
respond to the root causes of violent radicalisation in the European Union.
In addition to the seven aforementioned challenges, the Science with and for Society
Programme18 (EUR 54.7 million for 2016) is also an interesting source of funding for the non-
profit sector under Horizon 2020. The Programme’s objective is to build effective cooperation
18
For more information, visit https://ec.europa.eu/programmes/horizon2020/en/h2020-section/science-and-society.
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between science and society, to recruit new talent for science and to pair scientific excellence
with social awareness and responsibility. It will:
o Be instrumental in addressing the European societal challenges identified by Horizon
2020;
o Make science more attractive, most notably to young people;
o Increase society's interest in innovation;
o Allow all societal actors – researchers, citizens, policy makers, businesses, third sector
organisations, and so forth – to work together during the entire research and innovation
process in order to better align both their process and outcomes with the values, needs
and expectations of European society.
In 2016, this programme will mainly fund projects to promote gender equality and responsible
research and innovation, and to support the integration of society in science and innovation.
Further information about the specific funding priorities of this Programme, as well as the
planned calls for proposals and corresponding indicative budget allocations can be found in the
Work Programme 2016-2017: Science with and for Society19.
A new feature under the new general Work Programme is the inclusion of a Cross-cutting strand20
(EUR 577.5 million for 2016) covering objectives across the different individual work
programmes, and in particular those concerning the societal challenges listed above. The aim of
this strand is to address key areas of political relevance and societal concern to provide better
solutions and enhance impacts through stronger integration across the Work Programme. These
calls are targeted and evidence-based, and are set to provide sufficient scale and scope to
achieve a critical mass of support on the basis of clearly defined objectives and impacts. They
concern the following calls for proposals: (i) Industry 2020 in the Circular Economy, which will
demonstrate the economic and environmental feasibility of the circular economy approach and
support the re-industrialisation of Europe; (ii) Internet of Things, which will support the
combination of different technologies such as the internet, big data, cloud or advanced
computing and their integration in innovative use cases addressing major societal challenges; and
(iii) Smart and Sustainable Cities, which will support the creation of urban spaces powered by
secure, affordable and clean energy, with smart electro-mobility and showcasing effective,
innovative nature-based solutions.
Geographic Focus
Horizon 2020 is a programme open to the world. Applicants must meet the conditions laid down
in Regulation (EU) No 1290/2013 laying down the rules for participation and dissemination in
Horizon 202021, as well as any specific conditions set out in the relevant work programmes.
19
See http://ec.europa.eu/research/participants/data/ref/h2020/wp/2016_2017/main/h2020-wp1617-swfs_en.pdf. 20
See https://ec.europa.eu/programmes/horizon2020/en/h2020-section/cross-cutting-activities-focus-areas 21
For full text, visit http://inea.ec.europa.eu/download/legal_framework/reg1290_2013participation_dissh2020.pdf.
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According to Article 10 of the above Regulation, the following participants are eligible for EU
funding:
Any legal entity established in a EU Member State or associated country22 or created
under Union law;
Any international European interest organisation;
Any legal entity established in a third country
identified in the relevant work programme23.
Funding Schemes
Horizon 2020 offers support through different types
of actions. The ones that are most interesting for the
non-profit sector are the Research and Innovation
Actions (RIA), the Innovation Actions (IA) and the
Coordination and Support Actions (CSA). The other
proposed actions (SME Instrument, ERA-NET Cofund
or Pre-Commercial Procurement Actions) are
specially conceived either for businesses, public
bodies or public procurers.
RIA: Funding targets transnational
collaborative research projects tackling
clearly defined challenges, which can lead to
the development of new knowledge or a new
or improved technology, product or service;
IA: Funding also targets transnational collaborative projects addressing defined
challenges, but it is more focused on close-to-the-market activities, such as prototyping,
piloting and scaling-up, beyond research;
CSA: Funding covers accompanying measures such as standardisation, dissemination,
awareness-raising and communication, networking, coordination or support services,
policy dialogues and mutual learning exercises and studies.
