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Horizon 2020 and Innovation

Horizon 2020 and Innovation. Oliver ROHDE, DLR. Political Architecture : Europe 2020 Strategy. Political Architecture : Innovation Union. Strengthening the knowledge base and reducing fragmentation Promoting excellence in education and skills development

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Horizon 2020 and Innovation

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  1. Horizon 2020 and Innovation Oliver ROHDE, DLR

  2. Political Architecture: Europe 2020 Strategy

  3. Political Architecture: Innovation Union • Strengthening the knowledge base and reducing fragmentation • Promoting excellence in education and skills development • Delivering the European Research Area (ERA) • Focusing EU funding instruments on Innovation Union priorities • Promoting the European Institute of Innovation and Technology (EIT) • 2. Getting good ideas to the market • Enhancing access to finance for innovative companies • Creating a single innovation market • Promoting openness and capitalising on Europe's creative potential • 3. Maximising social and territorial cohesion • Spreading the benefits of innovation across the Union • Increasing social benefits • 4. Pooling forces to achieve breakthroughs • 5. Leveraging EU policies externally

  4. Political Architecture: CoveringtheFull Innovation Chain Publication Fundamental Research Applied Research Technical Development/ Innovation Market Uptake So far, these parts are very successfully covered by EU funding „The Valley of Death“ Deficient support lowers Competitiveness NEED FOR IMPROVEMENT

  5. Horizon 2020 - The new Framework Programme for Research and Innovation • Combines the current funding programmes for R&I: • 7th EU Framework Programme for Research, European Institute of Innovation and Technology (EIT), innovation parts of Competitiveness and Innovation Framework Programme (CIP) • Stronger focus on innovation: closing the gap between knowledge and market, stronger participation of SMEs • Orientation on Societal Challenges and on socio-economic impact • Simplification • Single set of rules, simplified • Reduction of time-to-grant • Single IT Participant Portal and Front Office

  6. Innovation in Horizon 2020 Different approachtowardsresearchresults • Quicker exploitationofresearchresultsfornewtechnologies, products, procedures, andservices • „Valley ofdeath“: marketuptakeofgoodideasneedstobeimproved – beneficialforcompaniesandsociety • Couplingresearchtoinnovation • Intensifycooperationbetweenscienceandeconomy • Reduceobstacleforcompaniesto bring goodideastothemarket • StrongerlinkagewithTechnology ReadinessLevels

  7. Programme StructureofHorizon 2020 I. Excellent Science II.Industrial Leadership III.Societal Challenges Widening Participation Science with and for Society ERC Leadership in enabling and industrial tech-nologies (LEIT)* ICT, Nanotechnologies, Materials, Biotechnology, Manufacturing and Processing, and Space Health, demographic change and wellbeing … Bioeconomy FET Energy JRC Marie-Skłodowska-Curie Transport Research Infrastructures Access to risk finance Climate action, Environment … EIT …Societies Innovation in SME Secure Societies…

  8. Excellent Science Future and Emerging Technologies (FET) – Objectives • Foster scientificcollaborationacrossdisciplines on visionary, high-riskideas – uncoverradicallynewtechnologyareas • Science-drivenandrevolutionaryresearch • Interdisciplinaryandcollaborative • PathfindingEurope‘stechnologicalfuture+ bootstrapping new R&I eco-systems • Complementarytoactivities in otherpartsofHorizon 2020 – explotingsynergies

  9. Excellent Science FET – activities Three complementary schemes bottom-up top-down open, visionary, interdisciplinary agenda-based, multidisciplinary 40% oftheFET budget Large-scale initiatives Early ideas Topical clusters FET open FET Proactive FET Flagships Developing topics & communities Addressing grand challenges Exploring novel ideas

  10. Industrial Leadership Part II – Industrial Leadership • Leadership in enabling and industrial technologies (LEIT): LEIT, inclusive key enabling technologies): Research and innovation in areas of particular relevance for the competitiveness of the industry (ICT, Nanotechnology, Materials, Biotechnology, Manufacturing and Processing and Space) • Innovation in SME: dedicated support for SME in three different stages covering the whole innovation cycle (feasibility part, demonstration and testing, commercialisation phase) • Access to risk finance: debt facility and equity facility in order to leverage yet further private high-risk research and innovation (R&I) investments

  11. Societal Challenges Part III – Societal Challenges • 7 specific objectives which aim to contribute to solve important societal challenges of the Union • Policy driven: reflect the political priorities and societal challenges of the Europe 2020 strategy • Critical mass of knowledge and ressources in order to deal with the societal challenges • Largest budget share of 38,53% (about 26,5 billion EUR) • Interdisciplinary approach and inclusion of cross-cutting issues (gender, sustainablity, international cooperation…) • Entire cycle from basic research to market uptake • Stronger output orientation

  12. EIT EIT: European Institute for Innovation and Technology Aim: Strenghten the innovation capacity within the EU byintegrating the three sides of the knowledge triangle – (higher) education, research, and innovation Means: Knowledge and Innovation Communities (KICs), i.e. cluster networks with mission orientation So far 3 existing KICs: KIC InnoEnergy EIT ICT Labs Climate KIC In planning: 5 new KICs 2014: Innovation for Healthy Living and Active Ageing; Raw Materials 2016: Food 4 the future; Added-value Manufacturing 2018: Urban Mobility

