Transcript Joint Support Office Ukraine Kiev, 2 December 2011

Joint Support Office Ukraine
Kiev, 2 December 2011
HORIZON 2020 –
The new Framework Programme
for Research and Innovation
2014 - 2020
Proposal of the European Commission 30 November 2011
Prof. Manfred Horvat
Vienna University of Technology
Outline
• Preparing Horizon 2020
– The FP Programming cycle
– Public consultations, workshops, national impact studies
• The Commission proposal
– Objectives
– Structure
– Rules for participation
– Funding schemes
• Outlook
• Summary
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Preparing HORIZON 2020
The programming cycle – Main elements
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February 2009: Ex-post evaluation of FP6 by independent experts
Annual monitoring reports of FP7 by the European Commission
12 November 2010: Mid-term evaluation of FP7 by independent experts
30 November 2011: European Commission proposal for a decision of
the European Parliament and the Council concerning the new
Framework Programme, Impact assessment and ex-ante evaluation on
HORIZON 2020
December 2011 – December 2013: Co-decision process and joint
adoption of HORIZON 2020 by the European Parliament and the
Council
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Preparing HORIZON 2020
The programming cycle – Supporting activities
9 February – 20 May 2011: Public Consultation on the Green Paper on a
Common Strategic Framework
• June – July 2011: Workshops on rationale, objectives and contents,
and cross-cutting issues including international cooperation of
different tracks under the future framework programme for
representatives of the scientific community, stakeholders and country
representatives
• 13 September – 30 November 2011: Public consultation on the ERA
Framework
In addition:
•
National impact studies: e.g. AT, NL, SE, UK
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HORIZON 2020
Policy context 1
• Europe 2020
– strategy for jobs and
– smart, sustainable and inclusive growth
– Headline targets for 2020:
• Investing 3% of GDP in R&D
• Reduce greenhouse gas emission by at least 20% compared
to 1990
• Increase the share of renewable energy in the final energy
consumption to 20%
• Achieve a 20% increase in energy efficiency
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HORIZON 2020
Policy context 2
• Seven Flagship initiatives
– Smart growth
• Digital agenda for Europe
• Innovation Union
• Youth on the move
– Sustainable growth
• Resource efficient Europe
• An industrial policy for the globalisation era
– Inclusive growth
• An agenda for new skills and jobs
• European platform against poverty
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HORIZON 2020
Policy context 3
• Innovation Union – commitments, e.g.
– by 2014, complete the European Research Area (ERA)
– by 2015, complete or launch the construction of 60% of the
priority pan-European research infrastructures currently
identified by the European Strategy Forum for Research
Infrastructures (ESFRI)
– The EU and its MSs should treat scientific cooperation
with third countries as an issue of common concern and
develop common approaches
 HORIZON 2020 is the financial instrument
implementing the Innovation Union
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ERA: raising quality, impact & relevance and attractiveness
of research in Europe via cross-border synergies
Private R&D
& public-private
cooperation
Innovation Union:
Completing ERA by 2014
ERA
Intergovernmental
initiatives
EU research policies
& programmes
A ‘unified’ research area
(all MSs, AC & regions)
embedded in society
•Efficiency
•Interoperability
•Critical mass
•Mobility
Individual
researchers
Research
Organisations &
universities
Funders
Public
authorities
MS research policies &
programmes
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Excellent science
World-leading innovation
Manfred Horvat
Firms
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ERA in concrete terms …
• A single market for knowledge and high value for
money)
• Cross-border...
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–
–
–
–
... flows of researchers and scientific knowledge
... access to research infrastructures, results and data
... funding, opening of national programmes, pooling of resources
... cooperation, critical mass
... strategies and alliances between research stakeholders
• EU-level governance – managing the European
partnership with MS
– Transnational and cross-sectoral policy priorities, prioritization,
coordination, monitoring and evaluation
• ERA Framework: Commission proposal mid 2012
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Why EU research and innovation?
Added value of EU R&I funding
• Cross-border pooling of public and private
resources to achieve critical mass and sharing of
knowledge – collaborative research as competitive
advantage
• Pan-European competition in R&I, thereby raising
the levels of excellence
• Addressing pan-European and global challenges –
catalyser for the development of common solutions
• Leveraging private investments, increasing
efficiency
• Enhancement of Europe’s international
attractiveness
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Horizon 2020
Three objectives – Three pillars & the EIT
Societal Challenges
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Industrial Leadership
Health demographic change and wellbeing
Food security, sustainable agriculture,
marine an maritime research and the
bio-based economy
Secure, clean ad efficient energy
Smart, green and integrated transport
Climate action, resource efficiency and
raw materials
Inclusive, innovative and secure
societies
•
Leadership in enabling and industrial
technologies
–
–
–
–
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–
•
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Information and Communication
Technologies (ICT)
Nano-technology
Advanced materials
Biotechnology
Advanced manufacturing systems
Space
Access to risk finance
Innovation in Small and Medium-Sized
Enterorises
Excellent Science
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European Research Council
Future & Emerging Technologies (FET)
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•
Marie Curie Actions
Research Infrastructures
European Institute of Innovation and Technology (EIT)
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HORIZON 2020: What is new?
