Presentation on theme: "From European Union to Innovation Union"— Presentation transcript:
1Bigger, simpler, smarter Horizon 2020 PWA Milan, 17° June 2014 Barbara Chiavarino
2From European Union to Innovation Union OverviewFrom European Union to Innovation Union
3Horizon 2020 The EU’s 2014-20 programme for research & innovation A core part of Europe 2020, Innovation Union & European Research AreaResponding to the economic crisis to invest in future jobs and growthAddressing people’s concerns about their livelihoods, safety and environmentStrengthening the EU’s global position in research, innovation and technology
4Horizon 2020 – what’s newA single programme bringing together three separate programmes/initiatives*Coupling research to innovation – from research to retail, all forms of innovationFocus on societal challenges facing European society e.g. health and ageing, clean energy and transportSimplified access, for all companies, universities, institutes in all EU countries and beyondThe 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)
6Proposed funding (million EUR, 2014-2020) European Research Council (ERC)Frontier research by the best individual teams13 095Future and Emerging TechnologiesCollaborative research to open new fields of innovation2 696Marie Skłodowska-Curie actions (MSCA)Opportunities for training and career development6 162Research infrastructures (including e-infrastructure)Ensuring access to world-class facilities2 488
7'Access to risk finance' with strong SME focus Proposed funding (million EUR, )Leadership in enabling and industrial technologies (LEITs)(ICT, nanotechnologies, materials, biotechnology, manufacturing, space)13 557Access to risk financeLeveraging private finance and venture capital for research and innovation2 842Innovation in SMEsFostering all forms of innovation in all types of SMEs616 + complemented by expected 20% of budget of societal challenges + LEITs and'Access to risk finance' with strong SME focus
8Proposed funding (million EUR, 2014-2020) Health, demographic change and wellbeing7 472Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the Bioeconomy3 851Secure, clean and efficient energy *5 931Smart, green and integrated transport6 339Climate action, environment, resource efficiency and raw materials3 081Inclusive, innovative and reflective societies1 310Secure societies1 695Science with and for society462Spreading excellence and widening participation816
9A new approachLess prescriptive topic textsTwo-year work programmeStronger focus on end usersBroad topicsChallenge-driven
10SMEs on the stageIntegrated approach - around 20% of the total budget for societal challenges and LEITs to go to SMEsSimplification of particular benefit to SMEs (e.g. single entry point)A new SME instrument will be used across all societal challenges as well as for the LEITsA dedicated activity for research-intensive SMEs in 'Innovation in SMEs''Access to risk finance' will have a strong SME focus (debt and equity facility)
11Concept & Feasibility Assessment The new SMEs Instruments?ProcurementDemonstrationMarket ReplicationResearchDevelopmentConcept & Feasibility AssessmentCommercialisationSME window EU financial facilitiesIDEA business coaching and complimentary servicesMARKET
12Phase 3+coaching 2% budget Phase 1: Concept and feasibility assessmentPhase 2: R&D, demonstration, market replicationPhase 3: CommercialisationInput: Idea/Concept: "Business Plan 1"(~ 10 pages)10% budgetActivities:Feasibility of conceptRisk assessmentIP regimePartner searchDesign studyPilot applicationetc.Output: elaborated "Business plan 2"Input: "Business plan 2" plus description of activities under Phase 2 (~ 30 pages)88% budgetActivities:Development, prototyping, testing, piloting, miniaturisation, scaling-up, market replication,researchOutput: "investor-ready Business plan 3"No direct fundingPromote instrument as quality label for successful projectsFacilitate access to private financeSupport via networking , training, information, addressing i.a. IP management, knowledge sharing, disseminationSME window in the EU financial facilities (debt facility and equity facility)Possible connection to Procurement10% success30-50% successLump sum: €~ 6 monthsM€ EC funding~ 12 to 24 months
13Simpler Single set of simpler and more coherent participation rules New balance between trust & controlJust two funding rates for different beneficiaries and activitiesSingle flat rate to calculate overhead or «indirect costs»Forthcoming financial regulation will make things simplertime-to-grant of 8 months (exceptions for the ERC and in duly justified cases
14An international programme A priorityKey goal: enhancing and focusing international cooperation in terms of areas and partnersHorizon 2020 is open to participation from across the worldWanted: more involvement of international partners!Targeted actions across the entire programmeHorizon 2020 Regulation and Rules for Participation apply
15TargetedTargeted international cooperation activities across Horizon : area for cooperation and partner specified upfrontAreas identified based on analysis of a set of criteria to ensure common interest and mutual benefit:Research and innovation excellenceFramework conditions/access to marketsContribution to international commitmentsFrameworks to engage in cooperation and lessons learnedDifferentiation by countries/regions: enlargement/ neighbourhood/EFTA, industrialised and emerging countries, developing countriesInternational cooperation as part of strategic planning for each part of Horizon 2020Result: roadmaps for international cooperation with international partners (to be published early 2014)
16Implementation in Horizon 2020 Regular calls for proposals:topics inviting projects where third country participation is required and/or encouragedtopics stimulating networking between existing projectsJoint initiatives of Union and third countries:bilateral coordinated/joint callsmulti-lateral initiativescontribution of Union to third country/international organisationsERA-Net
18Signature grant agreement Information on the outcome of the evaluator From CALL to GRANTPublicationof the callsSubmissionof proposalsSignature grant agreementInformation on the outcome of the evaluatorTime to preparethe proposalFinalisationof the grantEvaluation
19A single set of rules Keeping flexibility where needed. etc. EU Financial RegulationSpecific rules for participationCovering all H2020 research and innovation actionsEU Financial RegulationSpecific rules for participationKeeping flexibility where needed.
