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From European Union to Innovation Union

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Presentation on theme: "From European Union to Innovation Union"— Presentation transcript:

1 Bigger, simpler, smarter Horizon 2020 PWA Milan, 17° June 2014 Barbara Chiavarino

2 From European Union to Innovation Union
Overview From European Union to Innovation Union

3 Horizon 2020 The EU’s 2014-20 programme for research & innovation
A core part of Europe 2020, Innovation Union & European Research Area Responding to the economic crisis to invest in future jobs and growth Addressing people’s concerns about their livelihoods, safety and environment Strengthening the EU’s global position in research, innovation and technology

4 Horizon 2020 – what’s new A single programme bringing together three separate programmes/initiatives* Coupling research to innovation – from research to retail, all forms of innovation Focus on societal challenges facing European society e.g. health and ageing, clean energy and transport Simplified access, for all companies, universities, institutes in all EU countries and beyond The 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)

5 3 Pillars

6 Proposed funding (million EUR, 2014-2020)
European Research Council (ERC) Frontier research by the best individual teams 13 095 Future and Emerging Technologies Collaborative research to open new fields of innovation 2 696 Marie Skłodowska-Curie actions (MSCA) Opportunities for training and career development 6 162 Research infrastructures (including e-infrastructure) Ensuring access to world-class facilities 2 488

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) 13 557 Access to risk finance Leveraging private finance and venture capital for research and innovation 2 842 Innovation in SMEs Fostering all forms of innovation in all types of SMEs 616 + complemented by expected 20% of budget of societal challenges + LEITs and 'Access to risk finance' with strong SME focus

8 Proposed funding (million EUR, 2014-2020)
Health, demographic change and wellbeing 7 472 Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the Bioeconomy 3 851 Secure, clean and efficient energy * 5 931 Smart, green and integrated transport 6 339 Climate action, environment, resource efficiency and raw materials 3 081 Inclusive, innovative and reflective societies 1 310 Secure societies 1 695 Science with and for society 462 Spreading excellence and widening participation 816

9 A new approach Less prescriptive topic texts Two-year work programme Stronger focus on end users Broad topics Challenge-driven

10 SMEs on the stage Integrated approach - around 20% of the total budget for societal challenges and LEITs to go to SMEs Simplification 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 LEITs A dedicated activity for research-intensive SMEs in 'Innovation in SMEs' 'Access to risk finance' will have a strong SME focus (debt and equity facility)

11 Concept & Feasibility Assessment
The new SMEs Instruments ? Procurement Demonstration Market Replication Research Development Concept & Feasibility Assessment Commercialisation SME window EU financial facilities IDEA business coaching and complimentary services MARKET

12 Phase 3+coaching  2% budget
Phase 1: Concept and feasibility assessment Phase 2: R&D, demonstration, market replication Phase 3: Commercialisation Input: Idea/Concept: "Business Plan 1" (~ 10 pages) 10% budget Activities: Feasibility of concept Risk assessment IP regime Partner search Design study Pilot application etc. Output: elaborated "Business plan 2" Input: "Business plan 2" plus description of activities under Phase 2 (~ 30 pages) 88% budget Activities: Development, prototyping, testing, piloting, miniaturisation, scaling-up, market replication, research Output: "investor-ready Business plan 3" No direct funding Promote instrument as quality label for successful projects Facilitate access to private finance Support via networking , training, information, addressing i.a. IP management, knowledge sharing, dissemination SME window in the EU financial facilities (debt facility and equity facility) Possible connection to Procurement 10% success 30-50% success Lump sum: € ~ 6 months M€ EC funding ~ 12 to 24 months

13 Simpler Single set of simpler and more coherent participation rules
New balance between trust & control Just two funding rates for different beneficiaries and activities Single flat rate to calculate overhead or «indirect costs» Forthcoming financial regulation will make things simpler time-to-grant of 8 months (exceptions for the ERC and in duly justified cases

14 An international programme
A priority Key goal: enhancing and focusing international cooperation in terms of areas and partners Horizon 2020 is open to participation from across the world Wanted: more involvement of international partners! Targeted actions across the entire programme Horizon 2020 Regulation and Rules for Participation apply

