ERA-NET Cofund inHorizon 2020

Slides represent the current status of preparation and not necessarily the final situation

Jörg NIEHOFFDG Research & InnovationEuropean Research AreaUnit B4 - Joint Programming

2013 survey on ERA-NETs and JPIs

33 networks ending in 2013-15

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

0

10

20

30

40

50

60

70

80

90

100

Number of running ERA-NET and ERA-NET Plus actions

FP7 EN+ [23]

FP7 [51]

FP6/7 [31]

FP6 [71]

2013 survey on ERA-NETs and JPIs

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 20150

100,000,000

200,000,000

300,000,000

400,000,000

500,000,000

600,000,000Total public funding per year [€]Estimates for calls without budget

JPI EN+

JPI

ERA-NET+

FP7 new

FP7 (FP6 cont.)

FP6

>25 calls in 2014/15 indicate interest in co-funding from H2020

2013 survey on ERA-NETs and JPIs

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 20150

500,000,000

1,000,000,000

1,500,000,000

2,000,000,000

2,500,000,000

3,000,000,000

3,500,000,000

4,000,000,000Aggregated public funding [€]

Estimates for calls without budget

JPI EN+

JPI

ERA-NET+

FP7 new

FP7 (FP6 cont.)

FP6

2013 survey on ERA-NETs and JPIs

Energ

y

Enviro

nmen

t

Funda

mental

KBBEIN

CO

IND/S

MEHea

lth

SSH/SIS

Trans

port

Infra

struc

tures IC

T

0

100,000,000

200,000,000

300,000,000

400,000,000

500,000,000

600,000,000

700,000,000

800,000,000

900,000,000Total public funding per Theme [€]

JPI EN+

JPI

ERA-NET Plus

FP7 new

FP7 (FP6 cont.)

FP6

Definition of ERA-NET in Horizon 2020 (Article 20)

Public-public partnerships may be supported either within, or across, the priorities set out in Article 5(2), in particular through: (a) an ERA-NET instrument using grants to support public-public partnerships in their preparation, establishment of networking structures, design, implementation and coordination of joint activities as well as Union topping up of no more than one joint call a year and of actions of a transnational nature; (b) … For the purposes of point (a), top-up funding shall be conditional on the demonstration of added value of the action at Union level and on prior indicative financial commitments in cash or in kind of the participating entities to the joint calls and actions. The ERA-NET instrument may include, where possible, an objective to harmonise rules and implementation modalities of the joint calls and actions. It may also be used in order to prepare for an initiative pursuant to Article 185 TFEU.

Type of action used for ERA-NET: Programme Cofund (RfP)

“programme co-fund action' means an action funded through a grant the main purpose of which is supplementing individual calls or programmes funded by entities, other than Union bodies, managing research and innovation programmes;

…, actions may also include complementary activities of networking and coordination between programmes in different countries”.

Common features- Public programmes (funded by national/regional authorities or public procurers), or

- Programmes for training, mobility, career development

> Actions have to be of a transnational nature

> Based on cash contributions or in-kind contributions

> Grant to 3rd Parties: Beneficiaries apply their national funding rules

> Reimbursement rate defined in the Work Programme

Programme co-fund: Typology of actions

'programme co-fund action' means an action funded through a grant the main purpose of which is supplementing individual calls or programmes funded by entities, other than Union bodies, managing research and innovation programmes

ERA-NET CofundPCP/PPI Cofund

Marie-Skłodowska-Curie CofundEuropean Joint Programmes (2014/15: EURATOM/EFDA)

Horizon 2020: ERA-NET CofundCo-funding of a single joint call for trans-national proposals, in addition other joint activities including other joint calls without Union co-funding,

33% reimbursement rate

FP7: ERA-NET and ERA-NET PlusERA-NET: as under FP6

ERA-NET Plus: co-funding of a single joint call for trans-national proposals, 33% reimbursement rate for the costs of funding the projects

