ERA-NET and JPIs in Horizon 2020: Insights and Trends

ERA-NET Cofund in Horizon 2020 Slides represent the current status of preparation and not necessarily the final situation J rg 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 90 FP7 EN+ [23] FP7 [51] 80 FP6/7 [31] 70 FP6 [71] 60 50 40 30 20 10 0

2013 survey on ERA-NETs and JPIs Total public funding per year [ ] >25 calls in 2014/15 indicate interest in co-funding from H2020 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 JPI EN+ JPI 3,000,000,000 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 700,000,000 ERA-NET Plus FP7 new 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 public- public 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-Sk odowska-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 co- funding, 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

B. Implementation of a single joint call (MS contribution in cash) and additional activities A. Implementation of a single joint call (MS contribution in cash) C. Implementation of a single joint call (MS contribution in kind) In exceptional cases Call for proposals organised by national/regional funding agencies Activities: call preparation, implementation and follow-up Eligible costs: financial support paid to third parties 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

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 Option 1: 20,1 Mio public funds and 1 Mio in kind or operational budget Implementation & other activities: 1 Mio Euro (outside grant agreement) MS contribution: 20,1 +1 = 21,1 Mio Euro Total resources needed: 31 Mio Euro Call budget: 30 Mio Euro (grant agreement) Option 2: 21,1 Mio public funds EU contribution: 9,9 Mio Euro

Example: cash-flow Partners Funding 30 Mio 8,9 Mio Beneficiaries Grants paid to Projects COM Coordinator 9,9 Mio 1 Mio Partners Implementation

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) 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. c)

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.

Coordinator and WP leaders "black box"? "low effort" ERA-NET particiants Unit costs

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 The proposals/projects must provide financial support to trans-national projects or implement such projects (partially or fully) themselves - be transnational projects (at least two independent entities from two different EU Member States or associated countries) - 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%) 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 At the end of RP1 (after end of evaluation) 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). Additional requirements

Preparation for the launch of the first call 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 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 f r wen, wie oft, kann man die aufspalten, wann wird gezahlt, welche Nachweise muss man f hren? Flexibilit t bez glich 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 non- food 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 J rg Niehoff joerg.niehoff@ec.europa.eu DG Research & Innovation Unit B4 - Joint Programming