  13. Cross-cutting issues • Issues which • are often mentioned in the work programme/topic • should be taken into consideration in all parts of Horizon 2020 • Widening participation • Sustainable development and climate change • Bridging from discovery to market application • International Cooperation • Social sciences and humanities • Science and society • Gender • Small and medium-sized enterprises (SMEs)

  14. Requirementsforparticipation(Status after Trilogue) • three independent legal entities - each of these shall be established in a different Member State or associated country • Exceptions: • Callsofthe European Research Council (ERC), • Marie-Skłodowska-Curie Actions • Coordinationandsupport Actions • The SME-Instrument, whentheactionhas a clear European addedvalue • Programme co-fund actions • In justifiedcasesprovidedfor in theworkprogrammeorwork plan

  15. Same priniciples of the EU financial regulation applicable as in FP7: transparency Co-financing rule No-profit principle No double financing Reimbursement on the basis of acutual costs as in FP7 Only one certificate on the financial statement (audit certificate) at the end of the project if the EU-contibution reaches 325.000 EURO or more Verification of financial viability only for coordinators if the requested funding from EU is equal or superior to EUR 500 000, Exception: in cases of reasonable doubts the financial capacity of all other coordinators or participants Non-deductable VAT are eligible costs Rules forParticipation(Status after Trilogue)

  16. Fundingrates(Status after Trilogue) • One funding rate per project • RTD: max. 100% of the actual costs • Close-to-market activities („innovation actions“): • max. 70% of the actual costs • Exception: non-profit legal entities max. 100% • Indirect eligible costs: flat rate of 25% of the total direct eligible costs • No reimbursement of actual indirect costs • Large research infrastructures may claim certain indirect costs as direct costs (under discussion)

  17. Fundingrates in Horizon 2020(Status after Trilogue) 125% 25% 100% Eligiblecosts 87,5% 17,5% 125% 87,5% 70% 100% research and innovation actions, non-profit legal entities • Close-to-market activities („innovation actions“): (100% direct eligible costs +25% overhead flat rate ) x70%funding rate = 87,5%EC-contribution (100% direct eligible costs +25% overheadflat rate ) x100% funding rate = 125%EC-contribution

  18. Reimbursement: 100% ofeligiblecostswith a 25% flat rate • Generating newknowledge • Basic andappliedresearch • Technology development • Feasibility Studies • Limited demonstrationandpilotactivities Research and Innovation Actions Funding 100% +25% Top down

  19. Reimbursement: 70% ofeligiblecostswith a 25% flat rate; • Exceptionfor non-profit organisationswith 100% ofeligiblecostswith a 25% flat rate • Demonstration orpilot– validatethetechnical/economicviabilityof a new/improvedtechnology, product, process, serviceorsolution • Market replication– firstapplication in themarketof an innovationthathasalreadybeendemonstrated but not yetdeployed Innovation actions Funding 87,5-125% Top down

  20. Fast Track to Innovation • Support for a pilot action: bring promising developments to market maturity • Based on similar national programmes (for example „SME innovative“ in Germany; similar programmes in SE, FI) • Small: innovation actions with 3-5 partners, max. 3 Mio euro • Fast: Time-to-Grant not exceeding 6 months • Simple: to be launched in 2015 – continously open calls with three cut-off dates per year (similar to ERC and FET Open) • Open: to any legal entity • Bottom-Up: thematically open, broad focus (Priority II und III) • Impact criterion given a higher weighting in evaluations

  21. publication of the call contract negotiations with successful projects deadline evaluation and funding decision signature Timeline: „Time to grant“ End Start M1 M6 M11 M14 Time togrant (8 M) Submission of proposal Start of the project

  22. Thank you very much for your attention! Oliver Rohde Project Management Agency Part of the German Aerospace Center (DLR) European and International Cooperation Heinrich-Konen-Str. 1 53227 Bonn, Germany Tel.: +49 228 3821-1891 Oliver.Rohde@dlr.de http://www.internationales-buero.de http://www.kooperation-international.de

  23. www.medspring.eu This work is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License

  24. Back-up material

  25. Industrial Leadership SME support 20% Objective in Societal Challenges (SC) and LEITs specific objective „Innovation in SME“ • targeted at all types of innovative SMEs • only SME able to apply for funding – single company support possible • Support provided in three stages – no obligation to cover all three phases • 7% budget from LEIT und SC to SMEs, 0,8% own budget contribution 1. Feasibility part (proof of concept) 2. development, prototyping, testing, piloting, market replication, research Three phases modell 3. Commercialisation phase In addition: Eurostars 2

  26. Industrial Leadership Access to risk finance • Facilitate access to finance for • RDI-driven/innovative SMEs (at least 1/3) • Ambitious RDI projects carried out by a variety of participants (companies, etc.) • Stimulate investment in R&I, especially by the private sector • Leverage effect: to attract additional finance and multiply H2020 resources • Buidling a bridge from R&D to Innovation: effective and cost-efficient way to complement grant funding • Around 2,7 billion euro in total • Will not be provided through grant funding but in form of risk-sharing (for loans and guarantees) and by providing risk finance (equity) • Debt finance: loans & guarantees for investments in R&I • Equity finance: early stage finance for innovative enterprises; pilot facility to bring R&D results to the market; technical and financial assistance (of EIB)

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