Dr. Thies Wittig

1. HORIZON 2020 Introduction – What is in for you? Dr. Thies Wittig

2. Our topics: Some basics From FP7 to H2020 The new H2020 Structure Project types, participation rules, financial aspects Evaluation procedures Once we are through the formalities, some guidance notes before you try to get into H2020

3. Characteristics of EU R&D Activities • Transnational collaboration (min. 3 partners/3 countries) • Open to all: Industry, SMEs, Universities,…) • Consortia selected via Calls for Proposals and evaluation procedures involving a set of multiple criteria and independent experts • Strategic objectives - programme oriented • Innovative, based on science & technology excellence • Competitive - competition of the best teams in EU • RTD results are the property of the participants

4. … before we start What is a proposal and what is a project? • A Proposal is document similar to the DoW that describes the aims and objectives of such partnership. • It covers the scientific/technical aspects, a concrete management/work plan and describes how the results will be used after the end of the project (exploitation) and what the long-term impacts are.

5. … before we start • A Project consists of a group of different organisation that jointly work to achieve a given goal, funded by the EC. • This goal and the steps needed to achieve it is described in the Description of Work (DoW) that is part of the contract with the EC.

6. From FP7 to H2020 FP7 is the Seventh Framework Programme for Research and Technological Development. It was running from 2007 to 2013. It had a funding budget of around 55 bn Euro. The new Framework Programme started on 1/1/2014 and runs again for 7 years: HORIZON2020 The funding budget is now 72 bnEuro

7. FP Budget Development

8. From FP7 to H2020 With that budget H2020 is much bigger than FP7, however it combines the current CIP (3.6 bn Euro) and the old FP7. Will H2020 be very different to FP7 ? Is there anything radically new in H2020 ?

9. The old FP7 COOPERATION Programme 1 Health 2 Food, Agriculture and Biotechnology 3 Information and Communication Technologies 4 Nanosciences, Nanotechnologies, Materials and new Production Technologies 5 Energy 6 Environment (including Climate Change) 7 Transport (including Aeronautics) 8 Socio-economic Sciences and the Humanities 9 Space 10 Security

10. The new Societal Challenges 1 • Health, Demographic Change and Wellbeing 2 • Food Security, Sustainable Agriculture, Marine & Maritime Research & Bio-Economy 3 • Secure, Clean and Efficient Energy 5 • Climate Action, Resource Efficiency and Raw Materials 4 • Smart, Green and Integrated Transport 6 • Inclusive Societies 7 • Secure societies

11. The new Leadership in Industrial Technologies - LEIT 1 2 3 1. Information and Communication Technologies 4 2. Nanosciences&technologies, 4. Materials and 5. Manufacturing 5 6 7 8 9 6. Space 10

12. IDEAS - 15% European Research Council ERC PEOPLE - 9% CAPACITIES - 8% Marie Curie Measures Infra- structures SMEs Regions of Knowledge Research Potential Science in Society INCO Initial Training Specific Actions Life-long Learning Industry- Academia INCO Development of Research Policies The old FP7 Structure COOPERATION - 65% THEMES (Topics) Health Food … ICT Nanotech Energy Environm. Transport Socio-eco Space Security

13. Excellent Science 33% • European Research Council • FET • Marie Curie • Research Infrastructures Enabling Technologies ICT Nanotech Adv. Materials Biotech Manufac- turing Space The new H2020 Structure Leadership in Enabling and Industrial Technologies - LEIT 24% Societal Challenges 43% HEALTH FOOD … Efficient Energy Smart Transport Climate Inclusive Societies Secure Societies Innovation in SMEs Access to Risk Finance

14. The H2020 Structure Important: the clear boundary between the sub-programmes has gone ! Excellent Science Industrial Leadership Societal Challenges

15. I - Excellent Science • EUROPEAN RESEARCH COUNCIL • € 7.5 billion in FP7 -> € 13 billion in H2020 • FUTURE AND EMERGING TECHNOLOGIES the “ICT incubator and pathfinder for new ideas …” • € 2.7 billion in H2020 • MARIE CURIE ACTIONS • € 4.7 billion in FP7 -> € 6 billion in H2020 • RESEARCH INFRASTRUCTURES

16. EUROPEAN RESEARCH COUNCIL (ERC) Frontier research, Cross disciplinary proposals and pioneering ideas in new and emerging fields, which introduce unconventional and innovative approaches Across all fields of research ERC principles: 1 researcher; 1 host institution; 1 project; 1 selection criterion: scientific excellence No consortia, no networks, no co-financing

17. EUROPEAN RESEARCH COUNCIL (ERC) The core funding schemes Starting Grants to support up-and-coming research leaders who are about to establish a proper research team and to start conducting independent research in Europe. Consolidator Grants to support researchers at the stage at which they are consolidating their own independent research team or programme. Advanced Grants to allow exceptional established research leaders of any nationality and any age to pursue ground-breaking, high-risk projects that open new directions in their respective research fields or other domains.