20Forms of funding - I WE KEEP Grants as main form of funding Standard collaborative actionsCoordination and supportUse of Grant AgreementsActual costs
21NEW Forms of funding - II What is Grants to SME instrument Grants to Programme co-fund actionsSpecific provisions targeting innovation:pre-commercial procurement,procurement of innovative solutionsand inducement prizes.Enhanced use of other lump-sums, flat rates and unit costs.
22Specific procedures : SME Instrument Implemented via single centralised management structureBottom-up approachContinuously open callOnly SMEs eligible for participation
23Conditions for Participation Minimum conditionsStandard collaborative actionsAt least three legal entities each established in a different Member State or an Associated Country;ERC, SME instrument, programme co-fund, coordination and support, training and mobility actions:One legal entity established in a Member State or in an Associated Country.Additional ConditionsIn the work programme or work plan.No additional conditions in Health WP except for SME instrument
24International Cooperation - I Participation Open for all legal entities established in third countries and for international organisations.Restrictions only possible if introduced in the work programme.For reciprocity reasons;For security reasons.
25International Cooperation - II FundingThird country identified in the Work Programme orGeneral list in Annex A plus entities established in USparticipation deemed by the Commission essential in the action orwhen provided under a bilateral scientific and technological agreement
26Maximum reimbursement rates Demonstration activities A single funding rateFP7One project = One rateFor all beneficiaries and all activities in the grant.Defined in the Work Programme:Up to 100 % of the eligible costs;but limited to a maximum of 70 % for innovation projects (exception for non-profit organisations - maximum of 100%).Maximum reimbursement ratesResearch and technological development activities (*)Demonstration activitiesOther activitiesNetwork of excellence50%75% (**)100%Collaborative project(****)Coordination and support action100% (***)(*) Research and technological development includes scientific coordination.(**) For beneficiaries that are non-profit public bodies, secondary and higher education establishments, research organisations and SMEs(***) The reimbursement of indirect eligible costs, in the case of coordination and support actions, may reach a maximum 7% of the direct eligible costs, excluding the direct eligible costs for subcontracting and the costs of resources made available by third parties which are not used on the premises of the beneficiary.(****) Including research for the benefit of specific groups (in particular SMEs)
27FP7 Single indirect cost model 20% ? 60% ? Real ? Simplified? Single model:25 % Flat RateFP7
28FP7 An example New funding model: what impact on the EU contribution? Direct costsIndirect costsTotal costs% EU contributionEU contributionFlat-rate (60%)1006016075%€ 120FP7Majority of HES & RTOsDirect costsIndirect costsTotal costs% EU contributionEU contribution100/25 Funding10025125100%€ 125
29Cost reimbursement Personnel costs Wider acceptance of average personnel costsAcceptance of supplementary paymentsfor non-profit organisations of up to euros/year/personSimplifying participation for SMEsLess requirements for time records…and more in the Horizon Grant Agreement
30CFS [Certificate for Financial Statements] Controls and AuditsFinancial viabilityRestricted to coordinators for projects ≥ €500 k€CFS [Certificate for Financial Statements]Only for final payments/per beneficiary /for actual costs ≥ € €Optional Certificates on average personnel costsEx-post auditsProvisions in Horizon 2020 Regulation!Commission's audits up to two years after payment of the balanceAudit strategy focused on risk and fraud preventionExtrapolationNew Financial Regulation will applyContinuity with FP7Guarantee Fund
31Intellectual Property Rights - I We keepOwnershipfor the participant who generates results,joint-ownership only in specific circumstancesProtection where appropriateExploitationGeneral obligation to exploitDisseminationprinciple maintained;
32Intellectual Property Rights - II Transfer and exclusive licences outside the Union/Associated Countriesthe grant agreement may foresee right to object if a participant has received Union fundingAccess rightsfor implementation and for exploitation purposes (also for affiliated entities established in MS/AC)Tailor-made provisions in the MGA for:security-related activities,ERC frontier research,SME instrument,mobility,support,KICs, etc.
33NEW Intellectual Property Rights - III What is (in the work programme) Additional exploitation /dissemination obligations(in the work programme)Open access:obligatory for scientific publications and,to research data (in appropriate areas and when foreseen in the work programme)Access rights:for the Union under all parts of the programme and,for MS under 'Secure societies',Specific provision:for pre-commercial public procurement andfor procurement of innovative solutions
345 mont hs for informin g all applican ts on scientifi c evaluati on Time to grant: speeding up the process - IA maximum TTG of 8 months5 mont hs for informin g all applican ts on scientifi c evaluati on3 months for signature of GA
35Time to grant: speeding up the process - II How to speed up the processNo detailed negotiations:each proposal evaluated 'as it is',not as 'what could be';Legal entity validated in parallel.No more paper:e-communication & e-signature of grants.
36A single source of information! Il Participant Portal!
40PLEASE REMEMBER AND CONSIDER: … So…PLEASE REMEMBER AND CONSIDER:Exploitation: use of results (i) in further research (outside the project), (ii) in developing, creating or marketing products, services or processes, or (iii) in standardisation activities.IMPACT!
42Gender equalityThe promotion of gender equality in research and innovation is a commitment of the. It is enshrined in the core documents establishing Horizon 2020, with the following objectives:Gender balance in research teamsGender balance in decision-makingIntegrating gender/sex analysis in R&I content