FP6: ERA-NETFunding of costs related to the coordination of national research

programmes, 100% reimbursement rate for coordination and management costs

ERA-NET Cofund – main features

EU contribution: proportional contribution to total public funding of the joint call

Stable reimbursement rate: ERA-NET Plus reimbursement rate from FP7 (33%)

Additional EU contribution to coordination costson the basis of a unit costs for additional activities including additional calls without top-up funding

Co-funded calls: proposal evaluation and selection according to H2020 standards

A. Implementation of a single joint call

(MS contribution in cash)

Call for proposals organised by national/regional funding agencies

Activities: call preparation, implementation and follow-up

Eligible costs: financial support paid to third parties

B. Implementation of a single joint call

(MS contribution in cash)

and additional activities

Call and activities as in A.

Additional joint activities including additional calls without Union top-up funding.

Eligible costs: financial support paid to third parties and coordination costs for additional activities (unit costs per beneficiary per year).

C. Implementation of a single joint call

(MS contribution in kind)

In exceptional cases Call for proposals

organised by governmental research organisations

Beneficiaries carry out the projects resulting from the call themselves

Eligible costs: costs of trans-national projects on the basis of Horizon 2020 rules

In-kind contributions: non-reimbursed expenditure

ERA-NET Cofund with institutional funding Beneficiaries in the Grant Agreement: Governmental research organisations

(as "programme managers"), nominated by the respective ministry/public authority ("programme owners") to participate in the ERA-NET

Call is an internal competition between consortia of the participating organisations

Eligible costs: expenditure of the beneficiaries for the implementation of the transnational projects (H2020 conditions, direct costs plus 25% flat rate for indirect costs)

Main differences compared to the classical cash-based ERA-NET:o Ensure selection according to ranking list: additional "guarantee" amount

instead of mixed mode financing modelo Step 1 of the Call pre-identifies specific topics for which proposals can be

submitted Proposals compete for the best topics o (normally) no grant agreement for the individual projects

has to be reflected in the consortium agreement

Call budget:30 Mio Euro

(grant agreement)

Financing of the co-funded call

Implementation & other activities: 1 Mio Euro(outside grant agreement)

EU contribution: 9,9 Mio Euro

MS contribution: 20,1 +1 = 21,1 Mio Euro

Total resources needed: 31 Mio Euro

Option 1: 20,1 Mio public

funds and 1 Mio in kind or

operational budget

Option 2: 21,1 Mio

public funds

Example: cash-flow

€ 9,9 Mio €

8,9 M

io

€ 1 Mio

€ 30 Mio

COM Coordinator

PartnersFunding

PartnersImplementation

BeneficiariesGrants paid to Projects

ERA-NET Cofund: unit costs for additional activitiesUse of unit costs has to be authorised by a Commission Decision, supported by at least:

a) justification concerning the appropriateness of such forms of financing …;b) identification of the costs or categories of costs covered by lump sums, unit

costs or flat-rate financing, which shall exclude ineligible costs under the applicable Union rules;

c) description of the methods for determining lump sums, unit costs or flat-rate financing, and of the conditions for reasonably ensuring that the no-profit and co-financing principles are complied with and that double financing of costs is avoided. Those methods shall be based on:I. statistical data or similar objective means; orII. a beneficiary-by-beneficiary approach, by reference to certified or

auditable historical data of the beneficiary or to its usual cost accounting practices.

ERA-NET Cofund: unit costs for additional activities Based on historical data of a representative sample (around 30%) of the 71

ERA-NET projects under FP6 (Coordination costs declared and approved for the final payment).

7% indirect costs were deducted, extreme amounts were excluded Resulting average amount of direct costs for coordination is EUR 29 783.,

which includes marginal costs for subcontracting of around 4,5% Unit costs for coordination costs per beneficiary per year: EUR 29 000 The flat rate of 25% for indirect costs under Horizon 2020 is applied as well as

the reimbursement rate applicable to ERA-NET actions (normally 33%).

