Transcript Slide 1

ERA-NET Cofund in
Horizon 2020
Slides represent the current status of preparation and not
necessarily the final situation
Jörg NIEHOFF
DG Research & Innovation
European Research Area
Unit B4 - Joint Programming
2013 survey on ERA-NETs and JPIs
 33
networks
ending in
2013-15
Number of running ERA-NET and ERA-NET Plus actions
100
FP7 EN+ [23]
90
FP7 [51]
80
FP6/7 [31]
70
FP6 [71]
60
50
40
30
20
10
0
2013 survey on ERA-NETs and JPIs
>25 calls in
2014/15
indicate
interest in
co-funding
from H2020
Total public funding per year [€]
600,000,000
Estimates for calls without budget
JPI EN+
500,000,000
JPI
ERA-NET+
FP7 new
400,000,000
FP7 (FP6 cont.)
FP6
300,000,000
200,000,000
100,000,000
0
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2013 survey on ERA-NETs and JPIs
Aggregated public funding [€]
4,000,000,000
Estimates for calls without budget
3,500,000,000
3,000,000,000
JPI EN+
JPI
ERA-NET+
2,500,000,000
FP7 new
FP7 (FP6 cont.)
2,000,000,000
FP6
1,500,000,000
1,000,000,000
500,000,000
0
2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015
2013 survey on ERA-NETs and JPIs
Total public funding per Theme [€]
900,000,000
JPI EN+
800,000,000
JPI
ERA-NET Plus
FP7 new
700,000,000
600,000,000
FP7 (FP6 cont.)
500,000,000
FP6
400,000,000
300,000,000
200,000,000
100,000,000
0
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 publicpublic 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 Cofund
PCP/PPI Cofund
Marie-Skłodowska-Curie Cofund
European Joint Programmes
(2014/15: EURATOM/EFDA)
FP6: ERA-NET
Funding of costs related to the coordination of national research
programmes, 100% reimbursement rate for coordination and
management costs
FP7: ERA-NET and ERA-NET Plus
ERA-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
Horizon 2020: ERA-NET Cofund
Co-funding of a single joint call for trans-national proposals, in addition
other joint activities including other joint calls without Union cofunding, 33% reimbursement rate
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
C. Implementation
of a single joint call
(MS contribution in
kind)
 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).
 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
In exceptional cases
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 model
o 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
Financing of the co-funded call
Implementation &
other activities: 1 Mio Euro
(outside grant agreement)
Call budget:
30 Mio Euro
(grant agreement)
EU contribution:
9,9 Mio Euro
Option 1:
20,1 Mio public
funds and 1 Mio in
kind or operational
budget
MS contribution:
20,1 +1 = 21,1 Mio Euro
Total resources needed:
31 Mio Euro
Option 2:
21,1 Mio
public funds
Example: cash-flow
Partners
Funding
COM
Coordinator
Partners
Implementation
Beneficiaries
Grants paid to
Projects
ERA-NET Cofund: unit costs for
additional activities
Use of unit costs has to be authorised by a Commission Decision, supported by
at least:
a)
b)
c)
justification concerning the appropriateness of such forms of financing …;
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;
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; or
II. 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.NET
Costs 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 action
Example: 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
The proposals/projects must
or
- be transnational projects (at least two
independent entities from two different EU
Member States or associated countries)
implement such projects
(partially or fully)
themselves
- 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%)
At the end of
RP1
(after end of
evaluation)
Additional
requirements
•
•
•
•
•
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
• 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).
Important
documents
for proposers
ERA-NET
Co-fund
provisions
 Grant
Agreement and
Annexes
 Annotated GA
 Annex to the WP
2014/15
 Proposal
submisison
forms and
templates
 Guidelines, FAQ
Preparation
for the
launch of
the first call
 Additional
promotion via
ERA-LEARN &
NETWATCH
 Launching event
16 January
2014, Brussels
 Workshops,
Trainings,
national events
ERA-NET Cofund – Annexes
ERA-NET Co-fund Grant Agreement (clean) (short)
Annex 7: commitment on availability of funds
Annex 8: statement on the use of the previous pre-financing instalment
Annex 2 and 4: Budget table, Form C
In addition during grant preparation: Participant declaration
Annex to the WP 2014/15
Template 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 they
A. use their national contribution in order to receive the H2020 funding
(33% of the total funding = 50% of their national contribution), or
B. 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 Infoday
16 January 2014
Charlemagne Rue de la Loi 170, B-1049 Brussels
Room 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 Infoday
10h00 – 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 contributions
1. 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 bioeconomy
A. (2014) Sustainable and resilient agriculture for food and nonfood 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 FP7
NETWATCH 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 8
Scope: 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 P2Ps
Actions 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 agendas
The 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
[email protected]
DG Research & Innovation
Unit B4 - Joint Programming