Depending on the type of action funded, which is specified in each call for proposals, the
eligibility criteria may differ, as well as the applicable EU funding rate and thus the need for co-
financing. For both RIA and CSA the financial contribution of the EU under the Societal Challenges
Pillar can cover up to 100% of the total eligible costs of the action. For IA the applicable funding
rate is generally 70%, but an exception is made for non-profit legal entities, which can benefit
22
See list of countries at http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-list-ac_en.pdf. 23
See full list at http://ec.europa.eu/research/participants/data/ref/h2020/wp/2014_2015/annexes/h2020-wp1415-annex-ga_en.pdf#page=3 (page 3).
Glossary: ‘Legal entity’ refers to any natural person, or any legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations.
‘Non-profit legal entity’ refers to a legal entity which by its legal form is non-profit-making or which has a legal or statutory obligation not to distribute profits to its shareholders or individual members.
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from a 100% financing (see pages 10 and following of the General Annexes of the 2016-2017
Work Programme for further details24).
Who can apply?
In addition to being a programme open to the word, Horizon 2020 is also open to a broad variety
of organisations. In fact, any legal entity, including academia, research, industry, local authorities,
NGOs, networks, and individual researchers (under Pillar I) established in an EU Member State,
their Overseas Countries and Territories (OCT) or in the countries associated25 to this Programme
are automatically eligible for funding. Research organisations in some 130 developing countries
are further eligible, except where this is explicitly excluded in the call.
International organisations and legal entities established in other third countries are not
automatically eligible for funding under Horizon 2020, but they may still be granted EU funding in
some cases provided that they fulfil the following conditions:
There is a bilateral
agreement between
that country and the
EU;
The country is
explicitly identified in
the relevant work
programme and call
for proposal as being
eligible for funding;
Their participation is
deemed essential for
carrying out the
action by the Commission.
As for general eligibility criteria, for standard research projects the following minimum conditions
will apply:
At least three legal entities must participate in an action;
Each of the three participating legal entities must be established in a different EU
Member State or Associated Country (in addition to these, any legal entity from anywhere
in the world can be included in the consortium);
The legal entities must be independent from one another, according to the wording of
Article 8 of the Regulation.
24
See http://ec.europa.eu/research/participants/data/ref/h2020/other/wp/2016-2017/annexes/h2020-wp1617-annex-ga_en.pdf. 25
See http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-list-ac_en.pdf.
Research and Innovation Actions
Who can apply?
Consortia of at least 3 partners from
different EU Member State or Associated
Countries
Innovation Actions
Who can apply? Consortia of at least 3
partners from different EU Member States or Associated
Countries
Coordination and Support Actions
Who can apply?
Single entities or consortia of partners
from different EU Member States or
Associated Countries
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Additional conditions may apply. Please see the table below for the minimum criteria applicable
to the main types of funded actions, or refer to the specific Work Programme for further details.
Who manages the funds and how are they allocated?
Horizon 2020 is centrally managed by the European Commission. As the programme touches
upon many EU policy areas, , the relevant DG is either DG Research and Innovation, DG Connect,
DG GROW, DG Education and Culture, DG Agriculture, DG Home Affairs, DG Transport or DG
Energy, depending on the individual call for proposal. However, the relevant DG delegates the
implementation of the funds to one of the following executive agencies, depending on the
theme: the European Research Council (ERC), the Research Executive Agency (REA), the Executive
Agency for SMEs (EASME) or the Innovation and Networks Executive Agency (INEA). For instance,
most of the funds allocated to Societal Challenges are being implemented by the Research
Executive Agency. Meanwhile, the Innovation and Networks Executive Agency manages the funds
allocated to the two specific Societal Challenges of the Programme related to transport and
energy.
