joint support office ukraine kiev, 2 december 2011

Joint Support Office UkraineKiev, 2 December 2011

HORIZON 2020 –The new Framework Programme

for Research and Innovation2014 - 2020

Proposal of the European Commission 30 November 2011

Prof. Manfred HorvatVienna University of Technology

2 Dezember 2011 Manfred Horvat 2

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


Preparing HORIZON 2020The programming cycle – Main elements

• 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


Preparing HORIZON 2020The 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


HORIZON 2020Policy 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



• 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



• 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


ERAA ‘unified’ research area(all MSs, AC & regions) embedded in society

•Efficiency•Interoperability•Critical mass•Mobility

ERAA ‘unified’ research area(all MSs, AC & regions) embedded in society

•Efficiency•Interoperability•Critical mass•Mobility

MS research policies &programmes

MS research policies &programmes

EU research policies & programmes

Intergovernmentalinitiatives

Intergovernmentalinitiatives

Private R&D& public-private

cooperation

Private R&D& public-private

cooperation

IndividualresearchersIndividual

researchers

ResearchOrganisations &

universities

ResearchOrganisations &

universities

FundersFunders

FirmsFirmsExcellent science

World-leading innovation

ERA: raising quality, impact & relevance and attractivenessof research in Europe via cross-border synergies

Publicauthorities

Publicauthorities

Innovation Union:Completing ERA by 2014


ERA in concrete terms …• A single market for knowledge and high value for

money)• Cross-border...

– ... 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


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


Horizon 2020Three objectives – Three pillars & the EIT

Societal Challenges• Health demographic change and well-

being• 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

Industrial Leadership• Leadership in enabling and industrial

technologies– 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• European Research Council • Future & Emerging Technologies (FET)

• Marie Curie Actions• Research Infrastructures

European Institute of Innovation and Technology (EIT)


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


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)


HORIZON 2020Budget 87.740 mio EUR

EUR million

• Excellent Science 27.818• Industrial Leadership 20.280• Societal Challenges 35.888• European Institute of Innovation and

Technology (EIT) 3.194• Non-nuclear direct actions of the

Joint Research Institute 2.212

TOTAL 87.740


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 andcareer development 6.503

4. European Research infrastructures(including e-Infrastructures) 2.802


HORIZON 2020: Industrial leadership 1 Budget 20.280 mio EUR

EUR million

1. Leadership in enabling andindustrial technologies 15.580

(of which 500 for EIT)

2. Access to risk finance 4.000

3. Innovation in SMEs 700


HORIZON 2020: Industrial leadership 2 Budget 20.280 mio EUR

• Leadership in industrial andkey enabling technologies (KETs) 15.580

(of which 500 for EIT)

– Information & communication technologies 8.975(EUR 1.795 for Photonics and micro- & nano-electronics)

– Nanotechnologies– Advanced materials 4.293– Advanced manufacturing and processing– Biotechnology 575– Space 1.737– Cross-cutting actions combining several

key enabling technologies

EUR million

KETs


HORIZON 2020: Societal challenges Budget 35.888 mio EUR

EUR million1. 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)


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


HORIZON 2020Common elements

• Social sciences and humanities• Small and medium-sized enterprises (SMEs)• Access to risk finance• Communication and dissemination


HORIZON 2020Complementarities 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


HORIZON 2020Partnering

• 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


HORIZON 2020International 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



• 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 co-

funding 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



• 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

– 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


HORIZON 2020Association 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


Rules for Participation

The new Rules have been designed to achieve the three main objectives of Horizon 2020:

Innovation, Coherence and Simplification

The Rules for the Participation and Disseminationregulate all implementing aspects of Horizon 2020.

Innovation

Coherence Simplification

RfP Horizon

2020


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


Rules for Participation: Overview 2What is new?

1. A single set of rules- “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 othernew EU Programmes

2. Single funding rate: one project - one rate

3. Simplified and uniform evaluation criteria- Excellence – Impact – Implementation

4. New forms of funding aimed at innovation- pre-commercial procurement, inducement prizes, dedicated

loan and equity instruments


Rules for Participation: Overview 3What is new?

5. International participation- facilitated but better protecting EU interests

6. Simpler rules for grants:- 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- 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- 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).


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


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


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


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


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


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


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


Horizon 2020Next 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


HORIZON 2020: Decision process

Source: European Commission

Thank you for your attention!

Prof. Manfred HorvatVienna University of Technology

[email protected], [email protected]

Find out more:www.ec.europa.eu/research/horizon2020

mailto:[email protected]

mailto:[email protected]

http://www.ec.europa.eu/research/horizon2020

joint support office ukraine kiev, 2 december 2011

Documents

european parliament

outlinepreparing horizon

european commission12

ukmanfred horvat2 dezember

european commission

european research area

joint adoption of horizon

european strategy forum