Brussels, 24 March 2015

HORIZON 2020New 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 projectwas to see if there were comparator systems around the worldthat could provide benchmarks in terms of functionality, design,or performance. However, we could not find equivalent systemsof the functional complexity, working seamlessly across the fullfunctions of government … . There are many grant applicationand funding systems, but not with the ability to managesophisticated online evaluation and project monitoring. TheParticipant Portal is unique."

Administrative success (3)

• Quick information on evaluation outcome – Time-to-inform of 5 months respected 100%

• Quick signature of grant agreement – Time-to-grant 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 broadlyappreciated)

• 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 strengthenedfurther

• 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 furtherembedding 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 two-

stage 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 implementationof the multi-annual approach

Sequence specific objectives of Horizon 2020 parts into two-year 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

• 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 (1)Work Programme 2016/17:

Strategic priorities

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 AidsDG Research and Innovation

“Horizon 2020 - New Commission, new Agenda”The 2015 Science|Business Horizon 2020

Conference24 March 2015, BrusselsNot 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)

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!Not legally binding

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 todevelop, grow and internationalise

• Single company support possible

• From idea to market through three phasesof continuous support

• No obligation for applicants to sequentiallycover all three phases

• 70% funding (as a general rule)

• Mature ideas with a clear Europeandimension

2015 Intermediary Call Deadlines or

"Cut-Off" Dates

Phase 1

18/03/2015

17/06/2015

17/09/2015

25/11/2015

Phase 2

18/03/2015

17/06/2015

17/09/2015

25/11/2015

Not legally binding

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 1569 580 629 614

Above threshold

317 237 320 132 180

Funded 155 178 259 60 74

% funded 6% 9% 11% 10,5% 12%

FUNDED

ABOVE

THRESHOLD48.8% 75% 81% 45% 41%

The SMEI under H2020: Submission stats, evaluation results and funding rates

Not legally binding

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

PHC12 :Clinical research for the validation of biomarkers and/or diagnostic

medical devices10 33.1

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

7

1

8.4

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

TOTAL 134 229