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

1. Bigger, simpler, smarterHorizon 2020 PWA Milan, 17° June 2014Barbara Chiavarino

2. Overview From European Union toInnovation Union

3. Horizon 2020 The EU’s 2014-20 programmefor 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)

7. Proposed funding(million EUR, 2014-2020)

8. Proposed funding(million EUR, 2014-2020)

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

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. 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 No direct funding 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" 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: 50.000 € ~ 6 months 0.5-2.5 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 fromacross the world • Wanted: more involvement of international partners! • Targetedactions acrossthe entire programme • Horizon 2020 Regulation and Rules for Participation apply

15. Targeted • Targeted international cooperationactivitiesacross Horizon 2020: area for cooperation and partnerspecifiedupfront • Areas identifiedbased on analysis of a set ofcriteriato ensurecommoninterest and mutualbenefit: • Research and innovation excellence • Framework conditions/access to markets • Contribution to international commitments • Frameworks to engage in cooperationandlessonslearned • Differentiation by countries/regions: enlargement/ neighbourhood/EFTA, industrialised and emergingcountries, developing countries • International cooperation as part of strategic planning for each part of Horizon 2020 • Result: roadmapsfor international cooperationwith international partners (to bepublishedearly 2014)

16. Implementation in Horizon 2020 • Regular calls for proposals: • topicsinvitingprojectswherethird country participation isrequired and/or encouraged • topicsstimulating networking betweenexistingprojects • Joint initiatives of Union and third countries: • bilateralcoordinated/joint calls • multi-lateral initiatives • contribution of Union to third country/international organisations • ERA-Net

17. How to apply

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

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

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

21. NEW 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. Forms of funding - II • Enhanced use of other lump-sums, flat rates and unit costs.

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

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. ParticipationOpen for all legal entities established in third countries and for international organisations. International Cooperation - I Restrictions only possible if introduced in the work programme. • For reciprocity reasons; • For security reasons.

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

26. 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%). A single funding rate (*) Research and technological development includes scientific coordination. (**) For beneficiaries that are non-profitpublic 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. 20% ? 60% ? Real ? Simplified? • Single indirect cost model FP7 Single model: 25 % Flat Rate

28. An example New funding model: what impact on the EU contribution? FP7 Majority of HES & RTOs

29. Personnel costs • Wider acceptance of average personnel costs • Acceptance of supplementary payments • for non-profit organisations of up to 8000 euros/year/person • Simplifying participation for SMEs • Less requirements for time records • …and more in the Horizon 2020 Grant Agreement Cost reimbursement

30. Financial viability Controls and Audits • Restricted to coordinators for projects ≥ €500 k€ • Only for final payments/per beneficiary /for actual costs ≥ €325 000 € • Optional Certificates on average personnel costs CFS[Certificate for Financial Statements] • Provisions inHorizon 2020 Regulation! • Commission's audits up to two years after payment of the balance • Audit strategy focused on risk and fraud prevention Ex-post audits Extrapolation • New Financial Regulation will apply Guarantee Fund • Continuity with FP7

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

32. 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. Intellectual Property Rights - II

33. NEW Intellectual Property Rights - III What is • 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. Time to grant: speeding up the process - I A maximum TTG of 8 months 3 monthsfor signature of GA

35. Time to grant: speeding up the process - II How to speed upthe 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! http://ec.europa.eu/research/participants/portal/desktop/en/home.html

37. … Award criteria

38. … Award criteria

39. … Award criteria

40. 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! … So…

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’syour turn…

45. Thanks for yourattention! Barbara Chiavarino barbarachiavarino@gmail.com