1. law, govt and politics
2. legal issues
3. international law

Brussels, 24 March 2015
HORIZON 2020
New Commission, New Agenda
The 2015 Science│Business Horizon 2020
Conference
Brussels, 24 March 2015
Wolfgang Burtscher
Deputy Director-General
DG Research and Innovation
European Commission
Statistical Overview
• Implementation of Work Programme 2014-15 as
of 25 February 2015 (ECORDA):
•
Work Programme budget: EUR 15.52 billion
•
# of calls concluded: 79
•
# of proposals received: 26,321
•
# of eligible proposals received: 25,903 (Requesting EUR
41.5 billion)
•
# of retained proposals: 3,765 (Requesting EUR 6.6 billion)
•
# of signed grant agreements: 1,410 (Requesting EUR 3.2
billion)
Administrative success (1)
• Participant Portal: single gateway where external
beneficiaries of the whole Research family can
find in an easy way all relevant information
•
Guidance (H2020 online manual, helpdesk, etc.)
•
Funding opportunities
•
Proposal submission
•
Results of evaluation
•
Grants lifecycle
•
Electronic submission of invoices, deliverables, activity reports
Administrative success (2)
According to an external study:
"To try and benchmark the Portal, an initial task for the project
was to see if there were comparator systems around the world
that could provide benchmarks in terms of functionality, design,
or performance. However, we could not find equivalent systems
of the functional complexity, working seamlessly across the full
functions of government … . There are many grant application
and funding systems, but not with the ability to manage
sophisticated online evaluation and project monitoring. The
Participant Portal is unique."
Administrative success (3)
• Quick information on evaluation outcome – Timeto-inform of 5 months respected 100%
• Quick signature of grant agreement – Time-togrant of 8 months respected 93% (no
negotiation)
• Only possible thanks to:
•
Robust IT-systems
•
Coherent set of business processes covering complete grant cycle and all
actors implementing H2020
•
Continued focus on simplification
Assessment of the state of play (1)
• Programming: OK
•
Inclusive (H2020 Advisory Groups)
•
Strategic ('Strategic Programming')
•
Predictable (2-year Work Programmes)
•
Respectful of scientific autonomy (Challenge-based approach broadly
appreciated)
• Focus on impact: So far, so good (time-lag)
•
Drafting of Work Programmes and Calls for Proposals (Focus on
dissemination and exploitation, inclusion of end-users, etc.)
•
'Impact' as one of the evaluation criteria (Heavier weighting in the case of
innovation actions)
•
Experts with expertise in the field of innovation in proposal evaluation
Assessment of the state of play (2)
• Interdisciplinarity: Generally to be strengthened
further
•
E.g. further embedding of SSH
•
E.g. cross-cutting calls (between societal challenges ('focus areas') or
between societal challenges and LEIT)
• International cooperation: Generally further
embedding needed
Assessment of the state of play (3)
• Success rates
•
H2020 Total:
Proposals: 14.53%; Applicants: 16.87%; EU FC: 15.96%
•
FP7 Total:
Proposals: 18.52%; Applicants: 21.77%; EU FC: 19.15%
•
H2020 ERC:
Proposals: 12.80%; Applicants: 12.27%; EU FC: 13.42%
•
FP7 ERC:
Proposals: 11.90%; Applicants: 11.06%; EU FC: 11.55%
•
H2020 IL:
Proposals: 12%; Applicants: 15%; EU FC: 15%
•
H2020 SC:
Proposals: 12%; Applicants: 16%; EU FC: 16%
•
FP7 COOP:
Proposals: 20%; Applicants: 22%; EU FC: 22%
Assessment of the state of play (4)
• Success rates
•
H2020 Food:
Proposals: 13.34%; Applicants: 20.58%; EU FC: 19.88%
•
FP7 Food:
Proposals: 18.10%; Applicants: 21.31%; EU FC: 17.75%
•
H2020 Transport:
Proposals: 17.74%; Applicants: 27.74%; EU FC: 29.49%
•
FP7 Transport:
