Horizon 2020 funding modes J-C Burgelman DG RTD Symposium VLIR universiteiten, denken doen 8 maart 2016 1
Overview H2020 is implemented through: Indirect actions Work Programmes Sets out calls for proposals other actions Direct actions Joint Research Centre (JRC) in-house activities Initiatives under Article 187 (PPPs) Article 185 (P2P) specific Workplans It also contributes to the EIT 2
Forms of funding (1) (provided in the EU Financial Regulation) Grants Prizes Public Procurement Financial Instruments 3
Forms of funding (2) Grants Direct financial contribution in order to finance an action Research Actions Actions: including FTI pilot; SME Instrument Coordination support actions COFUND: ERA-NET cofund; MSCA cofund; EJP Marie Skłodowska-Curie Actions (MSCA) Pre-Commercial Procurements (PCP); Public Procurement of Innovative solutions (PPI) Frontier Research grants Grants for identified beneficiary (included in 'other actions') 4
Forms of funding (3) Prizes Financial contribution given as reward following a contest. Public Procurement Supply of assests, execution of works or provisions of services against payment. Financial Instruments Equity or quasi-equity investments; loans; guarantees; other risk-sharing instruments. Implemented through the EIB/EIF. 5
Research Actions What? Funding for research projects tackling clearly defined challenges, which can lead to the development of new knowledge or a new technology. Who? Consortia of partners from different countries, industry academia. When? To explore the feasibility of a new or improved technology, product, process, service or solution. It may include basic applied research, technology development integration, testing validation on a small-scale prototype in a laboratory or simulated environment. 6
Actions (1) What? Actions primarily consisting of activities directly aiming at producing plans arrangements or designs for new, altered or improved products, processes or services. Who? Consortia of partners from different countries, industry academia. When? Actions are more focused on closer-to-the-market activities, aiming at producing new or improved products or services. It may include prototyping, testing, demonstrating, piloting, large-scale product validation market replication. Projects may include limited R&D activities. 7
Actions (2) SME instrument What? Staged support covering the whole innovation cycle in three phases complemented by a mentoring coaching service. Targeted at all types of innovative SMEs. Who? A single SME or a consortium of SMEs established in an EU or Associated Country. When? Funding supports highly innovative SMEs with the ambition to develop their growth potential. It offers lump sums for feasibility studies, grants for an innovation project s main phase (e.g. demonstration, prototyping, testing, application development). 8
Actions (3) Fast Track to innovation (pilot) What? Started in 2015 as a pilot action (to be reassessed). Continuously open, innovator-driven calls will target innovation projects addressing any technology or societal challenge field. Who? Consortia of partners from different countries, industry academia. When? Funding targets business-driven actions intended to give promising innovation ideas the last push before entering the market. Substantial industry involvement in FTI actions is matory to ensure quick market take-up. 9
Coordination support actions What? Actions consisting primarily of accompanying measures such as stardisation, dissemination, awareness-raising communication, networking, coordination or support services, policy dialogues, studies, complementary activities of networking coordination. Who? Single entities or consortia of partners from different countries, industry academia. When? Actions cover the coordination networking of research innovation projects, programmes policies. 10
Frontier research grants What? Funding for projects evaluated on the sole criterion of scientific excellence in any field of research, carried out by a single national or multinational research team led by a principal investigator. Who? Excellent young, early-career researchers, already independent researchers senior research leaders, of any nationality in any field of research. When? Actions cover purely frontier research. 11
Marie Skłodowska-Curie Actions What? Funding for international research fellowships in the public or private sector, research training, staff exchanges. Who? Early stage researchers or experienced researchers (of any nationality), technical staff, national/regional research mobility programmes. When? Funding supports research training career development focused on innovation skills. The programme funds worldwide cross-sector mobility that implements excellent research in any field. 12
Programme COFUND (1) What? Through partnerships, Horizon 2020 develops closer synergies with national regional programmes. The main purpose of the programme co-fund actions is to supplement individual calls or programmes in public-public partnerships (P2P) (apart from initiatives under Article 185). A programme co-fund action may also include complementary activities of networking coordination between programmes in different countries. 13