The Commission selects projects following calls for proposals with help from independent
experts. Project ideas must be submitted within a certain deadline, comply with clearly defined
themes and have the required partnership structure in accordance to the requirements specified
in the calls which are regularly published in the Participant Portal (see link below).
The Participant Portal is an Internet portal offering various services to help potential beneficiaries
secure funding from EU research and innovation programmes. Potential applicants are
encouraged to register with this portal to fully benefit from its services. The Participant Portal
also houses the H2020 Online Manual (see link below) where more information on the selection
process can be found, including access to proposal templates26 for the different types of actions
in order to help interested parties prepare their application.
Most of the EU funded projects under Horizon 2020 are of a transnational collaborative nature
and involve at least three organisations from different EU Member States or Associated
Countries. However, grants for individual firms or researchers are also made available through
the SME instrument (Pillar II), European Research Council (ERC) grants and the Marie
Skłodowska-Curie actions (MSCA) (Pillar I).
A network of National Contact Points (NCPs) provides guidance, practical information and
assistance on all aspects of participation in Horizon 2020. NCPs are national structures
established and financed by the Governments of the 28 EU Member States, offering customised
support in the applicant’s own language.
26
Visit http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html#h2020-call_ptef-pt.
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Indicative Timetable
The indicative opening dates and deadlines of the different calls can be found in the specific
Work Programmes, which are accessible through the Participant Portal27.
However, interested applicants are advised to regularly visit the ‘Funding Opportunities’ section
on the Participant Portal to identify calls as they are published.
Contact information and useful links
Horizon 2020 website:
http://ec.europa.eu/programmes/horizon2020/
Horizon 2020 Programme:
http://ec.europa.eu/research/participants/portal/doc/call/h2020/common/1595115-h2020-sp-
oj_en.pdf
List of eligible countries under Horizon 2020:
http://ec.europa.eu/research/participants/data/ref/h2020/other/wp/2016-
2017/annexes/h2020-wp1617-annex-a-countries-rules_en.pdf
List of associated countries under Horizon 2020:
http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/3cpart/h2020-hi-
list-ac_en.pdf
Standard eligibility criteria:
http://ec.europa.eu/research/participants/data/ref/h2020/other/wp/2016_2017/annexes/h2020
-wp1617-annex-c-elig_en.pdf
Individual Work Programmes 2016-2017 for the various sections of H2020:
http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html#h20
20-work-programmes-2016-17
Work Programme 2016-2017: General Annexes:
http://ec.europa.eu/research/participants/data/ref/h2020/other/wp/2016-
2017/annexes/h2020-wp1617-annex-ga_en.pdf
Steps to submit a proposal under Horizon 2020:
http://ec.europa.eu/research/participants/portal/desktop/en/funding/index.html
Horizon 2020 Online Manual:
http://ec.europa.eu/research/participants/docs/h2020-funding-guide/index_en.htm
Participant Portal:
http://ec.europa.eu/research/participants/portal/desktop/en/home.html
Specific funding rates (section D, pages 10 and following):
http://ec.europa.eu/research/participants/data/ref/h2020/other/wp/2016-
2017/annexes/h2020-wp1617-annex-ga_en.pdf
27
Visit http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html#h2020-work-programmes-2016-17.
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National Contact Points (NCPs):
http://ec.europa.eu/research/participants/portal4/desktop/en/support/national_contact_points.
html
Horizon 2020 Helpdesk:
http://ec.europa.eu/research/index.cfm?pg=enquiries
Partner Tool Database for Research projects: https://cordis.europa.eu/partners/web/guest/home
DG Research and Innovation organigram:
https://ec.europa.eu/research/dgs/pdf/organisation_en.pdf
Research Executive Agency (REA) organigram:
http://ec.europa.eu/rea/pdf/rea_organisational_chart_16_february_2016_web.pdf
INEA organigram:
https://ec.europa.eu/inea/en/mission-objectives/organisation
Contact person at the European Commission: