Presente e futuro della ricerca europea: Horizon 2020 e Horizon Europe

1. Presente e futuro della ricerca europea: Horizon 2020 e Horizon Europe Francesco Ferlaino INFN

2. The National Institute for Nuclear Physics (INFN) • It is an Italian research organisation, founded in 1951, under the supervision of the Ministry of Education, Universities and Research (MIUR). • INFN promotes, coordinates and conducts theoretical and experimental research in the fields of subnuclear, nuclear and astroparticle physics and develops the relevant technology for use in this sector. • INFN is also involved in the applications resulting from fundamental research. Such applications have a significant impact on society and the national territory and represent an important stimulus for technological innovation in the country.

3. What's behind Horizon 2020? The European Union and its Research and Innovation Policy • 500 million people & 28 countries (still!) • 6% of the World's population • 20% of world expenditure on research • 27% of world scientific publications • 32% of high-impact publications • 32% of patent applications • Some of the best universities in the world • Some of the most innovative companies in the world

4. EU Research & Innovation Policy System Legislative Framework Basis for Cooperation: Lisbon TreatyInstruments: coordinating policies, guidelines and indicators, EU Research Framework Programmes, Art. 185 and Art. 187 initiatives Policy and Strategy Europe 2020 Strategy: EU growth and jobs strategy 2010-2020 Innovation Union: Flagship Initiative European Research Area: contractual target Horizon 2020 Research and Innovation Programme at EU level

5. Europe 2020 Strategy 3 Priorities Intelligent Growth Sustainable Growth Inclusive Growth 7 Flagship Initiatives Innovation Union Industrial Policy for the Globalisation Era New Skills and Jobs Digital Agenda Resource Efficient Europe European Platform against Poverty Youth on the Move 5 Core Objectives 75% of the population aged 20-64 employed 3% of the EU's GDP invested in R&D Under 10% early school leavers; >40% of population aged 30-34 have tertiary degree 20 million less people at risk of poverty 20/20/20 climate/ energy targets met

6. Context of EU R&I Funding Why a framework programme for R&I? High-level research is expensive Borders across disciplines are more and more blurred: a coordination action is needed A “critical mass” must be mobilised in order to support research Investments by single Member State on R&I are insufficient and unbalanced To coordinate policies, agendas and research priorities means to coordinate research funding programmes Solutions and resources must be integrated and optimised in order to address common challenges Knowledge diffusion must be promoted and research excellences must collaborate

7. Why Horizon 2020? • Horizon 2020 – Framework for Research & Innovation 2014 – 2020 (8th Framework Programme) • To ensure Europe produces world-class science and technology that drives economic growth • To bring EU investment on R&I up to 3% of total GDP by 2020 (to the levels of US and Japan) • To promote the private investment on R&I • To promote the European Research Area, for free knowledge circulation, researchers and technologies

9. Horizon 2020 - Specifics The EU Framework Programme for Research and Innovation 2014-2020 €87 billion (in 7 years) - The biggest public multinational research programme in the world A single programme covering the whole innovation chain Coupling research with innovation - «from lab to market» Focus on societal challenges: health, clean energy, transport, etc. Transdisciplinary approach Open to the World! Participation of companies, universities, institutes from all over the world

10. Horizon 2020 is a part of the EU Budget 2014-2020!

11. Horizon 2020 – Structure and budget breakdown (pillars) Excellence Science, research driven: Excellent science is the foundation of tomorrow’s technologies, jobs and wellbeing Industrial Leadership, industry driven: Strategic investments in key technologies; Support to innovative companies Societal Challenges, society driven: Address concerns of citizens and society/EU policy objectives; Multidisciplinary collaborations

12. Horizon 2020 structure (in details)

13. Budget breakdown in detail

14. Horizon 2020 Innovation Chain Societal challenges Industrial leadership Excellentscience Basic Research Large scale validation Demonstration Market uptake Technology R&D Prototyping Pilots

15. Technology Readiness Level in H2020 Excellent science • RIA Societal challenges • IA • SME instrument • (70%) Industrial leadership

16. Pillar 1 - Excellent Science European Research Council (ERC): the most talented and creative individuals and their teams to carry out frontier research Future and Emerging Technologies (FET): collaborative research to open up new and promising fields of research and innovation Marie Skłodowska-Curie Actions: mobility of researchers; focus on training and career development Research infrastructures: world-class research infrastructures (including e-infrastructures) accessible to all researchers in Europe and beyond