Programme COFUND (2) ERA-NET Cofund actions What? Support public-public partnerships in their preparation, establishment of networking structures, design, implementation coordination of joint activities as well as Union topping-up of a trans-national call for proposals. Who? Independent legal entities from Member States or Associated Countries owning or managing national R&I programmes. When? The main objective is the launch of a joint call for transnational research projects with cofunding from H2020. Consortia can decide to implement additional activities incl. additional joint calls. 14
Programme COFUND (3) Marie Skłodowska-Curie co-fund What? COFUND programmes encourage the movement of researchers across borders provide good working conditions. The scheme can support doctoral fellowship programmes. Who? Regional, national international programmes for research training career development. When? To co-funding new or existing regional, national, international programmes to open up to, provide for, international, intersectoral interdisciplinary research training, as well as transnational cross-sectoral mobility of researchers at all stages of their career. 15
Programme COFUND (4) European Joint Programme What? Support coordinated national R&I programmes in implementing a joint programme of activities (ranging from R&I activities to coordination, training, dissemination activities financial support to third parties). Who? Independent legal entities from Member States or Associated Countries owning or managing national R&I programmes. When? The EJP aims at attracting pooling a critical mass of national resources on objectives challenges of H2020 at achieving significant economies of scale by adding related H2020 resources to a joint effort. 16
' procurement' (1) Pre-Commercial Procurements (PCP) & Public Procurement of Innovative solutions (PPI) What? PCP actions aim to encourage public procurement of research, development validation of new solutions that can bring significant quality efficiency improvements in areas of public interest, whilst opening market opportunities for industry researchers active in Europe. PPI actions enable groups of procurers to share the risks of acting as early adopters of innovative solutions, whilst opening market opportunities for industry. 17
' procurement' (2) Pre-Commercial Procurements (PCP) & Public Procurement of Innovative solutions (PPI) Who? The actions provide EU funding for a group of procurers ('byers group') to undertake together one joint PCP-PPI procurement. When? PCP-PPI grants fund the preparation, single joint procurement implementation of subcontracts for R&D services (PCP) or innovative solutions (PPI). 18
Work Programme 2016-2017 Repartition between total funding devoted to calls in WP parts 'other actions' Other actions 15% Total calls in WP parts 85% Calls for proposals constitute around 85% of the overall funding 19
Work Programme 2016-2017 Types of funding schemes in terms of indicative planned budget PPI:PCP 1% MSCA 13% ERC 14% CSA 7% RIA&IA 61% COFUND 4% 20
Work Programme 2016-2017 Other* 34% Other actions Prizes 1% PP 9% Financial Instruments 48% Identified beneficiaries 8% *Other: expert contracts, delegation agreements, subscription, etc. 21
Framework Partnership Agreements (1) The Financial Regulation provides the possibility of Framework Partnership Agreements (FPAs) for long term partnerships associated specific grant agreements. Framework Partnership Agreements (FPAs) Specific Grant Agreements (SGAs) have been used in a limited way when in line with the objectives of the programme parts. 22
Framework Partnership Agreements (2) FPAs FET flagships (Graphene) e-infrastructures (GÉANT) Widening (teaming) EEN services COST Announced in the WP 2016-17 for ERANET cofund (climate, bioeconomy, energy) * SGAs Graphene GÉANT Widening (teaming) EEN services COST Announced in the WP 2016-17 for EEN services, Widening in 'Other action' in support of FPAs such as Graphene, SST, ERANET cofund*. * To be removed in upcoming revision
Other sources of funding through H2020 Initiatives under Articles 185 187 P2P Article 185 PPPs Article 187 Allows the integration of national efforts into a programme undertaken jointly by several MS, with the participation of the EU, including participation in the structures created for the execution of the joint programme. In order to boost EU business investment support the development implementation of research innovation activities of strategic importance to the Union's competitiveness industrial leadership or to address specific societal challenges, in the form of Joint Undertakings. Contractual PPPs may also be supported. Horizon 2020 Rules for Participation apply 24
Consultation or strategic platforms (Not funding instruments) European Partnerships (EIPs) a means to streamline, simplify better coordinate existing instruments initiatives into a single policy framework complement them with new actions where necessary. European Tecnology Platforms (ETPs) industry-led stakeholder fora recognised by the EC as key actors in driving innovation, knowledge transfer European competitiveness. ETPs develop R&I agendas roadmaps for action at EU national level to be supported by both private public funding. 25