EUROPEAN RESEARCH POLICY FOR GERMAN EUROPEAN RESEARCH POLICY FOR GERMAN

EUROPEAN RESEARCH POLICY FOR GERMAN EUROPEAN RESEARCH POLICY FOR GERMAN

UNIV ERSIT Y UNIV ERSIT Y

HORIZ ON 2 0 2 0 HORIZ ON 2 0 2 0

( 2 0 1 4

( 2 0 1 4 - - 2 0 2 0 ) 2 0 2 0 )

Maria da Gra

Maria da Graçça C arv al h oa C arv al h o

17 17 J a n u a r yJ a n u a r y 2 0 122 0 12

Content

Content of of P r es enta ti on P r es enta ti on

T h e T h e Pl a c e Pl a c e o f o f t h e t h e EU EU i n i n a Mu l t i p o l a r a Mu l t i p o l a r W o r l d W o r l d o f o f S& T S& T

Ho r i z o n Ho r i z o n 2 0 2 0 : 2 0 2 0 : Fi n a n c i n g Fi n a n c i n g In s t r u m e n t In s t r u m e n t i m p l e m e n t i n g i m p l e m e n t i n g t h e

t h e “ “ In n o v a t i o n In n o v a t i o n Un i o n Un i o n ” ”

Sy n e r g i e s Sy n e r g i e s b e t w e e n b e t w e e n t h e t h e FP FP a n d a n d t h e t h e St r u c t u r a l St r u c t u r a l Fu n d s

Fu n d s

Si m p l i f i c a t i o n Si m p l i f i c a t i o n

Eu r o p e a n Eu r o p e a n Re s e a r c h Re s e a r c h Ar e a Ar e a

Ne x t Ne x t s t e p s s t e p s

Co n c l u s i o n s Co n c l u s i o n s

THE PLACE OF THE EU THE PLACE OF THE EU I N A M ULTI POLAR W OR LD I N A M ULTI POLAR W OR LD

OF S & T

OF S & T

THE PLACE OF EU IN A MULTI THE PLACE OF EU IN A MULTI POLAR W OR LD OF S & T POLAR W OR LD OF S & T

According to the STC key figures report 2008/2009:

According to the STC key figures report 2008/2009:

80% of resea rchers w ork outside the E U 80% of resea rchers w ork outside the E U

7 5 % of G E R D is ex ecuted in other pa rts of the w orl d 7 5 % of G E R D is ex ecuted in other pa rts of the w orl d 6 9% of pa tent a ppl ica tions a re m a de outside the E U 6 9% of pa tent a ppl ica tions a re m a de outside the E U E U ` s

E U ` s w orl d sha re in G E R D ha s dim inished b y 7 . 6 % ov er the prev ious 6 yea rsw orl d sha re in G E R D ha s dim inished b y 7 . 6 % ov er the prev ious 6 yea rs E U ` s

E U ` s w orl d sha re of pa tent a ppl ica tion ha s decl ined 1 4 . 2% ov er the prev ious 6 w orl d sha re of pa tent a ppl ica tion ha s decl ined 1 4 . 2% ov er the prev ious 6 yea rs

yea rs

W hil e the ra tio of the w orl d sha re of pa tent a ppl ica tions/w orl d

W hil e the ra tio of the w orl d sha re of pa tent a ppl ica tions/w orl d sha re of G E R D sha re of G E R D decl ined in the E U b y 7 % , it increa sed in the em erging econom ies

decl ined in the E U b y 7 % , it increa sed in the em erging econom ies of Asia of Asia b y 5 3 %

b y 5 3 %

Concl usion: Asia n econom ies ha v e increa sed their pa tents ev en m o

Concl usion: Asia n econom ies ha v e increa sed their pa tents ev en m ore ra pidl yre ra pidl y tha n their inv estm ents in resea rch w hen com pa red w ith the E U

tha n their inv estm ents in resea rch w hen com pa red w ith the E U

THE IMPORTANCE OF THE EUROPEAN THE IMPORTANCE OF THE EUROPEAN RES EARCH PROG RAMMES RES EARCH PROG RAMMES

T h e c u r r e n t Eu r o p e a n Fr a m e w o r k Pr o g r a m m e o f T h e c u r r e n t Eu r o p e a n Fr a m e w o r k Pr o g r a m m e o f r e s e a r c h a n d d e v e l o p m e n t , w i t h 5 2 Mi l l i o n Eu r o s r e s e a r c h a n d d e v e l o p m e n t , w i t h 5 2 Mi l l i o n Eu r o s

o f f u n d i n g , h a s a n e n o r m o u s s t r a t e g i c o f f u n d i n g , h a s a n e n o r m o u s s t r a t e g i c

i m p o r t a n c e f o r t h e d e v e l o p m e n t o f i n n o v a t i o n , i m p o r t a n c e f o r t h e d e v e l o p m e n t o f i n n o v a t i o n ,

c o m p e t i t i v e n e s s a n d t h e r e f o r e e m p l o y m e n t o f t h e c o m p e t i t i v e n e s s a n d t h e r e f o r e e m p l o y m e n t o f t h e

Eu r o p e a n a r e a .