Key common features
• Programme structured by a clear set of objectives
based on Europe 2020 and Innovation Union
• Focus on overall policy priorities – using a challenge
approach
• Integrating research and innovation in a seamless
programme
• Common toolkit of funding schemes
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HORIZON 2020 – What is new?
• A single programme bringing together three separate
programmes/initiatives*
• More innovation, from research to retail, all forms of
innovation
• Focus on societal challenges facing EU society, e.g.
health, clean energy and transport
• Simplified access, for all companies, universities,
institutes in all EU countries and beyond.
* The 7th research Framework Programme (FP7), innovation aspects of
Competitiveness and Innovation Framework Programme (CIP), EU
contribution to the European Institute of Innovation and Technology (EIT)
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HORIZON 2020
Budget 87.740 mio EUR
EUR million
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Excellent Science
Industrial Leadership
Societal Challenges
European Institute of Innovation and
Technology (EIT)
• Non-nuclear direct actions of the
Joint Research Institute
TOTAL
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27.818
20.280
35.888
3.194
2.212
87.740
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HORIZON 2020: Excellent science
Budget 27.818 mio EUR
EUR million
1. The European Research Council (ERC) 15.008
2. Future and Emerging Technologies (FET) 3.505
3. Marie Curie actions on skills, training and
career development
6.503
4. European Research infrastructures
(including e-Infrastructures)
2.802
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HORIZON 2020: Industrial leadership 1
Budget 20.280 mio EUR
EUR million
1. Leadership in enabling and
industrial technologies
15.580
(of which 500 for EIT)
2. Access to risk finance
3. Innovation in SMEs
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4.000
700
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HORIZON 2020: Industrial leadership 2
Budget 20.280 mio EUR
•
EUR million
Leadership in industrial and
key enabling technologies (KETs) 15.580
(of which 500 for EIT)
– Information & communication technologies
8.975
(EUR 1.795 for Photonics and micro- & nano-electronics)
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Nanotechnologies
Advanced materials
Advanced manufacturing and processing
Biotechnology
Space
Cross-cutting actions combining several
key enabling technologies
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4.293
KETs
575
1.737
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HORIZON 2020: Societal challenges
Budget 35.888 mio EUR
EUR million
1. Health, demographic change & wellbeing
9.077
(of which 292 for EIT)
2. Food security, sustainable agricultures,
marine and maritime research and bio-economy
4.094
(of which 150 for EIT)
3. Secure, clean and efficient energy
6.537
(of which 210 for EIT)
4. Smart, green and integrated transport
7.690
(of which 247 for EIT)
5. Climate action, resource efficiency, raw materials
3.573
(of which 115 for EIT)
6. Inclusive innovative and secure societies
4.317
(of which 138 for EIT)
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European Institute of Innovation and
Technology (EIT)
• To integrate the knowledge triangle of research,
innovation and education
• To reinforce the EU’s innovation capacity and
address societal challenges by promoting structural
change
 Knowledge and Innovation Communities (KICs)
• Partnerships of all actors of the innovation chain working
together in Co-location Centres:
- To date: KIC InnoEnergy, KIC ICT Labs, Climate KIC
- 2014: Healthy living & active ageing, Raw materials,
Food4future
- 2018: Added-value manufacturing, Smart secure societies,
Urban mobility
• EIT Headquarter in Budapest, HU
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HORIZON 2020
Common elements
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Social sciences and humanities
Small and medium-sized enterprises (SMEs)
Access to risk finance
Communication and dissemination
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HORIZON 2020
Complementarities and cross-cutting actions
• Coordination and synergies between the three parts
• Cross-cutting actions between ‘Excellent science’,
‘Societal challenges’ and enabling and emerging
technologies (KETs and FETs)
• Research infrastructures: Broader usage in society,
e.g. in public services, promotion of science, civil
security and cultures
• Interdisciplinary solutions contributing to the
objectives of Europe 2020 and the Innovation Union
• Bundling of financial instruments
• Interactions between Societal Challenges and KETs
• Synergies between H2020 and other EU funds
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HORIZON 2020
Partnering
• Optimise contributions of public and private players
• Public-public and public-private partnerships
• Public-private partnerships:
– Based on contractual arrangements between partners
– In limited cases: institutionalised, e.g. as Joint Technology
Initiatives and Joint Undertakings (Art. 187 TFEU)
• Public-public partnerships:
– Joint Programming Initiatives (JPIs) between Member States
– ERA-NETs – coordination & cooperation of national programmes
– Article 185 TFEU - EU to participating in research programmes