18. Marie Skłodowska-Curie actions (MSCA) Three main types of MSCAs: Research networks (ITN): support for Innovative Training Networks Individual fellowships (IF): support for experienced researchers undertaking mobility between countries, optionally to the non-academic sector International and inter-sectoral cooperation through the Research and Innovation Staff Exchanges (RISE)

19. II - Industrial Leadership • LEADERSHIP IN ENABLING AND INDUSTRIAL TECHNOLOGIES – LEIT • Information and Communication Technologies (ICT) • Nanotechnologies • Advanced materials • Biotechnology • Advanced Manufacturing &Processing • Space • ACCESS TO RISK FINANCE • INNOVATION IN SMES Combined in one Work-programme

20. III - Societal Challenges • Health, Demographic Change and Wellbeing • Food security, sustainable agriculture and forestry, marine and maritime and inland water research, and the Bioeconomy • Secure, Clean and Efficient Energy • Smart, Green and Integrated Transport • Climate action, environment, resource efficiency and raw materials • Europe in a changing world - inclusive, innovative and reflective societies • Secure societies - protecting freedom and security of Europe and its citizens.

21. Major changes ? So the first conclusion is that everything is there again in H2020 ! Naturally, topic areas change as well as the overall focus. The budget foreseen for the 6 Enabling Technologies corresponds the amount in FP7 for those Thematic Areas. For the Marie Curie actions the budget is a bit higher than in the old “People Programme”. 21 21 21 21 21

22. Major changes ? The proposed budget for the 6 Societal Challenges, however, has nearly doubled ! A similar budget increase is proposed for the European Research Council – the old “Ideas Programme”. Apart from that everything seems to be pretty similar to FP7, but … 22 22 22 22 22

23. FP7 was called the Framework Programme for Research and Development H2020 is called the Framework Programme for Research and Innovation

24. What is Innovation ? Innovation is the process and outcome of creating something new, which is also of value. Innovation involves the whole process from opportunity identification, research or invention to development, prototyping, production marketing and sales, while entrepreneurship only needs to involve commercialization (Schumpeter)

25. What is Innovation ? Innovation = Invention (research) + exploitation A new way of doing things, which is commercialized. The process of innovation cannot be separated from a company’s strategic and competitive context (Porter) Adoption of ideas that are new to the adopting organization

26. What is Innovation ? Traditionally the focus has been on new products or processes, but recently new business models have come into focus, i.e. the way a company delivers value and secures profits.

27. The Innovation Chain Research & development Covered by H2020 Prototyping, ‘plans’ for new products Product/process development Market development Market replication

28. Innovation and the Private Sector To ensure that innovation is happening in H2020 SME participation becomes obligatory in most projects. Around 20% of the total budget for Societal Challenges and LEITs must go to SMEs. There are also specific measures only for SMEs This is good news for SMEs, of course ! It is also an important message for universities: purely academic consortia are out !

29. Rules of Participation Minimum conditions • For standard collaborative actions (RIA, IA) At least, 3 legal entities, each established in different MS/AC • For SME Instrument, programme co-fund, CSA 1 legal entity established in a MS/AC Additional conditions • To be set out in the Work Programme (i.e. number of participants, type of participants, etc.)

30. Simplified Funding Model One reimbursement rate by action The same rate for all beneficiaries and all activities: • Up to 100% for Research and Innovation actions • Up to 70% for innovation (non-profit entities up to 100%) One method for calculation of indirect costs: • Flat rate of 25% of total direct costs, excluding subcontracting, costs of third parties and financial support to third parties

31. Eligible costs Main cost categories: Personnel costs Costs of subcontracting Other direct costs • Travel costs and subsistence allowances • Depreciation costs of equipment • Costs of other goods and services (including non-deductible VAT) NEW Rules to allow costs for large infrastructure are under discussion

32. Personnel costs Salaries + social security charges + other costs included in the remuneration arising from national law/employment contract Additional remuneration up to 8000 EUR (per year) for non-profit legal entities Actual worked hours • Based on time recording system except for staff working full time on an EU action Unit costs for • average personnel costs • SME owner and natural person with no salary

33. Simplification: Summary Single set of simpler and more coherent participation rules New balance between trust and control Moving from several funding rates for different beneficiaries and activities to just two Replacing the four methods to calculate overhead or «indirect costs» with a single flat rate Major simplification under the forthcoming financial regulation Successful applicants to get working more quickly: time-to-grant of 8 months; exceptions for the ERC and in duly justified cases

34. Collaborative Research: What is in for me ?

35. Why to try to get in and why not It is important to be clear about that It is not easy to get an H2020 project The competition will remain high (15% success rate) It requires a substantial amount of work You need to team up with a European consortium

36. Why to try to get in and why not Do you have the right motivation to try and get in ? Is it for widening your research perspectives or those of your department/institute ? Do you have the backing of the management/dean of your organization ? Are you prepared to accept dependencies on other partners in the research work to be done ? Are you aware of the administrative, management and reporting overheads ? Is the money the main reason ?

37. Why to try to get in and why not Some conditions you should be aware of: Do you have a good research track recordto convince potential partners(academia)? Do you have an up-to-date development or production environment (SME) Does a research team exist at your university, or are you an individual researcher ? Does your institute/company have a medium to long-term research/development perspectives?

38. Remember … The ultimate aim is to convince the evaluators that your proposal is the best ! But before you come to that step You have to win your place in a consortium ! Take the answers of the previous questions and create a convincing profile of yourself and your organisation/research group

39. Some final words My previous comments may sound rather restrictive, but my advice is: Try everything to get into collaborative projects It will boost your scientific experience The cross-cultural experience is invaluable … and last but not least: it is real fun !