Eu r o p e a n a r e a .

THE PARTICIPATION OF THE D IFFERENT THE PARTICIPATION OF THE D IFFERENT M. S . IN THE EUROPEAN RES EARCH PROG RAMMES M. S . IN THE EUROPEAN RES EARCH PROG RAMMES

0 1 . 000 2 . 000 3 . 000 4 . 000 5 . 000

LU M T

LV C Y LT E E S K S I B G R O I E C Z H U P T P L D K

F I A T

E L S E B E N L E S

I T F R D E UK

Applicants

2 0 0 8 2 0 0 7

0,0 5 00,0 1 . 000,0 1 . 5 00,0 2 . 000,0

LU M T

LV S K LT C Y E E S I B G R O I E C Z H U P L P T E L A T D K F I B E S E E S N L

I T F R D E UK

EC contribution (€M)

2 0 0 8 2 0 0 7

T h e

T h e i m p or ta nc e i m p or ta nc e of of p r es ent

p r es ent m om ent m om ent

E u ro p e an B u dg e tE u ro p e an B u dg e t an dan d E u ro p e an F in an c in gE u ro p e an F in an c in g P ro g ram m e sP ro g ram m e s –– 7 7 y e ars

y e ars c y c l e sc y c l e s . N e x t. N e x t c y c l ec y c l e : 2 0 1 4: 2 0 1 4 --2 0 2 0 2 0 2 0

E u ro p e an C o m m is s io nE u ro p e an C o m m is s io n , C o u n c il, C o u n c il an dan d P arl iam e n t are P arl iam e n t are n e g o t iat in g

n e g o t iat in g t h et h e B u dg e tB u dg e t p o s tp o s t 2 0 1 3 2 0 1 3 an dan d t h et h e f u t u ref u t u re F ram e w o rk F ram e w o rk p ro g ram m e

p ro g ram m e : : H o riz o nH o riz o n 2 0 2 02 0 2 0

E u ro p eE u ro p e isis f ac in gf ac in g g re atg re at c h al l e n g e sc h al l e n g e s : : c l im at ec l im at e c h an g e sc h an g e s , ag e in g, ag e in g , , f o o d

f o o d s e c u rit ys e c u rit y , , s e c u rit ys e c u rit y o fo f e n e rg ye n e rg y s u p p l ys u p p l y , , e t ce t c

R e s e arc hR e s e arc h an dan d in n o v at io nin n o v at io n are are inin t h et h e h e arth e art o fo f t h et h e S t rat e g yS t rat e g y E u ro p e

E u ro p e 2 0 2 02 0 2 0

HOR I Z ON 2 0 2 0 HOR I Z ON 2 0 2 0

T h e E U F r a m ew or k P r og r a m m e f or R es ea r c h a nd I nnov a ti on

( 2 0 1 4 -2 0 2 0 )

Horizon 2020 Horizon 2020

P rinc ip l e s P rinc ip l e s

5 k e y p rin c ip l e s :

1 . A T ru s t b as e d f u n din g s y s t e m

2. A c h ain f ro m f ro n t ie r re s e arc h , t o t e c h n o l o g ic al

de v e l o p m e n t , de m o n s t rat io n , v al o ris at io n o f re s u l t s an d in n o v at io n

3 . S im p l if ic at io n

4 . E x c e l l e n c e b as e d c rit e ria f o r t h e F P in c o -o rdin at io n w it h t h e s t ru c t u ral f u n ds f o r re s e arc h c ap ac it y b u il din g :

“S t airw ay t o E x c e l l e n c e ”

5 . E m p l o y m e n t o f y o u n g re s e arc h e rs

Horizon 2020 Horizon 2020

F ina nc ing F ina nc ing

E u r op ea n P a r l i a m ent a d op ted a n

a m end m ent to d ou b l i ng of th e B u d g et f or th e nex t E u r op ea n P r og r a m m e f or

R es ea r c h a nd I nnov a ti on ( i nc r ea s e f r om

€5 0 b i l l i on to €1 0 0 b i l l i on )

