Training on H2020 for Mediterranean NCP (Amman, 9-11 December 2013) Building Synergies between European Member States/ Associated Countries and Mediterranean Partner Countries Marilena Rossano, Italian National Research Council (CNR) – UARIE Ahmid El Zoheiry,

Need to engage more actively and strategically in international cooperation: Three main objectives: Strengthen EU's excellence and attractiveness in R&I, as well as its industrial & economic competitiveness Tackle global societal challenges Support the EU's external policies ---Combining openness with better targeted actions ---Strengthened partnership with Member States ---Stronger contribution of R&I to external policies of EU HORIZON 2020 AND INTERNATIONAL COOPERATION

Dual approach Openness: Open to participation from across the world Revision of list of countries receiving automatic funding (BRIC countries + Mexico will no longer receive automatic funding). Targeted actions: 1. Thematic targeting: identifying areas for international cooperation on basis of EU policy agenda 2. Differentiation by country/region to identify partners for cooperation HORIZON 2020 AND INTERNATIONAL COOPERATION

Dual approach Openness: Open to participation from across the world Revision of list of countries receiving automatic funding (BRIC countries + Mexico will no longer receive automatic funding). Targeted actions: 1. Thematic targeting: identifying areas for international cooperation on basis of EU policy agenda 2. Differentiation by country/region to identify partners for cooperation multi-annual roadmaps for cooperation with key partners HORIZON 2020 AND INTERNATIONAL COOPERATION

EU Call targeted in different areas/sectors/societal challengeJointly decision making on sectors, co-funding

FP AND ACTIONS FOR JOINT PROGRAMMING ERANET /ERANET+Art.185 ObjectivesCoordinating national programmes and enhancing funding in selected areas Integrate national research programmes in a selected area. Create critical mass and minimise duplication of research efforts Potential impact on cooperation and coordination of national programmes New cooperation activities, helpd to reduce fragmentation Help overcome unnecessary overlap and fragmentation of R&I effort Need of a legal StructureNoYes ActorsProgramme owners or funding agencies Any legal entity by MS. Usually funding agencies or public bodies Freedom regarding thematical scope Limited to thematic unitsHigher, but fit in the scope of H2020 and not overlap other calls

The ERA-NET instrument under Horizon 2020 is designed to support public-public partnerships in their preparation, establishment of networking structures, design, implementation and coordination of joint activities as well as topping up of single joint calls and of actions of a transnational nature. The ERA-NET under Horizon 2020 (ERA-NET Co-fund) merges the former ERA-NET and ERA-NET Plus into a single instrument with the central and compulsory element of implementing one substantial call with top-up funding from the Commission. The focus of ERA-NETs is therefore shifting from the funding of networks to the top-up funding of single joint calls for transnational research and innovation in selected areas with high European added value and relevance for Horizon H2020 AND ERANET (1/3)

Financial contributions of Member States can be in cash or in kind in order to broaden the scope of ERA-NETs towards the coordination institutional funding of governmental research organisations. The in-kind contributions are the resources allocated as direct expenditure in the selected transnational projects that are not reimbursed by the Union contribution. In addition to the co-funded call, the consortia may implement other joint activities including other joint calls without EU contribution H2020 AND ERANET (2/3)

EC contribution: max 33% of the total eligible costs of the action. A. Costs for transnational projects The contribution of other national and regional programs, not being part of the consortium, to transnational project is not calculated for the contribution of EC. Eligible costs: Financial support to third parties, cost for the implementation of transnational projects (at least two independent entities from 2 different Countries). B. Coordination costs for additional activities if beneficiary carries out activities that go beyond the co-funded call, if related to the coordination of public research and innovation programs The total duration max 5 years H2020 AND ERANET (3/3)

STEPS FOR AN ERANET LoI – Launch of call – Proposals evaluated with the assistance of at least 3 independent experts, on the basis of the following criteria: excellence, impact, quality and efficiency of the evaluation. Proposals must be ranked according to the evaluation results. The Consortium must submit to EC the following: - the ranking list of projects -the observers report on the evaluation, the joint selection list of the projects to be funded, - from each consortium partner participating in the joint call, a formal and duly signed commitment on availability of funds for the selected projects. The Consortium must submit also information about the projects selected for funding.

Art.185 of TFEU Full integration of national programmes at 3 levels: 1- Scientific 2- Financial 3- Management

Legal basis for an Art.185 TFEU “In implementing the multiannual framework programme, the Union may make provision, in agreement with the Member States concerned, for participation in R&D programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes” ● Participating Member States as the driving force ● Commission proposes formally to Council and the Parliament ● Parliament and Council : “ordinary legislative procedure” ● Economic and Social Committee is consulted Some features and steps of an art.185 The community provides, then, financial support to the joint research programme, by co-funding the efforts from national/regional budgets/programmes

European programmes undertaken by several Member States - A185 ScientificScientific IntegrationIntegration IntegrationIntegration IntegrationIntegration FinancialFinancial Management Management ► Existence of national programmes or activities ► Joint scientific programme ► Selection of proposal based on scientific excellence ► Strong, irrevocable political/financial commitments by MS ► Pre-allocated budget/year ► Follow Commission rules for “delegation” ex-ante audit ► Independent Joint Management Structure (DIS - Dedicated Implementation Structure ) ► Well defined governance (Legal Body) ► Clear roles and responsabilities between MS/DIS/EC PILLARS