15 Targeted Targeted international cooperation activities across Horizon : area for cooperation and partner specified upfront Areas identified based on analysis of a set of criteria to ensure common interest and mutual benefit: Research and innovation excellence Framework conditions/access to markets Contribution to international commitments Frameworks to engage in cooperation and lessons learned Differentiation by countries/regions: enlargement/ neighbourhood/EFTA, industrialised and emerging countries, developing countries International cooperation as part of strategic planning for each part of Horizon 2020 Result: roadmaps for international cooperation with international partners (to be published early 2014)

16 Implementation in Horizon 2020
Regular calls for proposals: topics inviting projects where third country participation is required and/or encouraged topics stimulating networking between existing projects Joint initiatives of Union and third countries: bilateral coordinated/joint calls multi-lateral initiatives contribution of Union to third country/international organisations ERA-Net

17 How to apply

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

19 A single set of rules Keeping flexibility where needed. etc.
EU Financial Regulation Specific rules for participation Covering all H2020 research and innovation actions EU Financial Regulation Specific rules for participation Keeping flexibility where needed.

20 Forms of funding - I WE KEEP Grants as main form of funding
Standard collaborative actions Coordination and support Use of Grant Agreements Actual costs

21 NEW Forms of funding - II What is Grants to SME instrument
Grants to Programme co-fund actions Specific provisions targeting innovation: pre-commercial procurement, procurement of innovative solutions and inducement prizes. Enhanced use of other lump-sums, flat rates and unit costs.

22 Specific procedures : SME Instrument
Implemented via single centralised management structure Bottom-up approach Continuously open call Only SMEs eligible for participation

23 Conditions for Participation
Minimum conditions Standard collaborative actions At 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 Conditions In the work programme or work plan. No additional conditions in Health WP except for SME instrument

24 International 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.

25 International Cooperation - II
Funding Third country identified in the Work Programme or General list in Annex A plus entities established in US participation deemed by the Commission essential in the action or when provided under a bilateral scientific and technological agreement

26 Maximum reimbursement rates Demonstration activities
A single funding rate FP7 One project = One rate For 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 rates Research and technological development activities (*) Demonstration activities Other activities Network of excellence 50% 75% (**) 100% Collaborative project(****) Coordination and support action 100% (***) (*) 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)

27 FP7 Single indirect cost model 20% ? 60% ? Real ? Simplified?
Single model: 25 % Flat Rate FP7

28 FP7 An example New funding model: what impact on the EU contribution?
Direct costs Indirect costs Total costs % EU contribution EU contribution Flat-rate (60%) 100 60 160 75% € 120 FP7 Majority of HES & RTOs Direct costs Indirect costs Total costs % EU contribution EU contribution 100/25 Funding 100 25 125 100% € 125

29 Cost reimbursement Personnel costs
Wider acceptance of average personnel costs Acceptance of supplementary payments for non-profit organisations of up to euros/year/person Simplifying participation for SMEs Less requirements for time records …and more in the Horizon Grant Agreement

30 CFS [Certificate for Financial Statements]
Controls and Audits Financial viability Restricted 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 costs Ex-post audits Provisions in Horizon 2020 Regulation! Commission's audits up to two years after payment of the balance Audit strategy focused on risk and fraud prevention Extrapolation New Financial Regulation will apply Continuity with FP7 Guarantee Fund

31 Intellectual Property Rights - I
We keep Ownership for the participant who generates results, joint-ownership only in specific circumstances Protection where appropriate Exploitation General obligation to exploit Dissemination principle maintained;

32 Intellectual Property Rights - II
Transfer and exclusive licences outside the Union/Associated Countries the grant agreement may foresee right to object if a participant has received Union funding Access rights for 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.

33 NEW 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 and for procurement of innovative solutions

34 5 mont hs for informin g all applican ts on scientifi c evaluati on
Time to grant: speeding up the process - I A maximum TTG of 8 months 5 mont hs for informin g all applican ts on scientifi c evaluati on 3 months for signature of GA

35 Time to grant: speeding up the process - II
How to speed up the process No 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.

36 A single source of information!
Il Participant Portal!

37 … Award criteria

38 … Award criteria

39 … Award criteria

… 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!

41 Gender equality in H2020

42 Gender equality The 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 teams Gender balance in decision-making Integrating gender/sex analysis in R&I content

43 Vademecum

44 It’s your turn…

45 Thanks for your attention!
Barbara Chiavarino

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