training on h2020 for mediterranean ncp (amman, 9-11 december 2013)

Training on H2020 for Mediterranean NCP(Amman, 9-11 December 2013)

Building Synergies between European Member States/ Associated Countries and Mediterranean

Partner Countries

Marilena Rossano, Italian National Research Council (CNR) – UARIEAhmid El Zoheiry, .....................................................

Need to engage more actively and strategically in international cooperation:

Three main objectives:

• Strengthen EU's excellence and attractiveness in R&I, as well as its industrial & economic competitiveness

• Tackle global societal challenges

• Support the EU's external policies ---Combining openness with better targeted actions ---Strengthened partnership with Member States ---Stronger contribution of R&I to external policies of EU

HORIZON 2020 AND INTERNATIONAL COOPERATION

Dual approach

Openness:• Open to participation from across the world

• Revision of list of countries receiving automatic funding(BRIC countries + Mexico will no longer receive automatic funding).

Targeted actions:1. Thematic targeting: identifying areas for international

cooperation on basis of EU policy agenda2. Differentiation by country/region to identify partners for

cooperation


Dual approach

Openness:• Open to participation from across the world

• Revision of list of countries receiving automatic funding(BRIC countries + Mexico will no longer receive automatic funding).

Targeted actions:1. Thematic targeting: identifying areas for international

cooperation on basis of EU policy agenda2. Differentiation by country/region to identify partners for

cooperation

multi-annual roadmaps for cooperation with key partners



EU Call targeted in different areas/sectors/societal challenge Jointly decision making on

sectors, co-funding

FP AND ACTIONS FOR JOINT PROGRAMMING

ERANET /ERANET+ Art.185

Objectives Coordinating national programmes and enhancing funding in selected areas

Integrate national research programmes in a selected area. Create critical mass and minimise duplication of research efforts

Potential impact on cooperation and coordination of national programmes

New cooperation activities, helpd to reduce fragmentation

Help overcome unnecessary overlap and fragmentation of R&I effort

Need of a legal Structure No Yes

Actors Programme owners or funding agencies

Any legal entity by MS. Usually funding agencies or public bodies

Freedom regarding thematical scope

Limited to thematic units Higher, but fit in the scope of H2020 and not overlap other calls

The ERA-NET instrument under Horizon 2020 is designed to support public-public partnerships in their preparation, establishment of

networking structures, design, implementation and coordination of joint activities as well as topping up of single joint calls and of actions of a

transnational nature.

The ERA-NET under Horizon 2020 (ERA-NET Co-fund) merges the former ERA-NET and ERA-NET Plus into a single instrument with the central and

compulsory element of implementing one substantial call with top-up funding from the Commission. The focus of ERA-NETs is therefore

shifting from the funding of networks to the top-up funding of single joint calls for transnational research and innovation in selected areas

with high European added value and relevance for Horizon 2020.

H2020 AND ERANET (1/3)

Financial contributions of Member States can be in cash or in kind in order to broaden the scope of ERA-NETs towards the coordination

institutional funding of governmental research organisations.

The in-kind contributions are the resources allocated as direct expenditure in the selected transnational projects that are not

reimbursed by the Union contribution. In addition to the co-funded call, the consortia may implement other

joint activities including other joint calls without EU contribution


EC contribution: max 33% of the total eligible costs of the action.

A. Costs for transnational projectsThe contribution of other national and regional programs, not being part of the consortium, to transnational project is not calculated for the contribution of EC. Eligible costs: Financial support to third parties, cost for the implementation of transnational projects (at least two independent entities from 2 different Countries).

B. Coordination costs for additional activities if beneficiary carries out activities that go beyond the co-funded call, if related to the coordination of public research and innovation programs

The total duration max 5 years


STEPS FOR AN ERANET

LoI – Launch of call – Proposals evaluated with the assistance of at least 3 independent experts, on the basis of the following criteria: excellence, impact, quality and efficiency of the evaluation.

Proposals must be ranked according to the evaluation results.

The Consortium must submit to EC the following:- the ranking list of projects

-the observers report on the evaluation, the joint selection list of the projects to be funded,

- from each consortium partner participating in the joint call, a formal and duly signed commitment on availability of funds for the selected projects.

The Consortium must submit also information about the projects

selected for funding.

Art.185 of TFEU

Full integration of national programmes at 3 levels:

1- Scientific

2- Financial

3- Management

Legal basis for an Art.185 TFEU

“In implementing the multiannual framework programme, the Union may make provision, in agreement with the Member States concerned, for participation in R&D

programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes”

● Participating Member States as the driving force● Commission proposes formally to Council and the Parliament● Parliament and Council : “ordinary legislative procedure” ● Economic and Social Committee is consulted

Some features and steps of an art.185

The community provides, then, financial support to the joint research programme, by co-funding the efforts from

national/regional budgets/programmes

European programmes undertaken by several Member States - A185

Scientific

Integration

Integration

Integration

Financial

Management

►Existence of national programmes or activities

► Joint scientific programme

► Selection of proposal based on scientific excellence

► Strong, irrevocable political/financial commitments by MS

► Pre-allocated budget/year

► Follow Commission rules for “delegation” ex-ante audit

► Independent Joint Management Structure (DIS - Dedicated Implementation Structure)

