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GENERAL INTRODUCTION TO HORIZON 2020 PROGRAMME: SOCIETAL CHALLENGES & MAIN PARTICIPATION ISSUES
DR. MARINA MARTÍNEZ-GARCIASOST-CDTI, OFICINA DE CDTI EN BRUSELAS
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Index…Part‐I: Overall Context of H2020Part‐II: Who manages whatPart‐III: How the evaluation will bePart‐IV: Highlights on Participation RulesPart‐V: Societal Challenges insight
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Part‐I: Overall Context of H2020 …
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Ya en 2010 la EC apuntó una serie de retos/desafíos…
Recuperación económica, Creación de empleo, Educación, mobilidad & nuevas capacidades, Lucha contra la pobreza, Mejora de la competitividad Industrial, Canvio Climático & recursos naturales…
Estrategia Europa‐2020…
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Empleo: 75% de personas entre 20 y 60 años de edad
Inversión en I+D 3% del PIB
Cambio climático/energía Emisiones de gas efecto invernadero 20% (ó 30%) inferior al valor en 1990 20% de la energía producido por renovables 20% de aumento en la eficacia de la energía
Educación Reducción por debajo del 10% de la tasa de abandono escolar Alcanzar como mínimo el 40% de personas entre 30 y 34 años de edad
que completen educación de tercer nivel Pobreza y exclusión social
Disminuir en 20 millones el número de personas ya pobres y excluídassocialmente o con riesgo de caer en la pobreza y en la exclusión social.
Objetivos de la estrategia Europe‐2020…
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El aumento es inversión en I+D+i es UNO de los factores de apoyo alcrecimiento económico (y a la salida de la crisis Economía basada en elconocimiento y valor añadido EU), PERO no el único.
Respecto a la inversión en I+D…
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Caso particular de España: Gasto I+D
*Fuente: INE – Instituto Nacional de Estadística
Porcentaje de gasto en I+D respecto al PIB a precios de mercado. Total España
Porcentaje de gasto en I+D respecto al PIB.
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Relación Innovación vs salida de la crisis...
2005 2010 2005‐2010
TOTAL España 49.690 35.226 ‐29,11%Andalucía 6.323 4.235 ‐33,02%Aragón 1.445 1.270 ‐12,11%Asturias 815 660 ‐19,02%Baleares 766 748 ‐2,35%Canarias 1.822 1.123 ‐38,36%Cantabria 523 485 ‐7,27%Castilla ‐ La Mancha 1.556 1.252 ‐19,54%
Castilla y León 1.990 1.536 ‐22,81%Cataluña 11.217 7.441 ‐33,66%Ceuta 16 12 ‐25,00%Comunidad Valenciana 5.993 3.623 ‐39,55%Extremadura 635 445 ‐29,92%Galicia 2.302 2.123 ‐7,78%La Rioja 434 492 13,36%Madrid 8.310 5.252 ‐36,80%Melilla 25 9 ‐64,00%Murcia 1.488 1.148 ‐22,85%Navarra 985 797 ‐19,09%País Vasco 3.046 2.576 ‐15,43%
Estadística sobre actividades en I+DAño 2011. Resultados avance (INE)
El gasto interno en Investigación yDesarrollo (I+D) registró en el año 2011 undescenso del 4,1% respecto al año anterior.El gasto empresarial en I+D disminuyó un5,4% respecto a 2010, mientras que el gastoconjunto de la administración pública y de laenseñanza superior registró un descenso del3,3%.El número de personas dedicado aactividades de I+D, en equivalencia ajornada completa, se redujo un 4,1% en elsector empresarial y disminuyó un 2,9% enel conjunto de la administración pública y dela enseñanza superior.
Empresas EIN: Recoge todas aquellas empresas tecnológicamente innovadoras en los últimos tres años o con innovaciones tecnológicas en curso o no exitosas (INE, 2012)
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Crecimiento Inteligente
– Agenda digital para Europa http://ec.europa.eu/information_society/digital‐agenda/index_en.htm– Unión por la Innovación http://ec.europa.eu/research/innovation‐
union/index_en.cfm– Juventud en movimiento http://ec.europa.eu/youthonthemove/index_en.htm
Crecimiento Sostenible
– Una Europa que utilice eficazmente sus recursos http://ec.europa.eu/resource‐efficient‐europe/index_en.htm
– Política industrial para la era de la mundialización http://ec.europa.eu/enterprise/policies/industrial‐competitiveness/industrial‐policy/index_en.htm
Crecimiento Inclusivo
– Una agenda de nuevas cualificaciones y empleos http://ec.europa.eu/social/main.jsp?langId=es&catId=958
– Plataforma europea contra la pobreza http://ec.europa.eu/social/main.jsp?catId=961&langId=es
Cómo atacar los retos/desafíos? Flagship Initiatives…
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MFF 2014 – 2020(Propuesta de la CE de 29 de junio de 2011)
OthersCohesion Policy (CP) Horizon‐2020 COSME
Crecimiento Inteligente y Crecimiento Inclusivo (€491 bn) Crecimiento Sostenible, Recursos Naturales (€383 bn) Seguridad y Ciudadanía (€18,5 bn) Europa mundializada (€70 bn) Administración (€62,6 bn)
Total: €1.025 bn
Con qué medios? Multianual Finance Framework (MFF)…
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Conjunto único de normas de participación más simples ymás coherentes y nuevos instrumentos de financiación
Nuevo equilibrio entre confianza y control Pasar de varios porcentajes de financiación para diferentes
beneficiarios y actividades a sólo dos Substitución de los cuatro métodos para calcular los costes
indirectos por una única “flat rate” Simplificación importante en el reglamento financiero
futuro Reducción en el tiempo promedio para la obtención de la
subvención a 100 días (el promedio actual en el FP7 es deunos 350 días).
