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

40. PLEASE 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!

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