getting involved in horizon 2020 and new funding mechanism (sbir) for smes - cliff funnell

Technology Strategy Board Driving Innovation

Cliff Funnell

UK FP7/H2020 Surface Transport NCP

Technology Strategy Board Driving Innovation Most important Slide

Contact NCP:

[email protected] 07813 301007


Overall UK Performance in FP7

EU provides up to 20% of HEIs‘ external research income

UK received 15.2% of FP7 spend (second only to Germany – 16.1%)

UK parNcipates in more projects than any other Member State

UK return for Rail projects around 15%!

Technology Strategy Board Driving Innovation The basics!

The European Commission supports collaboraNve Research and InnovaNon projects by means of grants.

Calls are launched, inviNng applicants to submit project proposals which fall within the remit of the Work Programme.

The collaborators form a consorNum which generally include three independent partners from different EU member or associated states.

DocumentaNon for parNcular calls for proposals can be downloaded from the ParNcipant Portal [hWp://ec.europa.eu/research/parNcipants/portal]


Proposals are submiWed by the coordinaNng partner, electronically, using the

parNcipant portal, before a fixed date and Nme.

Submission rules are published in the specific ‘Guide for Proposers’ which

details the submission process and sets rules which are rigorously applied.

For PPPs and CSAs there will be a one-‐stage proposal

For other collaboraNve projects there will be a two-‐stage proposal

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Technology Strategy Board Driving Innovation Two-‐Stage Proposals

Stage 1: Outline proposals [max 15 pages + list of partners] Evaluated remotely Limited criteria (Excellence and Impact) Minimum thresholds of 4 out of 5 for both criteria Submission deadline at 28th March? Successful proposals are invited to submit a complete proposal in Stage 2


Two-‐Stage Proposals Stage 2: Evaluated against all 3 criteria (Excellence, ImplementaWon and Impact); each scored out of 5; individual threshold of 3; overall threshold of 10. However, for for InnovaNon AcNons and SME instrument, Impact criterion weighted by factor of 1.5 Consistency with first stage proposal to be confirmed:

no changes of key partners; no deviaNons above +/-‐20% in the budget; no substanNal change in the scope of the work

Final submission deadline at 29th August?


Proposals are evaluated and ranked. The number of projects to be funded (beginning with the top-‐ranked proposals) depends upon the budget allocated to the Work Programme.

Successful applicants are invited to enter contract negoNaNons with the Commission to determine the terms and condiNons of the award. This necessitates validaNon of the idenNty and financial status of the proposers, and the formal DescripNon of Work to be undertaken.

The consorNum partners prepare a ConsorNum Agreement that defines the way the consorNum will operate, including ownership of IPR


Commencement of the project follows. Usually, within 30 days a substanNal pre-‐financing payment is made by the Commission

The coordinaNng partner interfaces with The Commission through a specific Project Officer. Progress reports and interim cost claims are submiWed; usually on an annual basis.

Around 90% of the grant is payable before the project ends. The remainder or retenNon awaits compleNon of all documents.

Technology Strategy Board Driving Innovation Proposal Process

3. Call for Proposals

4. Submission of Proposals

5. EvaluaWon by Independent Panel of Experts

6. Ranking of proposals

7. Decision on projects to be funded

8. Contract negoWaWon between applicant and Commission

9. Grant offered

Applicants

Support from Na2onal Contact

Points

Technology Strategy Board Driving Innovation Funding model

Direct costs: •  Research & InnovaNon AcNons

•  Up to 100% of total eligible costs •  InnovaNon AcNons (near-‐market acNviNes, e.g. prototyping,

tesNng, demonstraNng, experimental development, piloNng etc.) •  Up to 100% (not-‐for-‐profit organisaNons) or 70% (others) of total eligible costs

Indirect costs: •  A further 25% of total eligible direct costs •  No full cost opNon


For CollaboraNve Projects : •  Three independent legal enNNes from three different Member States or Associated States

Not Limited to European countries!

The ConsorWum


Existing Contacts Friends of

Existing Contacts

Partner Finding Services

Finding partners

Technology Strategy Board Driving Innovation ETNA Plus – NaWonal Contact Points


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NCP Partner Search Plaborm


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Technology Strategy Board Driving Innovation Other Partner Search Sources

•  Past/Ongoing Projects •  CORDIS •  Transport Research & InnovaNon Portal [TRIP] •  ETP directories of projects

•  ERRAC Membership, e.g. working groups •  InformaNon Days •  Brokerage Events

Technology Strategy Board Driving Innovation Horizon 2020 – 2014 Call

What do we know at the moment? •  Dran WPs available [31st October] -‐ but wording may sNll change! •  Overall funding model •  Call published on 11th December •  Transport InformaNon Days on 18th December

hWp://ec.europa.eu/research/transport/events/infoday2013/index_en.htm

•  The total budget and structure of 2014/2015 Calls •  The likely project size/funding for each Topic – indicated in topic

text

Technology Strategy Board Driving Innovation SME support: integrated approach

Horizon 2020

SME instrument 7%

Collaborative projects 13%

Eurostars II Enhancing Innovation Capacity

Market-driven Innovation

Access to Risk Finance

20 % budgetary target in

LEITs & SC

'Innovation in SMEs'

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Technology Strategy Board Driving Innovation SME instrument main features

•  7% of SC/LEIT budget allocated to SME instrument •  Targeted at all types of innovaNve SMEs •  Only SMEs allowed to apply for funding (single company support possible) •  Market-‐oriented, EU dimension •  BoWom-‐up, although each Societal Challenge /LEIT defines a broad topic •  Grant-‐based staged funding


•  ConNnuously open call with around four cut-‐off dates per year •  Opening on 1st March 2014 •  First cut-‐off for Phase 1 on 18th June 2014; •  First cut-‐off for Phase 2 in November 2014.

•  No obligaNon for applicants to sequenNally cover all three phases •  Funding for Phase 2 -‐ 70% (excepNons possible) •  Phase 1:

•  10% of budget •  10% success rate

•  Phase 2: •  88% of budget •  30 – 50% success rate

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Technology Strategy Board Driving Innovation EvaluaWon of SME Instrument


Access to Finance – Two facilities

The debt facility will provide: •  loans to single beneficiaries for investment in research and innovation; •  guarantees to financial beneficiaries making loans to beneficiaries; •  combinations of loans and guarantees, and guarantees or counter-guarantees for

national and regional debt- financing schemes. •  an SME window targeting R&I-driven SMEs with loan amounts that complement finance

to SMEs by the Loan Guarantee Facility The equity facility •  venture and/or mezzanine capital to individual enterprises in the early stage (start-up

window). •  expansion and growth-stage investments in conjunction with the Equity Facility for

Growth

Technology Strategy Board Driving Innovation Contacts

Contact NCP [email protected] 07813 301007

Register interest/access EU informaWon hWp://ec.europa.eu/research/parNcipants/portal

Partner Search & Sources of informaWon / roadmaps / funded projects hWp://www.errac.org hWp://www.transport-‐ncps.net/ hWp://www.transport-‐research.info/

getting involved in horizon 2020 and new funding mechanism (sbir) for smes - cliff funnell

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