Qué mejoras generales incluye H2020?
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La cadena de I+D+i irá desde investigación básica, pasando pordesarrollo tecnológico, demostración, valorización de los resultadosinnovadores
Potenciar el empleo de jóvenes científicos así como deemprendedores
Mayor coordinación con los FONDOS ESTRUCTURALES RIS3 Financiación:
Parlamento EU proponía pasar de 52.000M€ en FP7 a 100.000M€para H2020
Comisión EU proponía 87.740M€ Presupuesto final dependerá de las negociaciones entre
Parlamento, Consejo & Comisión Votación esta semana enEU‐Parliament < 72.000 M€.
Algunos aspectos importantes en H2020…
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Del FP7…
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Pilar-2: Industrial Leadership Leadership in enabling and industrial
technologies ICT Nanotechnologies & Advanced materials Biotechnologies & Advanced
manufacturing and processing Space
Access to risk finance Equity facility; Debtfacility (loans, guarantees..)
Innovation in SMEs EUROSTARS. Dedicated SME instrument.
Pilar-1: Excellence in the Science Base Frontier research (ERC)
Future and Emerging Technologies (FET)
Skills and career development (Marie Curie)
Research infrastructures
Shared objectives and principles
Common rules, toolkit of funding schemes
Pilar-3: Societal Challenges Health, demographic change and wellbeing Food security, sustainable agriculture, marine
and maritime research, and the bioeconomy Secure, clean and efficient energy Smart, green and integrated transport Climate action, resource efficiency and raw
materials Inclusive and innovative societies Secure societies
EIT will contribute to addressing all challenges
… Al H2020
EIT
Widening Ciencia por y para la sociedad
JRC no nuclear
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Convocatorias competitivas (a través de los programas de trabajo)Proyectos, CSAs, ERANets, Demos, RSFF, proof of concept, co‐fund,compras pre‐comerciales, premios…
Grandes Iniciativas‐estrategias (no nesariamente a través de losprogramas de trabajo):
European Institute of Technology (EIT) Knowledge InnovationCommunities (KICs)European Research Aliances miniprogramasInter‐nacionalización de Programas Nacionales JoinProgramming (JPI)Asociaciones Público‐Privados “Antiguas” PPP (contractualPPPs) y JTIs (institutional PPPs)
Cómo se implementará?
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Part‐I: Who manages what …
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Externalisation in order to achieve more quality, efficiency and consistency ofimplementation… Executive Agencies (EAs) will be expanded to realise economies of scale Further use of Public‐Private Partnerships (with industries & with member
states) Increased use of innovative financial instruments i.e., EIB.
More extensive recourse to existing EAs (NO new EAs but reviewing asnecessary mandate of existing ones)
Commission will maintain direct management in areas linked to core policycompetences
Summary of the proposal for managing H2020…
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External Agencies (EAs)
The Research Executive Agency ‐ REA
The European Research Council Executive Agency ‐ ERCEA
The Executive Agency for Competitiveness and Innovation – EACI
The Innovation and Network Executive Agency – INEA (ex TEN‐TEA)
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The REA
H2020 € 13,903 m• FET Open• Marie Skłodowska‐Curie• “ICT” and “Space” part of LEIT• The “Food” Challenge• The “Inclusive Societies” Challenge• The “Secure Societies” Challenge• Widening Participation• Science with&for Societies
FP7 € 2,421 m• People SP• “Space” and “Security” of the Cooperation SP• SME of the Capacity SP
Administrative & Logistical Support Services
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The ERCEA
H2020 € 12,666 m
• The European Research Council
FP7 € 5,537 m
• Ideas SP
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The EACI
H2020 € 6,890 m• Innovation in SMEs• The SME instrument• The Fast Track to innovation pilot• The “Climate” Challenge• The “IEE” part of the “Energy” Challenge
COSME € 733 m
LIFE € 2,221 m
European Maritime and Fisheries Fund € 595 m
CIP € 430 m
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The INEA
H2020 € 6,421 m• The “Energy” Challenge• The “Transport” Challenge
CEF (Connecting EU Facility) € 30,014 m
TEN‐Transport € 3,270 m
Marco‐Polo € 210 m
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Annex I. C. – tasks reserved for the CommissionThe Agency shall not manage actions explicitly specified in the H2020 Work Programme as directly aimed at:
(a) Supporting the development and implementation of evidence based R&I policies involving various stakeholders,
(b) Public-Public Partnerships with Member States and Associated States (P2P), Technology Platforms (ETPs) with industrial partners and Earth Observation Networks;
(c) Promotion of coherent and effective cooperation with third countries; (d) Pilot activities. i.e., Demonstration projects.
