Regional Policy
The Seal of Excellence
A concrete example of operational synergies between Horizon 2020 and the ESIF
NCP – 17 02 2016
Magda De Carli Deputy Head of Unit Unit RTD B5
Spreading Excellence and Widening Participation DG Research & Innovation
Regional Policy
• 2010: EU2020 and Innovation Union: commitments n. 24 & 25 + intro
• End 2013: H2020 and ESIF Regulations contain references to coordination between programmes and synergy-friendly rules
(Declaration on Seal of excellence 2013/C 373/02 20.12.2013
• July 2014: Joint RTD – REGIO Guide on synergies (sequential / parallel / combined/ alternative funding)
• Nov 2014: New Commissioners Moedas and Creţu – mandate from President Juncker: maximise synergies !
• Dec 2014: New CAB-RTD Synergy Task force + collaboration with DG REGIO
• 25 Jun 2015: Commissioner Moedas priorities: 'Seal of excellence' under Open Innovation pillar / Maximise impact
• 12 Oct 2015: Official Launch of the 'seal of excellence' joint initiative from Commissioners Moedas and Creţu
Synergies between Horizon2020 and ESIF to maximise quantity, quality and IMPACT of research and innovation investments for jobs and growth
THE SEAL OF EXCELLENCE POLICY CONTEXT
From theory to action:
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THE SEAL OF EXCELLENCE Key Features
Funding threshold due to H2020 budget availability
Quality threshold:
Meriting funding
Rejected: not ready for funding
Funded
The SEAL OF EXCELLENCE
A certificate by the Commission declaring that the proposals is of high quality and meriting funding
Target population: excellent projects not funded by H2020
Delivered with an Accompanying letter explaining source of info for funding possibilities (e.g. ESIF Managing Auth, EEN, NCPs)
Pilot using the SME Instrument
Single company Small scale R&I actions Close to market
Clear benefits for regions / Member States: make the most of a unique, high
quality evaluation process better use of resources potential high local impact
Horizon 2020 evaluation:
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FEATURES OF THE CERTIFICATE
The SEAL OF EXCELLENCE:
Awarded to ALL qualifying SME instrument PROPOSALS
Downloadable only by the SME/s from 'my area' in Participants Portal
Informs: Indicates basic info on the proposal, the call and the proposer
Builds reputation: Signed by two Commissioners - Highlights the competitive and highly professional selection process
Explains: Refers to the evaluation criteria used in H2020
Unique and safe: Digitally sealed against fraud as it is the related proposal and the ESR
Accompanying letter: provides contacts for information and warns on lack of automatic funding and inviites for feedback
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The SME INSTRUMENT AND THE SEAL: Who - When
EU Grant of € 50,000 (lump sum)
EU Grant of € 500,000 to 2.5 million (indicative amount)
• No grant, but… • Training upport • Market and Investment
Readiness support • Promotion / networking with
financiers & clients • … and more indirect support!
Source: RTD B3
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SME instrument KEY FIGURES
18194 proposals submitted
1414 proposals funded
Between 45% and 81% of proposals above threshold NOT funded out of the all above threshold
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Highly Competitive:
The 'seal' population:
Highly popular:
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Total
submitted
Above
threshold
% of
submitted Funded
Funded as
%of above
threshold
Above
threshold
not funded
above
threshold -
not funded
%above
threshold
Success
rate
Phase 1 18/06/2014 2662 317 12% 155 49% 162 51% 6%
Phase 1 24/09/2014 1944 237 12% 178 75% 59 25% 9%
Phase 1 17/12/2014 2363 320 14% 259 81% 61 19% 11%
Phase 1 18/03/2015 1569 251 16% 149 59% 102 41% 9%
Phase 1 17/06/2015 2030 342 17% 128 37% 214 63% 6%
Phase 1 17/09/2015 1861 336 18% 122 36% 214 64% 7%
Phase 1 24/11/2015 2035 316 16% 175 55% 141 45% 9%
Overall Phase 1 14464 2119 15% 1166 55% 953 45% 8%
Phase 2 9/10/2014 580 132 23% 60 45% 72 55% 10%
Phase 2 17/12/2014 629 180 29% 74 41% 106 59% 12%
Phase 2 18/03/2015 614 230 37% 37 16% 193 84% 6%
Phase 2 17/06/2015 961 357 37% 44 12% 313 88% 5%
Phase 2 17/09/2015 946 373 39% 33 9% 340 91% 3%
Overall Phase 2 3730 1272 34% 248 19% 1024 81% 8%
Total 18194 3391 29% 1414 42% 1977 58% 8%
• Cut off 17/09: Delivered early November 2015 • Cut off 24/11: Phase 1 delivered 18/11 • Cut-offs before 17/09: Retroactive delivery on 02 February
THE SEAL POPULATION
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THE SEAL OF EXCELLENCE…..