E u r op ea n Com m i s s i on p r op os ed €8 7 . 7 4 0 b i l l i on

N eg oti a ti ons ta k i ng p l a c e b etw een

P a r l i a m ent, Cou nc i l a nd Com m i s s i on

Horizon 2020 Horizon 2020 T h re e p riorit ie s T h re e p riorit ie s

E x c e l l e nt s c ie nc e E x c e l l e nt s c ie nc e

I nd u s t ria l I nd u s t ria l l e a d e rs h ip l e a d e rs h ip

S oc ie t a l S oc ie t a l c h a l l e ng e s c h a l l e ng e s

Horizon 2020 Horizon 2020 E x c e l l e nt s c ie nc e E x c e l l e nt s c ie nc e

E x c el l ent s c i enc e p r op os ed f u nd i ng ( m i l l i on eu r o, 2 0 1 4 -2 0 ):

5 . 5 7 2 M a r i e Cu r i e a c ti ons

2 . 4 7 8 R es ea r c h i nf r a s tr u c tu r es

3 . 1 0 0 F u tu r e a nd E m er g i ng T ec h nol og i es

1 3 . 2 6 8

E u r op ea n R es ea r c h Cou nc i l

Horizon 2020 Horizon 2020

I nd u s t ria l l e a d e rs h ip I nd u s t ria l l e a d e rs h ip

I nd u s tr i a l l ea d er s h i p p r op os ed f u nd i ng ( m i l l i on eu r o, 2 0 1 4 -2 0 ):

6 1 9 I nnov a ti on i n S M E s

3 . 5 3 8 A c c es s to r i s k f i na nc e

1 3 . 7 8 1 L ea d er s h i p i n ena b l i ng a nd i nd u s tr i a l

tec h nol og i es

Ho r i z o n 2 0 2 0 Ho r i z o n 2 0 2 0

S oc ie t a l c h a l l e ng e s S oc ie t a l c h a l l e ng e s

S oc i eta l c h a l l eng es p r op os ed f u nd i ng ( m i l l i on eu r o, 2 0 1 4 -2 0 ):

3 . 8 1 9 In c l u s i v e , i n n o v a t i v e a n d s e c u r e s o c i e t i e s

3 . 1 6 0 Cl i m a t e a c t i o n , r e s o u r c e e f f i c i e n c y a n d r a w m a t e r i a l s

6 . 8 0 2 S m a r t , g r e e n a n d i n t e g r a t e d t r a n s p o r t s

5 . 7 8 2 S e c u r e , c l e a n a n d e f f i c i e n t e n e r g y

4 . 1 5 2 Fo o d s e c u r i t y , s u s t a i n a b l e a g r i c u l t u r e , m a r i n e a n d

m a r i t i m e r e s e a r c h & t h e b i o e c o n o m y

8 . 0 3 3 He a l t h , d e m o g r a p h i c c h a n g e a n d w e l l b e i n g

Ho r i z o n 2 0 2 0 Ho r i z o n 2 0 2 0

R ol e of E I T a nd J R C R ol e of E I T a nd J R C

T h r ee p r i or i ti es to b e s u p p or ted b y :

1.962 J o i n t R e s e a r c h C e n t r e ( J R C )

1.3 60 E u r o p e a n I n s t i t u t e o f I n n o v a t i o n a n d

T e c h n o l o g y ( E I T )

S y n e r g i e s

S y n e r g i e s b e t w e e n b e t w e e n t h e t h e Fr a m e w o r k

Fr a m e w o r k Pr o g r a m m e Pr o g r a m m e a n d a n d t h e

t h e S t r u c t u r a l S t r u c t u r a l Fu n d s Fu n d s

S y ner g i es

S y ner g i es b etw een b etw een th e th e F P F P a nd a nd th e th e S F S F

Gr e a t e r s y n e r g y b e t w e e n Re s e a r c h Fr a m e w o r k Gr e a t e r s y n e r g y b e t w e e n Re s e a r c h Fr a m e w o r k Pr o g r a m m e a n d St r u c t u r a l Fu n d s

Pr o g r a m m e a n d St r u c t u r a l Fu n d s ( 4 7

( 4 7 r e c o m m e n d a t i o n s r e c o m m e n d a t i o n s i n i n t h e t h e f o l l o w r i n g f o l l o w r i n g a r e a s a r e a s ) : ) :

A.

A. D ev el op stra tegies a nd strengthen gov erna nce in the a rea of D ev el op stra tegies a nd strengthen gov erna nce in the a rea of

" R esea rch, Technol ogica l D ev el opm ent a nd I nnov a tion" ( R TD I )

" R esea rch, Technol ogica l D ev el opm ent a nd I nnov a tion" ( R TD I )

B .