undertaken jointly by several Member States
• e.g. European and Developing Countries Clinical Trials Partnership
(EDCTP), Ambient Assisted Living (AAL), Baltic Sea R&D
Programme (BONUS), Eurostars, European Metrology Research
Programme, European Energy Research Alliance (EERA), …
• Under HORIZON 2020: e.g. Photonics and Robotics in ICT
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HORIZON 2020
International cooperation 1
• International cooperation essential for
– Societal challenges
– Frontier and basic research
– Enhancing competitiveness of European industry e.g. by
developing worldwide standards and guidelines
• Promoting researchers and innovation staff mobility
– Enhancing global cooperation
• Focus of international cooperation
– Industrial and emerging economies
– Enlargement and neighbourhood countries
– Developing countries
• Where appropriate cooperation at regional & multilateral level
• General openness, while encouraging reciprocity
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HORIZON 2020
International cooperation 2
• Targeted actions following a strategic approach
– Common interest and mutual benefit
– Promoting coordination and synergies with Member States
activities
– Mechanism for supporting joint calls and the possibility of cofunding programmes together with third countries or
international organisations, for example
• European and Developing Countries Clinical Trials Partnership
(EDCPT2)
• Human Frontier Science Programme (HSFP)
• International Consortium on Rare Diseases
• EU-US Task Force on Biotechnology Research
• Intergovernmental Panel on Climate Change (IPCC),
Intergovernmental Platform on Biodiversity and Ecosystems
Services (IPBES), Group on Earth Observation (GEO)
• Space Dialogues between the EU, the U.S. and Russia
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HORIZON 2020
International cooperation 3
• Societal Challenge ‘Inclusive, innovative and secure societies”:
Promoting coherent and effective cooperation with third
countries:
– To assist strategic approach to international cooperation on the
basis of common interest and mutual benefit
– Coordination of EU and national policies and programmes
– Bi-lateral, multi-lateral and bi-regional policy dialogues:
• policy exchange, mutual learning, priority setting
• Promoting reciprocal access and monitoring impact
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Networking and twinning activities optimising partnering
Joint internat. actions of Member States & Assoc. Countries
To create “European science and innovation houses”
Services for European organisations going international
Opening research centres established jointly with third countries
to organisations or researchers from other Member States
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HORIZON 2020
Association of Third Countries
• H2020 will be open to the association of
– Acceding countries, candidate countries and potential
candidates, and
– Selected third countries that fulfil the following criteria
• Good capacity in science, technology and innovation (STI)
• Good track record in participation in EU research and
innovation programmes
• Have close economic and geographical links to the EU
• Are European Free Trade Association (EFTA) members or
• Target countries of the European Neighbourhood Policy:
– Armenia, Azerbaijan, Belarus, Georgia, Moldova, Ukraine
– Algeria, Egypt, Israel, Jordan, Lebanon, Libya, Morocco,
Occupied Palestinian Territory, Syria, Tunisia
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Rules for Participation
The Rules for the Participation and Dissemination
regulate all implementing aspects of Horizon 2020.
Innovation
The new Rules have been
designed to achieve the three
main objectives of Horizon 2020:
Innovation, Coherence and
Simplification
RfP
Horizon
2020
Coherence
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Simplification
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Rules for Participation: Overview 1
Simplification
• A single set of more standardized rules for eligibility,
accounting, reporting, auditing
• Simplified cost-reimbursement approach
• Broader acceptance of usual accounting practice,
greater use of lump sums and flat rates
• Shorter negotiation and selection phases
• Unique IT portal, common support structures,
guidance
• External management: learning from experience with
Executive Agencies, public-private partnerships,
public-public partnerships, financial instruments
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Rules for Participation: Overview 2
What is new?
1. A single set of rules
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“From the brain to the factory”:
A single set of rules for the whole innovation chain.
Covering all research programmes and funding bodies
(art.185 initiatives, art. 187 initiatives, CIP, EIT)
Aligned to the Financial Regulation, coherent with other
new EU Programmes
2. Single funding rate: one project - one rate
3. Simplified and uniform evaluation criteria
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Excellence – Impact – Implementation
4. New forms of funding aimed at innovation
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pre-commercial procurement, inducement prizes, dedicated
loan and equity instruments
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Rules for Participation: Overview 3
What is new?