17. Pillar 2 - Industrial Leadership Leadership in enabling and industrial technologies (LEIT): crucial areas for the competitiveness of the industry(ICT, Nanotechnology, Materials, Biotechnology, Manufacturing and Processing and Space) Access to risk finance: leverage yet further private high-risk research and innovation (R&I) investments Innovation in SME: dedicated support for SME

18. Pillar 3 - Societal Challenges 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 resources in order to deal with the societal challenges budget share of 38,53% (about 26,5 billion EUR) Interdisciplinary approach and inclusion of cross-cutting issues (gender, sustainability, international cooperation…) Entire cycle from basic research to market uptake Stronger output orientation

19. Pillar 3 - Societal Challenges (2) Society driven

20. How Horizon 2020 works

21. How to participate in Horizon 2020 In standard (collaborative) research projects most of H2020 funding is allocated to collaborative research projects carried out by consortia of organisations working together on specific research areas As an individual researcher: European Research Council (ERC) and Marie Skłodowska-Curie actions (MSCA) As an individual Small or Medium-sized Enterprise (or as a group of SMEs) SME Instrument

22. How to participate in Horizon 2020 (2) Who can participate? General opening (for collaborative projects) - Any legal entity from anywhere in the world can be included in the consortium How to participate?(General minimum requirements for standard / collaborative research projects) at least three legal entities shall participate in an action; three legal entities shall each be established in a different Member State or associated country; the three legal entities shall be independent of each other

23. Who’s eligible for funding? Any legal entity established in a Member State or associated country, or created under Union law; Any international European interest organisation; Any legal entity established in a third country identified in the work programme (Annex A) International Cooperation! If a legal entity established in a third country not eligible for funding (advanced countries and emerging economies), funding from the Union may be granted provided that at least one of the following conditions is fulfilled: a) there’s a bilateral scientific and technological agreement between the EU and the country; b) the country is explicitly identified in the relevant work programme and call for proposal; c) the participation is deemed essential for carrying out the action

24. General funding for organisations from the EU and Countries Associated to H2020 EU Member States (28) Associated Countries (16) Albania, Armenia, Bosnia & Herzegovina, Faroe Islands, Georgia, Iceland, Israel, Macedonia (FYR), Republic of Moldova, Montenegro, Norway, Serbia, Tunisia , Turkey, Ukraine, Switzerland Source: DLR-PT

25. How to apply for funding The project has to be presented in response to a call for proposal How calls for proposal work Information on calls and on participation procedures can be found in the biannual Work Programmes and on the Participant Portal (now, SEDIA): https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/programmes/h2020 Each call includes a certain number of topics, to be addressed when submitting a project proposal Calls are either annual or biannual, depending on the topic The proposal can either be presented on a single stage or on a two-stage process

26. Horizon 2020: good-to-know rules Three main types of actions (projects): Research and Innovation actions (RIA), Innovation actions (IA), Coordination and Support actions (CSA) Simplified financial rules to prior Framework Programmes: Basic co-funding rates: 100% (RIA, CSA), 70% (IA) Indirect costs: Flat rate of 25% of total direct costs Three evaluation criteria: Excellence, Impact, Implementation Time to Grant: Max. 8 months

27. From the idea to the project

28. Keep in mind: «European money for European targets!» Know the important EU-Topics, “think between the lines“ Clarify the European added value Make reference to European targets Emphasise issues/aspects, which are relevant for the EU and that could occur in the proposal Show that you have understood the context of the call you are applying for

29. Horizon 2020 - Useful links Funding Opportunities: SEDIA (ex Participant Portal) https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/programmes/h2020 Reference documents (Legal Texts) https://ec.europa.eu/research/participants/portal/desktop/en/funding/reference_docs.html Horizon 2020 Manual http://ec.europa.eu/research/participants/docs/h2020-funding-guide/index_en.htm APRE website (IT): http://www.apre.it/ricerca-europea/horizon-2020/

32. Beyond Horizon 2020…Horizon Europe, the EU R&I Framework Programme 2021-2027

33. The path towards Horizon Europe July 2020 January 2020 January 2021 July 2019 July 2018 January 2019 German Presidency of the Council BREXIT EU Elections New European Commission ? Council Reaction (Partial General Approach?) (Nov 2018) Horizon Europe APPROVED MFF / Horizon Europe negotiations (NEW Parliament + Council) MFF / Horizon Europe negotiations (Parliament + Council) Trilogue? (Jan-Mar 2019) Commission Proposal (June 2018) Vote in ITRE Committee (Nov 2018) Strategic Plan ADOPTED Horizon Europe Strategic Planning process Open Consultation (1st Semester 2019?) First strategic discussions on Missions and Partnerships - EC + Member States + Parliament (2nd semester 2018) Horizon Europe 2021-22 WP ADOPTED Horizon 2020 2020 WP ADOPTED Horizon 2020 Work Programme 2020 Preparation Horizon Europe - Work Programme Preparation (Shadow Programme Committee?) WP 2021-22 Preparation (1st and 2nd Semester 2020) June 2019