Maximum reimbursement per beneficiary per year of EURO 11 962,50. Annex WP H2020: Union contribution to coordination costs for additional

activities should not exceed 20% of the total Union contribution to the project. Beneficiaries carrying out the trans-national project themselves cannot claim coordination costs.

Example: out of a total Union contribution of €5 million, a maximum of €1 million can be allocated to co-ordination costs, sufficient for 20 partners for four years.

"low effort" ERA-NET particiants Unit costs

Coordinator and WP leaders

"black box"?

Example: M-ERA.NETCosts statement first periodic report (34 partners) 9 partners with less than EUR 5.000 Union contribution 19 partners with less than EUR 12.000 Union contribution 28 partners with less than EUR 25.000 Union contribution Only 4 partners with higher Union contributions

[EUR]: 32.361, 56.849, 66.303, 88.106 And of course the coordinator: EUR 121.274

28 out of 34 partners should easily be able to cover their participation with the unit cost!

ERA-NET Cofund: financing of the actionExample: Union contribution specified in the WP: € 5 million

Up to €1 million for coordination costs, e.g. 16 partners receive 5 years coordination costs, or 20 partners receive 4 years coordination costs.

Contribution to the funding of projects: € 4 million call budget € 12,21 million.

How much can be used by the consortium for the preparation, implementation and follow-up of the call as well as management of the consortium? internal decision of the consortium rule of thumb: 5-10% of the call budget (ERA-LEARN) resulting in up to € 1,2 million

Important: Amount, internal distribution, replacement with additional national funding etc. is between the consortium partners only!

Co-funded call: Rules for providing support to or implementation of trans-national projects?

The beneficiaries must provide financial support to trans-national projects or implement such projects (partially or fully) themselves

The proposals/projects must - be transnational projects (at least two independent entities from two different EU Member States or associated countries)- be selected following a joint transnational call for proposals, two-step procedure- be evaluated in step 2, with the assistance of at least three independent experts, on the basis of excellence, impact, quality and efficiency of the implementation- be ranked according to the evaluation results, and the selection made follows the ranking

ERA-NET Cofund – Payments / Reporting Default: two reporting periods

two prefinancing payments (10% / 80%)

• periodic technical report• the ranking list(s) of the projects• the observers' report on the evaluation• the joint selection list of the projects to be funded• from each beneficiary participating in the joint call, a formal

and duly signed commitment on availability of funds• a statement on the use of the previous pre-financing

instalment

At the end of RP1

(after end of evaluation)

• After the end of the evaluation: information on each project selected for funding (data on each participant and abstracts of the project proposal).

• At the end of the action: information on each funded project (data on each participant and overview of results).

Additional requirements

Additional promotion via ERA-LEARN & NETWATCH

Launching event 16 January 2014, Brussels

Workshops, Trainings, national events

ERA-NET Co-fund provisions

Grant Agreement and Annexes

Annotated GA Annex to the WP

2014/15 Proposal

submisison forms and templates

Guidelines, FAQ

Important documents

for proposers

Preparation for the

launch of the first call

ERA-NET Cofund – Annexes

ERA-NET Co-fund Grant Agreement (clean) (short)Annex 7: commitment on availability of fundsAnnex 8: statement on the use of the previous pre-financing instalmentAnnex 2 and 4: Budget table, Form C

In addition during grant preparation: Participant declaration

Annex to the WP 2014/15Template for proposal part B / Annex I (DoW)

Use of ESIF in the context of ERA-NET Cofund actions

Horizon 2020 and European Structural and Investment Funds (ESIF) rules allow for the funding of the same action by two different Union funding sources provided there is no double funding of the same cost-item.

MS may use structural funds for their contribution to the call, but only those MS contributions to the call budget that use purely national contributions will qualify for co-funding from H2020.

Any call contribution a MS makes that is co-financed by structural funds does not qualify for additional funding from H2020.