B . Strengthen a nd dev el op R TD I I nfra structure a nd H um a n R esourcesStrengthen a nd dev el op R TD I I nfra structure a nd H um a n R esources

C .

C . D ev el op R TD I E x cel l enceD ev el op R TD I E x cel l ence

D .

D . D ev el op R & D coopera tion a t E uropea n a nd interna tiona l l ev el sD ev el op R & D coopera tion a t E uropea n a nd interna tiona l l ev el s

E .

E . Strengthen the ex pl oita tion a nd econom ic a nd socia l v a l orisa tionStrengthen the ex pl oita tion a nd econom ic a nd socia l v a l orisa tion of of R & D resul ts

R & D resul ts

F .

F . I m prov e com m unica tion a nd inform a tionI m prov e com m unica tion a nd inform a tion

S I M PLI FI CATI ON

S I M PLI FI CATI ON

S i m p l i f i c a ti on S i m p l i f i c a ti on R u l es

R u l es f or f or P a r ti c i p a ti on P a r ti c i p a ti on

1.

A s i n g l e s e t o f r u l e s

A dap t e d f o r t h e w h o l e re s e arc h an d in n o v at io n c y c l e

C o v e rin g al l re s e arc h p ro g ram m e s an d f u n din g b o die s

A l ig n e d t o t h e F in an c ial R e g u l at io n , c o h e re n t w it h o t h e r n e w E U P ro g ram m e s

2 .

On e p r o j e c t – o n e f u n d i n g r a t e

Max im u m o f 1 0 0 % o f dire c t c o s t s (e x c e p t f o r ac t io n s c l o s e t o m ark e t (7 0 % m ax im u m )

I n dire c t e l ig ib l e c o s t s : a f l at rat e o f 2 0 % o f dire c t e l ig ib l e c o s t s

S i m p l i f i c a ti on S i m p l i f i c a ti on R u l es

R u l es f or f or P a r ti c i p a ti on P a r ti c i p a ti on

3 . Si m p l e e v a l u a t i o n c r i t e r i a

E x c e l l e n c e – I m p ac t – I m p l e m e n t at io n (E x c e l l e n c e o n l y , f o r t h e E R C )

4 . Ne w f o r m s o f f u n d i n g

A im e d at in n o v at io n : p re -c o m m e rc ial p ro c u re m e n t , in du c e m e n t p riz e s , de dic at e d l o an an d e q u it y

in s t ru m e n t s

5 . In t e r n a t i o n a l p a r t i c i p a t i o n

F ac il it at e d b y b e t t e r p ro t e c t in g E U in t e re s t s

S i m p l i f i c a ti on S i m p l i f i c a ti on R u l es

R u l es f or f or P a r ti c i p a ti on P a r ti c i p a ti on

6 . S im p l e r ru l e s f o r g ran t s

B r o a d e r a c c e p t a n c e o f p a r t i c i p a n t s a c c o u n t i n g p r a c t i c e s f o r d i r e c t c o s t s , f l a t r a t e f o r i n d i r e c t c o s t s , n o t i m e -s h e e t s f o r p e r s o n n e l w o r k i n g f u l l t i m e o n a p r o j e c t , p o s s i b i l i t y o f o u t p u t - b a s e d g r a n t s

7 . F e w e r, b e t t e r t arg e t e d c o n t ro l s an d au dit s

L o w e s t s p o s s i b l e l e v e l o f r e q u i r e m e n t s f o r s u b m i s s i o n o f a u d i t c e r t i f i c a t e s w i t h o u t u n d e r m i n i n g s o u n d f i n a n c i a l m a n a g e m e n t

A u d i t s t r a t e g y f o c u s e d o n r i s k a n d f r a u d p r e v e n t i o n

8 . I m p ro v e d ru l e s o n in t e l l e c t u al p ro p e rt y

B a l a n c e b e t w e e n l e g a l s e c u r i t y a n d f l e x i b i l i t y

T a i l o r -m a d e I P R p r o v i s i o n s f o r n e w f o r m s o f f u n d i n g

A n e w e m p h a s i s o n o p e n a c c e s s t o r e s e a r c h p u b l i c a t i o n s

S i m p l i f i c a ti on S i m p l i f i c a ti on

S u m m a r y S u m m a r y

S in g l e s e t o f s im p l e r an d m o re c o h e re n t p art ic ip at io n ru l e s N e w b al an c e b e t w e e n t ru s t an d c o n t ro l

Mo v in g f ro m s e v e ral f u n din g rat e s f o r dif f e re n t b e n e f ic iarie s an d ac t iv it ie s t o j u s t t w o