Proposals: 25.05%; Applicants: 29.28%; EU FC: 28.95%
•
H2020 Climate:
Proposals: 11.87%; Applicants: 22.81%; EU FC: 22.17%
•
FP7 Env:
Proposals: 18.85%; Applicants: 21.80%; EU FC: 20.99%
•
! Looking only at proposals scoring above the threshold, overall about 1 in 3
proposals is retained for funding
Assessment of the state of play (5)
• Private sector participation
•
•
Objectives
•
"Horizon 2020 should aim to attract the strong
participation of universities, research centres, industry
and specifically SMEs and be open to new participants"
•
"In order to reduce the time from idea to market, using a
bottom-up approach, and to increase the participation of
industry, SMEs and first-time applicants in Horizon 2020"
25 February 2015 (H2020 societal challenges + industrial leadership –
access to risk finance):
•
•
37.1% of EU FC; 38.0% of participations
FP7 Cooperation:
•
32.2% of EU FC; 35.1% of participations
Assessment of the state of play (6)
• SME participation
•
Objective:
• 20% of the combined budgets of societal
challenges + LEIT
•
25 February 2015:
• Societal challenges: 15.8% of EU financial
contribution and 22.2% of participations
• LEIT: 22.8% of EU financial contribution and 28.4%
of participations
•
FP7 Cooperation:
• 17.1% of EU financial contribution and 19.3% of
participations
Assessment of the state of play (7)
• Other issues
•
Proposal evaluation scoring
• Averaging of scores, resulting in decimals, has
been applied in some areas (first stage of twostage health calls, first stage of SME-instrument)
• Experience will be reviewed for WP 2016/17
•
Evaluation Summary Reports
• Limited feedback provided initially in some areas
(first stage of two-stage health calls, first stage of
SME-instrument)
• More feedback provided now (but 'proportional')
Looking ahead (1)
Strategic Programming:
Preparation of Work Programme 2016/17
 Provide for strategic orientations and coherent implementation
of the multi-annual approach
 Sequence specific objectives of Horizon 2020 parts into twoyear work programmes;
 Improve relevance and impact by ensuring EU policy priorities
are properly reflected and resources are targeted on areas with
greatest impact on EU level.
Foresight and
stakeholder
consultation
(Advisory
Groups)
Consultation
Member States
Determining
strategic
priorities
Elaboration of
work
programme
Looking ahead (1)
Work Programme 2016/17:
Strategic priorities
• Contribution to the Jobs, Growth and Investment Package
• Support to other Commission policy areas, notably
 Energy Union;
 Digital Single Market;
 Strengthening the industrial base (key
enabling technologies)
•
Pursuance of all strategic objectives
despite contribution to EFSI fund
(i.e. only 3.5 % of Horizon 2020 budget
2014 to 2020)
Looking ahead (2)
Budget  Payment appropriations
• Annual payment appropriations availability
Difficult to predict
Requiring close monitoring
To be coped with by shifting call deadlines
and adapting prefinancing rates
SME Instrument and
InnoVFin
under Horizon 2020:
a quick overview
by Jean-David Malo,
Head of Unit,
SMEs, Financial Instrument and State Aids
DG Research and Innovation
“Horizon 2020 - New Commission, new Agenda”
The 2015 Science|Business Horizon 2020
Conference
Not legally binding
1- The SME Instrument
(SMEI) under Horizon
2020 (H2020)
Mechanics & Implementation
Not legally binding
The SMEI under H2020: Seamless Business
Innovation Support from Mature Idea to Market
EU Grant of
€ 50,000
(lump sum)
•
•
•
•
Not legally binding
•
EU Grant of
€ 500,000 to 2.5
million (indicative
amount)
No grant, but…
Coaching support
Market and Investment
Readiness support
Promotion / networking with
financiers & clients
… and more indirect support!