> Certifies the quality of the PROPOSAL according to H2020 criteria
> Does not ensure automatic alternative funding
> If alternative funding are provided, it does not ensure same funding intensity as Horizon 2020 (ref State Aid if nat./regional funding)
> Does not prevent resubmission to SME instrument, but could be a valid alternative
> Does not entail preferential treatment if the proposal is resubmited to the SME instrument
> For the retroactive seals: if the 'seal' proposal has been resubmitted and funded by the SME instrument, the seal of excellence cannot be used to ask for alternative funding (grants) for the same activities in the proposal (NO DOUBLE FUNDING!)
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KEY MESSAGES TO SMEs ABOUT THE SEAL… SMEs usually welcome the seal, understand its value and were asking for it Expectations have to be managed…
> A great opportunity, but process just starting: be patient!
> No guarantee of 'automatic' alternative funding and/or to the funding intensity of H2020 / No to be used for DOUBLE FUNDING
> Search pro-actively: only you (SMEs) receive the seal and can use it….
> …if you wish so (no obligation!)
> Make available to the funder ALL documents at your disposal (Full Proposal, Evaluation Summary Report,...)
> DIVERSIFY your search for funding, in terms of sources (public (ESIF or own resources) / private) and type (grants / financial instruments)
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KEY MESSAGES TO ALTERNATIVE FUNDING SOURCES
You can promote the 'seal approach' to ESIF Managing Authorities, Regional National authorities, VCs or business angels, banks, development banks, private foundations . Tailor your message – but these are the basics:
> SoE are excellent projects, not left-overs from Horizon 2020 (strict criteria, international panel, transparent and competitive evaluation)
> Great opportunity to exploit H2020 complete evaluation system : leading to gain time, use resources efficiently in a period of scarce resources and increase R&I performance and impact at local level
> Keep the process as simple as possible: no need to re-evaluate the content
> Different support can be provided: grants/loans/guarantee/… general support
> Under-performing MSs: consider the learning curve!
> The Commission services support those of you interested in taking up these projects, through the COMMUNITY OF PRACTICE and advertising your scheme!
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Purpose: exchanges of know-how on the best ways to implement the 'seal of excellence' approach through ESIF (ensuring conformity with Cohesion Policy rules, state aid thresholds and the relevant Smart Specialisation priorities) or other sources
Establishment: created by the Commission since July 2015 following the presentation of the 'seal' concept at EGESIF meeting (Expert Group on ESIF) in order to support the setting up of 'seal of excellence' friendly measures by Managing Authorities (and other funding bodies)
Membership: on volountary basis, restricted to National or Regional authorities that have a funding power for research and innovation actions and other Funding Agencies for Innovating SMEs (including private banks and investors) which have expressed an interest to explore the best modalities for a swift implementation of 'seal of excellence' friendly schemes.