MS that have access to structural funds have to decide if theyA. use their national contribution in order to receive the H2020 funding

(33% of the total funding = 50% of their national contribution), orB. choose to participate in the call without H2020 funding and use the

leverage they get from ESIF (50 or 75% funding rate, resulting in 100 or 300% ESIF contribution for their national contribution).

Combination is possible if H2020 is used to fund some projects and ESIF others.

Horizon 2020: ERA-NET Cofund Infoday16 January 2014Charlemagne Rue de la Loi 170, B-1049 BrusselsRoom Alcide de Gasperi (GASP)

Target Group: ERA-NET and JPI participants MS representatives Broader stakeholder community Room for up to 400 participants Web streaming is planned

Horizon 2020: ERA-NET Cofund Infoday10h00 – 11h00 Registration of participants and welcome coffee

11h00 – 13h00 Plenary session I: Intro H2020 and P2P ERA-NET and JPIs and their calls ERA-NET Cofund WP 2014/15 and call topics 2014 overview

13h00 – 14h30 Lunch break and networking

14h30 – 16h30 Plenary session II: Proposal preparation, submission and evaluation Grant preparation and reporting Structural funds NETWATCH ERA-LEARN Q&A

Fragen? Unit costs – für wen, wie oft, kann man die aufspalten, wann wird

gezahlt, welche Nachweise muss man führen? Flexibilität bezüglich Partner und deren Beteiligung Laufzeit, wer is wie lange dabei? Wie werden Themen ausgeschrieben? Zentrale Abwicklung? In-kind contributions / Beteiligung von Forschungseinrichtungen? INCO ERA-NETs? ….

In-kind contributions1. Cash-based ERA-NET

ERA-NET Cofund reimburses part of the grant paid to the third parties. The funding of the final beneficiaries has to follow national funding rules. If the national rules allow in-kind contributions to the projects, then they are eligible costs at national level, and we reimburse on that basis 33% of the national funding.

2. ERA-NET for Governmental research organisations:ERA-NET Cofund reimburses the costs of trans-national projects on the basis of Horizon 2020 rules for eligible direct and indirect costs. The in-kind contributions are the resources allocated as direct expenditure in the selected trans-national projects that are not reimbursed by the Union contribution.In addition: if our beneficiaries receive in-kind contributions from third parties they become eligible costs (provided the comply with the respective H2020 rules) and are part of the eligible costs we reimburse

ERA-NET Cofund in WP 2014 (I)WP 2014: 11 ERA-NET actions with a Union contribution of up to € 83 million: ICT 26 – 2014: Photonics KET (€ 6 million) HCO7 – 2014: ERA-NET: Establishing synergies between the Joint

Programming on Neurodegenerative Diseases Research and Horizon 2020 (€ 5 million)

HCO8 – 2014: ERA-NET: Aligning national/regional translational cancer research programmes and activities (€ 5 million)

HCO9 – 2014: ERA-NET: Systems medicine to address clinical needs (€ 5 million)

HCO 10 – 2014: ERA NET: Rare Disease research implementing IRDiRC objectives (€ 5 million)

ISIB-12-2014/2015: Public-Public Partnerships in the bioeconomyA. (2014) Sustainable and resilient agriculture for food and non-food systems (€ 5 million)

ERA-NET Cofund in WP 2014 (II) LCE 18 – 2014/2015: Supporting Joint Actions on demonstration

and validation of innovative energy solutions (€ 20 million)

WATER-3-2014/2015: Stepping up EU research and innovation cooperation in the water area (€ 10 million)

SC5-9-2014: Consolidating the European Research Area on biodiversity and ecosystem services (€ 12 million)

EURO 5 – 2015: ERA-NET on Smart Urban Futures (€ 5 million) REFLECTIVE-1–2014: ERA-NET on Uses of the past (€ 5 million)

ERA-NET Cofund in WP 2015 (I)WP 2015: up to 14 ERA-NET actions with a Union contribution of up to € 151 million: ICT 26 – 2015: Photonics KET (€ 6 million)