The SMEI under H2020: Target Audience, Rules
for Participation and Intermediary Call Deadlines
•
For all types of innovative SMEs (EU-28 +
H2020 AC) showing a strong ambition to
develop, grow and internationalise
•
•
Single company support possible
•
No obligation for applicants to sequentially
cover all three phases
•
•
70% funding (as a general rule)
From idea to market through three phases
of continuous support
Mature ideas
dimension
2015 Intermediary Call Deadlines or
"Cut-Off" Dates
Phase 1
Phase 2
Not legally binding
18/03/2015
18/03/2015
17/06/2015
17/06/2015
17/09/2015
17/09/2015
25/11/2015
25/11/2015
with
a
clear
European
The SMEI under H2020: Submission stats,
evaluation results and funding rates
Cut-off dates Phase 1
Cut-off dates Phase 2
18/06/2014 24/09/2014 17/12/2014 18/03/2015 9/10/2014 17/12/2014 18/03/2015
N° of
proposals
received
2666
1944
2363
Above
threshold
317
237
Funded
155
% funded
FUNDED
ABOVE
THRESHOLD
Not legally binding
1569
580
629
320
132
180
178
259
60
74
6%
9%
11%
10,5%
12%
48.8%
75%
81%
45%
41%
614
The SMEI under H2020: Phase 2 Call Topics
# of Projects Funded
after two "Cut-Offs"
(both in 2014)
Total budget
invested ( in
million Euro)
ICT 37: Open Disruptive Innovation Scheme
28
37.3
NMP 25: Accelerating the uptake of nanotechnologies, advanced materials
or advanced manufacturing and processing technologies by SMEs
13
19.5
BIOTECH 5: SME boosting biotechnology-based industrial processes driving
competitiveness and sustainability
2
2.3
LEIT Space-SME
4
5.1
10
33.1
7
8.4
1
1.7
SIE 1: Stimulating the innovation potential of SMEs for a low carbon and
efficient energy system
18
31.2
IT.1: Small business innovation research for Transport
24
37.3
SC-5-20: Boosting the potential of small businesses for eco-innovation and
a sustainable supply of raw materials
13
19
DRS17-Protection of urban soft targets and urban critical infrastructures
14
34
134
229
PHC12 :Clinical research for the validation of biomarkers and/or diagnostic
medical devices
SFS8: Resource-efficient eco-innovative food production and processing
BG12: Supporting SMEs efforts for the development - deployment and
market replication of innovative solutions for blue growth
TOTAL
SMEs and small Mid-Caps
< 500 Employees
Mid-Caps
< 3,000 Employees
Large Caps
Typically > 3,000
Employees
Intermediated
SME/Mid-Cap Financing
Intermediated and/or
direct Corporate lending
Direct Corporate Lending
Not legally binding
26
Not legally binding
27
Financial Intermediary
(FI)
•
FI
Guarantee
from EIF
Guarantee
Fee
•
Instruments (Loan, Lease, …)
50% Guarantee
•
•
Innovative SMEs /
Small Mid-caps
Not legally binding
28
Tangible &
Intangible
Assets
Working
Capital
Business
Transfers
•
•
•
•
•
Not legally binding
Guarantee
Fee:
SME
0.50% p.a.
29
Guarantee
Fee:
Small MidCap
0.80% p.a.
Not legally binding
30
EIF
EIF
Not legally binding
Financial
50%
Intermedia
Guarantee
ry
EUR 25m
New
Loans
Growth Finance / Mezzanine
EUR 25m
31
Innovative
Mid-Caps
3,000
Employees
Innovative
Mid-Caps
3,000
Employees
EIF
Financial
50%
Intermedia
Guarantee
ry
EUR 25m
•
•
•
•
•
Not legally binding
32
New
Loans
Innovative
Mid-Caps
3,000
employees
EIF
Growth Finance / Mezzanine
EUR 25m
•
•
•
•
•
Not legally binding
33
Innovative
Mid-Caps
3,000
Employees
Not legally binding
34
Not legally binding
35
EIF
Direct Lending
EUR 25m - EUR 300m
•
•
•
•
Not legally binding
36
Large
Projects
EUR 50m – EUR
600m
Not legally binding
37
Not legally binding
38
Project advisory work
Horizontal activities
•
•
•
•
•
Not legally binding
39
What is it?
Who is it
for?
Not legally binding
41
Not legally binding
41
•
•
•
•
Not legally binding
42
• Project
advisory &
LPA
• Horizontal
Activity
SMEs and small Mid-Caps
< 500 Employees
Mid-Caps
< 3,000 Employees
Large Caps
Typically > 3,000
Employees
Public & Private sector
promoters
Intermediated
SME/Mid-Cap Financing
Intermediated and/or
direct Corporate lending
Direct Corporate Lending
Financial Advisory
Project Advisory
•
•
•
•
•
•
•
•
Hydrogen Mobility
Germany
Arctic Arc Testing
Facility
Philips Oncology
Investment
Myrrha
European Lead Factory
(ELF)
European Spallation
Source (ESS)
Global TB Vaccine
Partnership
Light Project Advisory
(LPA) pipeline
Horizontal Activity
•
•
•
•
•
•
•
Infectious Diseases
Financing Facility (IDFF)
Circular Economy (CE)
Key Enabling
Technologies (KETs)
Bio -Economy
Strategic Energy
Technology Plan (SET
Plan)
Financing options for
Pan-European RI
Web tool to guide
innovative companies
Innovation at work!