► Well defined governance (Legal Body)

► Clear roles and responsabilities between MS/DIS/EC

PILLARS

Art.185 TFEU in H2020art.20 Commission proposal

Such initiatives can be proposed when there is a need for a dedicated implementation structure and a high level of commitment of the participating countries to integration at scientific, management and financial levels. Moreover the following criteria have to be taken into account :

(a) a clear definition of the objective to be pursued and its relevance to the objectives of Horizon 2020 and broader Union policy objectives;

(b) clear financial commitments of the participating countries, including prior commitments to pool national and/or regional investments for transnational research and innovation;

(c) the added value of action at Union level; (d) the critical mass, with regard to the size and the number of programmes

involved, the similarity of activities and the share of relevant research they cover;

(e) the efficiency of Article 185 TFEU as the most appropriate means for achieving the objectives.

Integration of national programmes: bring national programmes into a common one Partner Countries: any country joining

Funding Models: three main categories of funding models can be named:

Common pot: countries pool funds and there are trans-national flows of funds as all researchers are funded only based on their success in the proposal evaluation.

Virtual common pot: enables countries and regions to pay for their own participants

Mixed-mode pot: allows countries to pay for their own researchers and, on occasion, to pay for other countries’ researchers

Art.185: Some basics and past experience (1/2)

Financial contributions :

In-kind contribution: contribution made by participating states, other than cash, that directly makes it possible to perform networking or capacity development activities with cash funding from the EU.

In-cash contribution: where new cash is allocated directly to the programme. Where new cash is allocated directly to a project arising from a call it will contribute to the Virtual Common Pot.

Allocations to the common and virtual pot may be restricted or unrestricted. Restricted cash contribution: New cash contributions on which the contributing country may impose some limitations on how that money can be spent. e.g. limited to projects in specific research areas, or limited to researchers within same country as the contributor.Unrestricted cash contribution: New cash contributions on which the contributing country does not place limitations and which therefore can contribute to any part of the programme.

Art.185: Some basics and past experience (2/2)

EC steps to start an Art.185

1.MS put a joint programme forward to the Commission services to join in via Art.185 and identify the DIS2.If the activity falls within FP, the Commission may consider to negotiate with the involved DIS a proposal3.Commission do ex-ante impact assessment4.Commission put forward a proposal to Council and Parliament5.Council and parliament agree or not – they may amend6.Adoption and publication of Council and Parliament Decision7.Commission conducts an ex-ante audit of DIS8.Negotiation of an Agreement (contract) between Commission and DIS9.Entry into force of the activity after signature of the agreement 10.Annual contributions based on annual agreement, report and planning

•To solve problems together with industry•To strengthen European industrial leadership•To facilitate prioritisation of R&I in line with Europe 2020 objectives and industry needs•To leverage research and innovation elements•To strongly commit industry to joint objectives

Joint technology initiatives Contractual PPs

Innovative Medicine; Clean Sky; Single European Sky ATMResearch (SESAR); Fuel Cells and Hydrogen(FCH); Embedded ComputingSystems (ARTEMIS); Nanoelectronics (ENIAC)

Factory of the Future (FoF)• Energy-efficient Buildings(EeB)• Green Cars (GC)• Future internet (FI-PPP)

Experience until now

Public-Private Partnerships

Implementation of "contractual" PPPs

-Industry has a leading role in defining research priorities

- Ad-hoc Industrial Advisory Group advises on implementation

- Multi-annual Roadmap allows long-term investment plans

- Pre-defined budget ensures continuity

- More emphasis on relevance of industry and impact

- Focused on enabling industrial technologies

- Increased use of SME-friendly instruments and demonstration


Features of "contractual" PPPs

• Quick response in defining the strategy

• Efficient launch of calls within the Recovery Plan

• Increased industry participation: >50%, SMEs ~ 23%

• More innovation related activities, including demonstration

• Industry and EC are keen to continue under Horizon 2020


COM(2013) 494 final (10.07.2013)Public –private partnership in Horizon 2020: a powerful tool to deliver on innovation and growth in Europe

To sum up:

Involvement of the Union in those partnerships may take one of the following forms: (a)financial contributions from the Union to: 1. joint undertakings established on the basis of Article 187 TFEU under the 7FP; 2. new public-private partnerships set up on the basis of Article 187 TFEU;

(b) entering a contractual agreement between the partners, which specifiesthe objectives of the partnership, respective commitments of the partners, key performance indicators, and outputs to be delivered including the identification of research and innovation activities that require support from H2020.


Key requirements

Public-private partnerships shall be identified in an open and transparentway based on all of the following criteria:(a) the added value of action at Union level;(b) the scale of impact on industrial competitiveness, sustainable growth and socio-economic issues;(c) the long-term commitment from all partners based on a shared visionand clearly defined objectives;(d) the scale of the resources involved and the ability to leverage additionalinvestments in research and innovation;(e) a clear definition of roles for each of the partners and agreed key performance indicators over the period chosen.


Thank you !

Cooperation

training on h2020 for mediterranean ncp (amman, 9-11 december 2013)

Documents

international cooperation

funding of networks

eranet plus

eranet cofund

callsthe eranet instrument

focus of era

better targeted actions

single instrument