R e p l ac in g t h e f o u r m e t h o ds t o c al c u l at e o v e rh e ad o r

“in dire c t c o s t s ” w it h a s in g l e f l at rat e

Maj o r s im p l if ic at io n u n de r t h e f o rt h c o m in g f in an c ial re g u l at io n

S u c c e s s f u l ap p l ic an t s t o g e t w o rk in g m o re q u ic k l y : re du c t io n o f av e rag e t im e t o g ran t b y 1 0 0 day s (c u rre n t av e rag e o f aro u n d 3 5 0 day s u n de r F P 7 )

EUR OPEAN R ES EAR CH AR EA EUR OPEAN R ES EAR CH AR EA

( ER A)

( ER A)

E u r op ea n E u r op ea n R es ea r c h

R es ea r c h A r ea A r ea

ERA c o m p l e m e n t e d b y Ho r i z o n 2 0 2 0

Re m o v e s b a r r i e r s , o p e n t o t h e w o r l d a n d w i t h c o o p e r a t i o n w i t h t h i r d c o u n t r i e s

Si n g l e m a r k e t f o r k n o w l e d g e , r e s e a r c h a n d

i n n o v a t i o n

N ex t

N ex t S tep s S tep s

Fr o m 3 0 / 1 1 : Pa r l i a m e n t a n d Co u n c i l n e g o t i a t i o n s o n t h e b a s i s o f t h e Co m m i s s i o n p r o p o s a l s On g o i n g : Pa r l i a m e n t a n d Co u n c i l n e g o t i a t i o n s o n EU

b u d g e t 2 0 1 4 -2 0 ( i n c l u d i n g o v e r a l l b u d g e t f o r Ho r i z o n 2 0 2 0 )

Mi d 2 0 1 2 : Fi n a l c a l l s u n d e r 7 t h Fr a m e w o r k

Pr o g r a m m e f o r Re s e a r c h t o b r i d g e g a p t o w a r d s Ho r i z o n 2 0 2 0

Mi d 2 0 1 3 : Ad o p t i o n o f l e g i s l a t i v e a c t s b y Pa r l i a m e n t a n d Co u n c i l o n Ho r i z o n 2 0 2 0

1 / 1 / 2 0 1 4 : Ho r i z o n 2 0 2 0 s t a r t s ; l a u n c h o f f i r s t c a l l s

CON CLUS i ON S

CON CLUS i ON S

Conc l u s i ons Conc l u s i ons H or i z on

H or i z on 2 0 2 0 2 0 2 0

A b a l a n c e b etw een th e s c i enti f i c , i nd u s tr i a l a nd s oc i eta l p i l l a r s

Si m p l i f i c a t i o n

Mo r e s y n e r g i e s w i t h s t r u c t u r a l f u n d s

Ne w m e c h a n i s m " s t a i r w a y t o e x c e l l e n c e “

A s u b s t a n t i a l i n c r e a s e o f t h e b u d g e t f o r r e s e a r c h a n d i n n o v a t i o n : €8 0 b i l l i o n

A d e d i c a t e d f i n a n c i a l c o n t r i b u t i o n t o t h e EIT ( f r o m 3 0 0 m i l l i o n t o 3 b i l l i o n Eu r o s )

A s u b s t a n t i a l i n c r e a s e 7 7 % o f t h e b u d g e t f o r

Eu r o p e a n Re s e a r c h Co u n c i l

Conc l u s i ons Conc l u s i ons

E U r e s e a r c h a n d i n n o v a t i o n b r i n g s u n i q u e r e s p o n s e s t o a d d r e s s E u r o p e ' s s o c i e t a l c h a l l e n g e s w h i l s t s t i m u l a t i n g g r o w t h a n d j o b s

D o u b l i n g o f t h e f i n a n c i a n c i n g o f H o r i z o n 2 0 2 0 a n d b e t t e r s y n e r g i e s b e t w e e n t h e F P a n d S t r u c t u r a l F u n d s

H o r i z o n 2 0 2 0 – s i m p l i f i c a t i o n , m o r e t r u s t , f l e x i b i l i t y a n d e x c e l l e n c e b a s e d c r i t e r i a

P a r l i a m e n t a n d C o u n c i l n e g o t i a t i o n s o n t h e b a s i s o f t h e C o m m i s s i o n p r o p o s a l s t o b e a d o p t e d b y t h e e n d o f 2 0 13

F u r t h e r a n a l y s i s o f t h e d e t a i l s , n a m e l y o f t h e p a r t i c i p a t i o n r u l e s