5. International participation
-
facilitated but better protecting EU interests
6. Simpler rules for grants:
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broader acceptance of participants accounting practices for direct
costs, flat rate for indirect costs, no time-sheets for personnel working
full time on a project, possibility of output-based grants
7. Fewer, better targeted controls and audits
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Lowest possible level of requirements for submission of audit
certificates without undermining sound financial management;
Audit strategy focused on risk and fraud prevention
8. Improved rules on Intellectual Property
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Balance between legal security and flexibility
Tailor-made IPR provisions for new forms of funding
A new emphasis on open access to research publications
Beyond the Rules: further simplified provisions in the Grant Agreement and implementing
procedures to facilitate access to Horizon 2020 (e.g. common IT platform).
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Rules for Participation: Some details 1
Conditions for participation
• In general: At least three independent legal entities,
not two Member State or Associated Country not two of
the three established in the same Member State or
Associated Country
• Minimum one legal entity
• European Research Council, SME instrument, programme
co-fund actions etc.
• Support actions, training and mobility actions
• Possible additional conditions in Work Programmes
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Rules for Participation: Some details 2
Eligibility for funding
• Any legal entity established in a Member State or
Associated Country, or created under EU law
• Any international European interest organisation
• Any legal entity established in a third country
identified in the work programme
• If a third country is not identified in the work
programme EU funding maybe granted:
– If participation is deemed necessary for the action
– Funding is provided for under a bilateral S&T agreement
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Rules for Participation: Some details 3
Joint calls with third countries
• Joint calls for proposals may be launched to jointly
fund actions
– Joint evaluation through joint evaluation to be agreed upon
involving a balanced group of independent experts
– Legal entities receiving funding from the EU
• grant agreement with the EU or the relevant funding body
including description of work
• Conclude a coordination agreement with the partners
receiving funding from the relevant third countries
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Rules for Participation: Some details 4
Evaluation criteria
• Proposals shall be evaluated on the basis of the
following criteria:
– Excellence
– Impact
– Quality and efficiency of the implementation
• For proposals for ERC frontier research: sole
criterion of excellence
• Proposals shall be ranked according to evaluation
results - selection on the basis of this ranking
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Rules for Participation: Some details 5
Funding, time recording
• Single reimbursement rate of eligible costs
– Max. 100% of the total eligible costs
– Possible limit to max. 70% of the total eligible costs:
• Prototyping, testing, demonstrating, experimental development,
piloting, market replication
• Programme co-fund action
• Indirect eligible costs: flat rate of 20% of the total direct eligible
costs
• Eligible personnel costs shall cover only the actual hours worked be
the persons directly carrying out work under the action – time
recording system
• NO time recording necessary for persons working exclusively on
actions
• Direct eligible personnel costs may be financed on the basis of
scale of unit costs calculated according to the participant’s usual
cost accounting practices
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HORIZON 2020: How?
Funding schemes 1
• Research and innovation grant
– For full range of research activities
– For innovation activities: prototyping and design, dissemination,
demonstration, pilots, testing and user involvement, market
replication, support to research and innovation infrastructures,
standard setting
– Networking and coordination
• Training and mobility grant – for Marie Curie Actions
– For single beneficiaries, funding bodies or transnational
consortia for training, mobility and career development of
researchers
• Programme co-fund grant
– For bodies managing non-EU R&I programmes (networking and
coordination between programmes, co-funding of individual calls
and actions with a trans-national nature
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HORIZON 2020: How?
Funding schemes 2
• Coordination and support grant
– Funding for accompanying measures: dissemination, awareness
raising & communication, networking, coordination or support
services; policy dialogues and mutual learning exercises and
expert support, studies
• Debt finance and equity investment
– Access to risk finance
• Prizes
– Rewards for past achievements or inducement prizes to be
awarded for the achievement of a pre-specified target
• Procurement
– Public pre-commercial procurement
– Public procurement of innovative solutions
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Horizon 2020
Next steps, timeline
• From 30/11: Parliament and Council negotiations on
the basis of the Commission proposals
• Ongoing: Parliament and Council negotiations on EU
budget 2014-20 (including overall budget for Horizon
2020)
• Mid 2012: Final calls under 7th Framework
Programme for Research to bridge gap towards
Horizon 2020
• By end 2013: Adoption of legislative acts by
Parliament and Council on Horizon 2020
• 1/1/2014: Horizon 2020 starts; launch of first calls
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HORIZON 2020: Decision process
Source: European Commission
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Thank you for your attention!
Prof. Manfred Horvat
Vienna University of Technology
[email protected], [email protected]
Find out more:
www.ec.europa.eu/research/horizon2020