NMP 14 - 2015: ERA-NET on Materials for Energy (€ 10 million)

HCO11 – 2015: ERA-NET: Collaboration and alignment of national programmes and activities in the area of brain-related diseases and disorders of the nervous system (€ 5 million)

HCO12 – 2015: ERA-NET: Antimicrobial Resistance (€ 5 million) HCO13 – 2015: ERA-NET: Cardiovascular disease (€ 5 million) HCO 10 – 2014: ERA NET: Rare Disease research implementing

IRDiRC objectives (€ 5 million)

ERA-NET Cofund in WP 2015 (II) ISIB-12-2014/2015: Public-Public Partnerships in the bioeconomy

(multiple topics, € 15 million)B. Rural development C. Monitoring and mitigation of agricultural and forestry greenhouse gases (GHG) D. Sustainable crop production E. Sustainable livestock production F. Biomarkers for nutrition and health

LCE 18 – 2014/2015: Supporting Joint Actions on demonstration and validation of innovative energy solutions (€ 50 million)

ERA-NET Cofund in WP 2015 (III) WATER-3-2014/2015: Stepping up EU research and innovation

cooperation in the water area (€ 15 million)

SC5-2-2015: ERA for Climate Services(€ 25 million) SC5-15-2015: Strengthening the European Research Area in the

domain of Earth Observation (€ 12 million)

Supporting initiatives under FP7NETWATCH Information System Central information platform for transnational R&D programme cooperation

& analytical tools

ERA-NET Learning Platform and ERA-LEARN Aligning structures and procedures for simplified and efficient joint call

activities towards a common organisational framework Community building and monitoring of the ERA-NET scheme

… and others PLATFORM JPI to Cowork …

CSAs and other actions in WP 2014/2015 NMP 38 – 2014: Facilitating knowledge management, networking and

coordination in NMP HCO 2 – 2014: Joint Programming: Coordination Action for the Joint

Programming Initiative (JPI) "More Years, Better Lives - the Challenges and Opportunities of Demographic Change"

ISIB-10-2014: Networking of Bioeconomy relevant ERA-NETs ISIB-11-2014: Coordination action in support of the implementation by

participating States of a Joint Programming Initiative on Agriculture, Food Security and Climate Change

BG-16-2015: Coordination action in support of the implementation of the Joint Programming Initiative on 'Healthy and Productive Seas and Oceans'

INSO 8 – 2014: Towards joint programming under Horizon 2020 INSO 9 – 2014: Synchronised Call initiatives SC6 OTH 17 – Analysis of ERA-NET Cofund SC6 OTH 18 – Strategic evaluation of Joint Programming

INSO 8Scope: Proposals should cover at least one of the following areas:

- Development and implementation of a user-led 'information, learning and support platform' for Public-public partnerships.The action shall support the information, monitoring and evaluation needs of all users, provide learning materials and functionalities including annual events and ensure the maintenance of a web-based portal with direct and indirect IT services. The action shall take into account the experiences gained from current actions (ERA-LEARN, NETWATCH, JPI to co-work). Proposers must demonstrate the ability to respond to user needs of the main stakeholders involved in P2Ps and ensure a representative participation.

INSO 8- Optimising modalities and implementation of P2PsActions shall be user –led and support improved and coherent implementation of P2Ps, e.g. the further development and common application of Framework Conditions for JPIs, the support for the development and implementation of a Joint Programming 'Knowledge Hub' concept for Less Research Intensive countries or other conceptual and methodological approaches.- New modalities for aligning national/regional activities under common research agendasThe action should assess and benchmark current approaches and support stakeholders to introduce or scale up new approaches that allow Member States and funding bodies to increase competition, excellence, and impact in their national activities (calls for proposals, institutional funding, etc.) that implement commonly agreed research agendas.

Thank you for your attention!

Any questions?

Contact Jörg Niehoff

joerg.niehoff@ec.europa.eu DG Research & Innovation

Unit B4 - Joint Programming