ATTENTION: This is not a complete list. Annex I. A. list exceptions that are valid for each delegated programme. i.e., GSA will manage Galileo side in Space LEIT
Activities kept "in house"
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But… there will be some Common Support Services!
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The Common Support Centre
Legal service
Business processes
IT systems for programme and grant management
Collection and production of data and statistics
Audit service
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Call planning
Support for call publication
General logistical support for the evaluations
Contracting and payment of independent experts
Validation of legal entities
Preparation of legal entities financial viability assessment
Management of the Research Enquiry Service
Centralised handling of evaluation review requests
Maintenance of the National Contact Points database
The Common Support Centre
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REA Administrative & Logistical Support Services – Programmes’ supported
Horizon 2020
Erasmus for All
Creative Europe
EU Aid Volunteers
COSME
Health for Growth Programme
The new Consumer Programme
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Part‐III: How the evaluation will be …
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Time‐line of a call in Brussels…
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Basic principles of the evaluation process (1/2)
Excellence Projects selected for funding must demonstrate a high qualityin the context of the topics and criteria set out in the calls.
Transparency Funding decisions are based on clearly described rulesand procedures, and applicants should receive adequate feedback on theoutcome of the evaluation of their proposals.
Impartiality All proposals submitted to a call are treated equally. They areevaluated impartially on their merits, irrespective of their origin or the identityof the applicants.
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Basic principles of the evaluation process (2/2)
Confidentiality All proposals and related data, knowledge and documentscommunicated to the Commission are treated in confidence.
Efficiency and speed Evaluation, award and grant preparation should be asrapid as possible, commensurate with maintaining the quality of the evaluation,and respecting the legal framework. Time to grant is now about 7-9 months.
Ethical and security considerations Any proposal which contravenesfundamental ethical principles, or which fails to comply with the relevant securityprocedures may be excluded at any time from the process of evaluation,selection and award.
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The actors…
The evaluators = independent experts The rapporteur NO opinion… only takes notes/minutes of
the meetings. EC&Eas staff Observers Gives advice on the fairness/transparency of the
process to MS & EC.
Evaluation’sprocess
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The evaluators…
They are experts chosen from a public data base from what the EC has ensurehaving:
A high level of expertise on (some of) the matters related to the topic to beevaluated Commission staff allocates proposals to individual experts takingaccount of their fields of core expertise and avoiding conflicts of interest.
The appropriate range of competencies for being able to evaluate.
Every topic is evaluated by a panel of at least 3 experts considering: An appropriate balance between academic, industrial, busines & market
uptake skills & expertise and end-users, entrepreneurs (for the SMEsintrument);
A reasonable gender balance; A reasonable distribution of geographical origins; Regular rotation of experts
In addition, experts must have: Abilities to appreciate the industrial and/or
societal as well as innovation dimension ofthe proposed work.
Appropriate language skills required forthe proposals to be evaluated.
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Role of the experts… they were the heart of the FP7 system and will continue to be in H2020
They provide independent, impartial and objective advice to the ECSignificant funding decisions will be made on the basis of expert advice.
The integrity of the process is crucial Experts have to read the Code ofConduct annexed to the “appointment letter”…which is a contractualrelationship with EC.
Travel and subsistence reimbursed Experts sign confidentiality and conflict of interest
declaration
They participate in the evaluations but also in “hearings” with the consortia
Names published after the evaluations
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Role of the Commission…
To check the eligibility of the proposals
To oversee work of experts
To moderate discussions
To organise the panel and its work
To ensure coherence and consistency
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Overall description of the evaluation process…
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Specific description by evaluation panel…
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Before starting to evaluate…
Application have to be sent ON DUETIME
Minimum number of participant in theconsortium
Do not be out of the scope regarding thetopic addressed
Additional specific criteria depending onthe instrument, the action or theinitiative/topic, i.e.,Max budgetConsortium constrains Example:SMEs instrument has to be leaded byan SME…
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Evaluation criterias in FP7…
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Evaluation criterias in H2020…
Operational capacity (selection criteria) As a separate step inn the evaluation,experts must indicate weather the members of the consortium possess at least theminimum competences needed to carry out the proposed work.
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Scoring scale…