Art.185 TFEU in H2020 art.20 Commission proposal Such initiatives can be proposed when there is a need for a dedicated implementation structure and a high level of commitment of the participating countries to integration at scientific, management and financial levels. Moreover the following criteria have to be taken into account : (a) a clear definition of the objective to be pursued and its relevance to the objectives of Horizon 2020 and broader Union policy objectives; (b) clear financial commitments of the participating countries, including prior commitments to pool national and/or regional investments for transnational research and innovation; (c) the added value of action at Union level; (d) the critical mass, with regard to the size and the number of programmes involved, the similarity of activities and the share of relevant research they cover; (e) the efficiency of Article 185 TFEU as the most appropriate means for achieving the objectives.

Integration of national programmes: bring national programmes into a common one Partner Countries: any country joining Funding Models: three main categories of funding models can be named: Common pot: countries pool funds and there are trans-national flows of funds as all researchers are funded only based on their success in the proposal evaluation. Virtual common pot: enables countries and regions to pay for their own participants Mixed-mode pot: allows countries to pay for their own researchers and, on occasion, to pay for other countries’ researchers Art.185: Some basics and past experience (1/2)

Financial contributions : In-kind contribution: contribution made by participating states, other than cash, that directly makes it possible to perform networking or capacity development activities with cash funding from the EU. In-cash contribution: where new cash is allocated directly to the programme. Where new cash is allocated directly to a project arising from a call it will contribute to the Virtual Common Pot. Allocations to the common and virtual pot may be restricted or unrestricted. Restricted cash contribution: New cash contributions on which the contributing country may impose some limitations on how that money can be spent. e.g. limited to projects in specific research areas, or limited to researchers within same country as the contributor. Unrestricted cash contribution: New cash contributions on which the contributing country does not place limitations and which therefore can contribute to any part of the programme. Art.185: Some basics and past experience (2/2)

EC steps to start an Art MS put a joint programme forward to the Commission services to join in via Art.185 and identify the DIS 2.If the activity falls within FP, the Commission may consider to negotiate with the involved DIS a proposal 3.Commission do ex-ante impact assessment 4.Commission put forward a proposal to Council and Parliament 5.Council and parliament agree or not – they may amend 6.Adoption and publication of Council and Parliament Decision 7.Commission conducts an ex-ante audit of DIS 8.Negotiation of an Agreement (contract) between Commission and DIS 9.Entry into force of the activity after signature of the agreement 10.Annual contributions based on annual agreement, report and planning

To solve problems together with industry To strengthen European industrial leadership To facilitate prioritisation of R&I in line with Europe 2020 objectives and industry needs To leverage research and innovation elements To strongly commit industry to joint objectives Joint technology initiativesContractual PPs Innovative Medicine; Clean Sky; Single European Sky ATM Research (SESAR); Fuel Cells and Hydrogen (FCH); Embedded Computing Systems (ARTEMIS); Nanoelectronics (ENIAC) Factory of the Future (FoF) Energy-efficient Buildings (EeB) Green Cars (GC) Future internet (FI-PPP) Experience until now Public-Private Partnerships

Implementation of "contractual" PPPs -Industry has a leading role in defining research priorities - Ad-hoc Industrial Advisory Group advises on implementation - Multi-annual Roadmap allows long-term investment plans - Pre-defined budget ensures continuity - More emphasis on relevance of industry and impact - Focused on enabling industrial technologies - Increased use of SME-friendly instruments and demonstration Public-Private Partnerships

Features of "contractual" PPPs Quick response in defining the strategy Efficient launch of calls within the Recovery Plan Increased industry participation: >50%, SMEs ~ 23% More innovation related activities, including demonstration Industry and EC are keen to continue under Horizon 2020 Public-Private Partnerships COM(2013) 494 final ( ) Public –private partnership in Horizon 2020: a powerful tool to deliver on innovation and growth in Europe

To sum up: Involvement of the Union in those partnerships may take one of the following forms: (a)financial contributions from the Union to: 1. joint undertakings established on the basis of Article 187 TFEU under the 7FP; 2. new public-private partnerships set up on the basis of Article 187 TFEU; (b) entering a contractual agreement between the partners, which specifies the objectives of the partnership, respective commitments of the partners, key performance indicators, and outputs to be delivered including the identification of research and innovation activities that require support from H2020. Public-Private Partnerships

Key requirements Public-private partnerships shall be identified in an open and transparent way based on all of the following criteria: (a) the added value of action at Union level; (b) the scale of impact on industrial competitiveness, sustainable growth and socio-economic issues; (c) the long-term commitment from all partners based on a shared vision and clearly defined objectives; (d) the scale of the resources involved and the ability to leverage additional investments in research and innovation; (e) a clear definition of roles for each of the partners and agreed key performance indicators over the period chosen. Public-Private Partnerships

Thank you ! Cooperation