Working Methods: Regular meetings + IT platform SINAPSE
FOR JOINING : Send to [email protected]
The COMMUNITY OF PRACTICE on SEAL OF EXCELLENCE
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1st Meeting (13/10/2015) : 28 participants from 13 MS/regions
2nd Meeting (28/01/2016): 44 participants from 19 countries
Community of Practice – Oct15: 54 members from 13 countries
Community of Practice- Jan16: 104 members from 24 MS
> 57 members national level (MSs) only:
CY; EE; EL; FI; HU, IE, LT; LV; PL; SE; SI; SK; RO; NL; DK
> 48 also regional level: AT (Carintia, Lower Austria); BE (Flander); CZ (South Moravia); DE (NRWestphalia, Berlin, Sachsen-Anhalt, NiederSachsen); ES (Aragon, Asturia, Galicia, Cantabria, Andalucia); FR (Centre, Alsace; Loire; Basse Normandie); IT (Puglia, Umbira, Trentino,Abruzzo, Elmilia Romagna, Calabria, Lazio, Sicilia, Trentino); PT (Azore); UK (Scotland, Northen Ireland - Wales)
> HORIZON 2020 ASSOCIATED COUNTRIES (NO)
> PRIVATE FOUNDATIONS (IT)
The Community of Practice until now
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Interaction and close collaboration between cohesion & research/innovation ministers
Already a number of 'seal'-friendly actions: -> support package by Finland (Tekes) and Norway -> imminent call by Spain, Lombardia (grants / financial instruments) -> Phase 2 support in pipeline for Italy, Poland, Cyprus…
SMEs very pleased with the seal – some successful use starts appearing
SEAL OF EXCELLENCE INITIATIVE: FIRST OUTCOMES
CLARITY ON valid features of a 'seal- friendly' ESIF call :
> Either 'Targeted' or 'open to all+ SoE bonus'
No need of technical evaluation requirements if it this is foreseen in the selection criteria agreed in the OP Monitoring Committees
Monitoring committees aligning selection criteria to H2020
Aggregated information (number/budget) on 'seal' proposals on demand
State aid analysis and communication channel opened with DG COMP
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• COMMUNICATION ACTIONS:
- EEN: 8 February
- NCPs: latest one on 17 February (TODAY!)
- EURADA, ERRIN… - other stakeholders
• SUPPORT AND PROMOTION: of 'seal-friendly' actions on web
• MONITORING PROGRESS:
- maximising feedback from SMEs & MAs
• FIRST STOCK TAKING – MAY2016
- Presentation -> June – WIRE CONFERENCE
• EXPAND TO OTHER ACTIONS: MSC, ERC proof of concept, Widening…..
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NEXT STEPS
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• Key role for national and regional authorities as they plan future investments on research and innovation, including from the ESIF
• Research/innovation stakeholders (public/ private): they should be better informed about the said investment plans and operational measures
• Key role of Facilitators in the process: NCPs, EEN, Industry associations
• European Commission services (RTD+REGIO) + COMP +...
Making synergies happen: the key players
Regional Policy
How NCPs can help:
• NCPs as one of the key players, interconnecting with them
• Multiplier function: advertise these different opportunities and correct messages towards both funders and SMEs!
• Find out for your clients these different funding opportunities by creating a collaboration link with Managing authorities and other funding bodies
• When organising local events, inform/invite managing authorities – other funding bodies
• Provide the Commission with concrete examples of existing synergies and relevant funding schemes
• Feedback on these and other tools/ support you think could be useful to you and your stakeholders
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SEAL OF EXCELLENCE WEBSITE
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Links and documents
SYENRGIES and SEAL OF EXCELLENCE WEBSITE: http://ec.europa.eu/research/regions/
MORE INFO: email to: [email protected]
Guide for authorities on synergies between ESIF and Horizon2020 and other EU programmes:
• http://ec.europa.eu/research/participants/portal/desktop/en/opportunities/
• other/index.html
Horizon 2020 regulations & rules for participation, http://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html
Evaluation procedure of the SME Instrument
• http://ec.europa.eu/research/participants/portal/desktop/en/funding/
• sme_participation.html
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Regional Policy
Research and Innovation
Thank you for your attention!
DG Research & Innovation
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