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5.1.4 Types of action: specific provisions and funding rates
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Research and innovation actions (RIA)
Description: Action primarily consisting of activities aiming to establish new knowledge and/or to
explore the feasibility of a new or improved technology, product, process, service or solution. For this
purpose they may include basic and applied research, technology development and integration,
testing and validation on a small-scale prototype in a laboratory or simulated environment.
Projects may contain closely connected but limited demonstration or pilot activities aiming to show
technical feasibility in a near to operational environment.
Funding rate: 100%
Innovation actions (IA)
Description: Action primarily consisting of activities directly aiming at producing plans and
arrangements or designs for new, altered or improved products, processes or services. For this purpose
they may include prototyping, testing, demonstrating, piloting, large-scale product validation and
market replication.
A ‘demonstration or pilot’ aims to validate the technical and economic viability of a new or improved
technology, product, process, service or solution in an operational (or near to operational)
environment, whether industrial or otherwise, involving where appropriate a larger scale prototype or
demonstrator.
A ‘market replication’ aims to support the first application/deployment in the market of an innovation
that has already been demonstrated but not yet applied/deployed in the market due to market
failures/barriers to uptake. 'Market replication' does not cover multiple applications in the market of
an innovation
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that has already been applied successfully once in the market. ‘First’ means new at
least to PRIMA countries or new at least to the application sector in question. Often such projects
involve a validation of technical and economic performance at system level in real life operating
conditions provided by the market.
Projects may include limited research and development activities.
Funding rate: 70% (except for non-profit legal entities, where a rate of 100% applies)
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Eligible costs for all types of action are in accordance with the Financial Regulation No 966/2012 and the
Horizon 2020 Rules for Participation Regulation No 1290/2013. In addition, as training researchers on gender
issues serves the policy objectives of Horizon 2020 and is necessary for the implementation of R&I actions,
applicants may include in their proposal such activity and the following corresponding estimated costs that may
be eligible for EU funding:
(a) Costs of delivering the training (personnel costs if the trainers are employees of the beneficiary or
subcontracting if the training is outsourced);
(b) Accessory direct costs such as travel and subsistence costs, if the training is delivered outside the beneficiary's
premises;
(c) Remuneration costs for the researchers attending the training, in proportion to the actual hours spent on the
training (as personnel costs).
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Participants may ask for a lower rate.
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A new or improved technology, product, design, process, service or solution.
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5.1.5 Technology readiness levels (TRL)
Where a topic description refers to a TRL, the following definitions apply, unless otherwise specified:
TRL 1 – basic principles observed
TRL 2 – technology concept formulated
TRL 3 – experimental proof of concept
TRL 4 – technology validated in lab
TRL 5 – technology validated in relevant environment (industrially relevant environment in the
case of key enabling technologies)
TRL 6 – technology demonstrated in relevant environment (industrially relevant environment
in the case of key enabling technologies)
TRL 7 – system prototype demonstration in operational environment
TRL 8 – system complete and qualified
TRL 9 – actual system proven in operational environment (competitive manufacturing in the
case of key enabling technologies; or in space)
5.1.6 Evaluation rules
Selection Criteria
1. Financial capacity: In line with the Financial Regulation No 966/2012 and the Horizon 2020 Rules for
Participation Regulation No 1290/2013. For grants, coordinators will be invited – at the proposal stage
– to complete a self-assessment using an on-line tool.
2. Operational capacity: As a distinct operation, carried out during the evaluation of the award criterion
‘Quality and efficiency of the implementation’, experts will indicate whether each individual
participant has, or will have in due time, a sufficient operational capacity to successfully carry out its
tasks in the proposed work plan. This assessment will be based on the competence and experience of
the applicant, including its operational resources (human, technical and other) and, if applicable,
exceptionally the concrete measures proposed to obtain it by the time of the implementation of the
tasks.
3. For prizes and for first-stage proposals in a two-stage submission procedure, neither financial
capacity nor operational capacity is subject to evaluation.
Award criteria, scores and weighting
1. Grant proposals will be evaluated by experts, on the basis of the award criteria ‘excellence’, ‘impact’
and ‘quality and efficiency of the implementation’ see Article 15 of the Horizon 2020 Rules for
Participation Regulation No 1290/2013).
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