36. Horizon Europe ARCHITECTURE and GOVERNANCE

38. Global Challenges & Industrial Competitiveness:

39. Open Innovation: stimulating market-creating breakthroughs and ecosystems conducive to innovation Innovation Ecosystems • Connecting with regional and national innovation actors European Innovation Council • Support to innovations with breakthrough and market creating potential EIT • Bringing key actors (research, education and business) together around a common goal for nurturing innovation

40. European Innovation Council European Innovation Council Will help creating markets of the future, scale up companies, provide more accessible and user-friendly support, leverage private finance, more entrepreneurship and risk-taking The EIC will support innovations with breakthrough and market-creating potential that currently face high risks due to the fragmentation of the innovation eco-system, lack of risk finance and risk aversion. Two complementary instruments: Pathfinder: grants (from early technology to pre- commercial) Accelerator: mainly EIC blended finance (from pre-commercial to market & scale-up)

41. European Innovation Council FTI Otheractions One stop shop for innovators Pathfinder: grants (from early technology to pre- commercial) Accelerator: mainly EIC blended finance (from pre-commercial to market & scale-up)

42. Horizon Europe MISSIONS

43. Missions in Horizon Europe A mission will consist of a portfolio of actions intended to achieve a bold and inspirational as well as measurable goal within a set timeframe, with impact for science and technology, society and citizens that goes beyond individual actions To generate more impact, achieve better outreach, improve cross-sectoral and cross-disciplinary cooperation, encourage a systemic approach and align R&I instruments and EU agendas Concrete missions will be co-designed with Member States, stakeholders and citizens during implementation (strategic planning)

44. Horizon Europe budget – € 94.1 bn

45. Horizon Europe NEW APPROACH T0 PARTNRSHIPS

46. Contractual Public-Private PartnershipsJoint Technology Initiatives (JTIs) • Innovative Medicines 2 (IMI2): to developnext generation vaccines, medicines and treatments, suchas new antibiotics ( • FuelCells and Hydrogen 2 (FCH2): to accelerate market introduction of clean and efficienttechnologies in energy and transport • CleanSky 2 (CS2): to developcleaner, quieteraircraft with significantlyless CO2 emissions • Bio-basedIndustries (BBI): to use renewablenaturalresources and innovative technologies for greenereverydayproducts • Electronic Components and Systems for European Leadership (ECSEL): to boostEurope’selectronics manufacturing capabilities • Shift2Rail: to developbettertrains and railwayinfrastructurethatwilldrastically reduce costs and improvecapacity, reliability and punctuality • High Performance Computing (HPC): new Factories of the Future Energy-efficientBuildings European Green VehiclesInitiative SustainableProcessIndustry Photonics Robotics High Performance Computing Advanced 5G networks for the Future Internet

47. Key features New approach to European Partnerships • Simple architecture and toolbox • Coherent life-cycle approach • Strategic orientation Partnerships with public or private sector partners can achieve certain Horizon Europe objectives more effectively than the Union alone. A new generation of objective-driven and more ambitious partnerships in support of agreed EU policy objectives are planned to be set up. • There will be THREE levels of partnerships: • (a) co-programmed, based on memoranda of understanding or contractual arrangements with partners; • (b) co-funded, based on a single, flexible programme co-fund action; • (c) institutionalised partnerships (based on Articles 185 or 187 TFEU, and the EIT Regulation for the Knowledge and Innovation Communities)

48. Horizon Europe Access to risk Finance and FINANCIAL INSTRUMENTS

49. The programmes replaced by InvestEU (15.7 BL)

50. Simple and agile Rules for Participation Types of actions • RIA, IA, CSA • ERC • Training and mobility action • Programme Co-fund action • Pre-commercial procurement, Public Procurement of innovation • Inducement prize • Innovation and market deployment actions (innovation to market, company scale up, blended finance) • Continued principle of a single set of rules with further improvements • Improved evaluations based on experience • Stable funding model • Further simplification of real reimbursement model (e.g. broader acceptance of usual cost accounting practice) • Increased use of simplified forms of grants where appropriate (lump sums)