Slides from Carlos Martínez Riera presenting how to develop regional innovation ecosystems through RIS3, Horizon 2020 and European partnerships. Those slides are part of the conference "Position and strategies of the universities in the new European scenario of R&D and innovation: Horizon 2020, KICs and RIS3" held at Universitat Politècnica de València last December 18th 2013 as part of the VLC/CAMPUS activities

1. Horizon 2020
Challenges &
Opportunities for Spain
Carlos Martínez Riera
Counsellor for Research and Innovation
Spanish Permanent Representation to the EU
Valencia, 18 December 2013

2. THE CONTEXT

3. H2020 IN CONTEXT: The landscape
KNOWLEDGE
TRL* 1 2
3
4
VALLEY OF DEATH
5
6
7
8
European Innovation Partnerships (EIPs)
MARKET
9
EU
H2020
Excellent
Science
Member States & Regions
*TRL: Technology Readiness level
Societal Challenges
Higher
Education
Industrial
Leadership
Private Sector

4. H2020 IN CONTEXT: The budget
(Current prices):
508
77.03 bn H2020
+ 2.37 bn Euratom
----------------------€ 79.40 bn
420
18
65
69.5
TOTAL
€ 1,082.55 bn
H2020
7,3%
of the EU
budget

5. +52,5% Presupuesto
H2020 / 7 PM
Europe 2020 prioridades
Widening 816,5 M€
Ciencia por y para la sociedad 462 M€
77.028 M€ (a precios corrientes)
Retos Sociales 29.679 M€
Salud, cambio demográfico 7.472 M€
Seguridad alimentaria y Bio-economía
Energía segura y eficiente 5.931
Transporte inteligente, verde 6.339
Clima, eficiencia y materias primas
Sociedades inclusivas e innov 1.309
Seguridad
1.695
≈+56%
20% PYME
Liderazgo Industrial 17.015
M€
ICT
7.711
EIT
Nanotecnologías, Materiales,
Biotech, Fabricación 4.367
2.711 M€
Espacio
≈x9
34,6%
≈+13,5%
1.479
Financiación de riesgo 2.842 M€
PYME e innovación 616 M€
22,1%
Ciencia Excelente 24.441 M€
Investigación de frontera (ERC) 13.095 M€
+74%
Tecnologías futuras y emergentes (FET) 2.696 M€
x9
Movilidad y formación (Marie Curie) 6.162 M€
Infraestructuras de investigación 2.488 M€
31,7%
+71,2%
JRC no nuclear 1.902 M€
Source: CDTI

6. H2020: only a small part
Source: European Commission

7. H2020 IN CONTEXT: The landscape
KNOWLEDGE
TRL* 1 2
3
4
VALLEY OF DEATH
5
6
7
8
European Innovation Partnerships (EIPs)
MARKET
9
EU
H2020
Excellent
Science
P
o
s
s
i
b
l
e
Industrial
Leadership
Societal Challenges
≈50
%
≈50
%
P2P: ERA Nets
Joint Programmes Art. 185
EU-Member States
Member States & Regions
*TRL: Technology Readiness level
25
%
PPP: JTI Art 187
EU-Private Sector
KICs
EU-Private Sector-Universities
JPI
National Joint programmes
EIT
Higher
Education
Private Sector

8. SPANISH RESULTS IN
PREVIOUS FRAMEWORK
PROGRAMMES

9. Spanish results in FP7
Source: European Commission

10. FP7 Spain: funds granted share by type of beneficiary
Source: CDTI

11. Spanish Results in FP7: Universities
Source: CDTI

12. Spanish results in FP7: Universities
Increase in Funds Granted in FP7 vs FP6
Source: CDTI

13. The Valencian Region in FP7
Funding (Euros) granted per type of Beneficiary (Total 201 M€)
80,000,000
69,099,489
70,000,000
57,956,456
60,000,000
50,000,000
38,190,197
40,000,000
30,000,000
22,777,380
20,000,000
10,000,000
6,068,288
1,503,105
5,387,106
0
Source: CDTI

14. The Valencian Region in FP7
Funding granted per type of Beneficiary
PUBLIC
ADMINISTRATION, 0.7
5%
ASSOCIATION, 3.02%
RESEARCH
ASSOCIATION; 2,68%
UNIVERSITY, 34.34%
CENTRO DE
INNOVACION Y
TECNOLOGÍA; 18,98%
PUBLIC CENTRE FOR
RESEARCH, 11.32%
ENTERPRISE, 28.80%
Source: CDTI

15. Valencia and the Valencian University in FP6 and FP7
Increase in Funds Granted in FP7 vs FP6
Adjudicado
VI PM
(M€)
Universidad
5.330
UE
Universidad
252
ES
Adjudicado
15.760
UE
España
942
79
C. Valenciana
34
Univ. C. Val.
VII PM
VII/VI -1 PM
14.851
179%
583
132%
34.655
2.501
201
69
120%
166%
154%
105%
Source: CDTI
Source: CDTI

16. Valencian Universities: FP7 funds in RTD investments
1/50th of the Research funds in the Valencian Universities comes from FP7
1/10th of the competitive funds for RTD comes from FP7 sources
Source: RUVID

17. Top 25 of Spanish
Beneficiaries in FP7
Between
brackets, ranking of
Spanish Universities
12 (6)
Source: CDTI
21 (11)

18. H2020: CHALLENGES AND
OPPORTUNITIES

19. New challenging features of H2020

Bigger projects in terms of funds, smaller in terms of
partners
 20% of Spanish University participations are under 70.000 €

The new focus on innovation requires higher levels of
interaction with Companies and result-oriented approaches
 Special attention to be given to consortium agreements with regards to IPR

Externalisation: JTIs and Initiatives P2P (Art 185) absorb
substantial budgets (10% in total, with 36% in Health and
42% in Transport)
 JTIs in particular have specific eligibility rules and/or not all their budgets
are accessible through open call for proposals

Fiercer competition: UE13 (more recent Member States)
progress very rapidly

20. New opportunities

New integrated approach to Research and Innovation
 Opportunities for exploitation

Increased budget
 More funds in general
 “Bonus scheme”: topping up of salaries up to € 8.000 per year FTE.


Less prescriptive calls: increased bottom-up approach
Simplification:



Better funding of projects for non-profit organisations (100% direct costs + 25%
as indirect costs)
Less reporting, less red-tape
Simpler evaluation criteria: Excellence, Impact, Implementation



For ERC, only Excellence criterion
Possible to combine H2020 funding with other funds, namely
Structural Funds
UE13 countries still with very low return rates
 Widening (Teaming, Twinning, ERA Chairs): opportunities for international
positioning

21. SPANISH OBJECTIVES FOR
H2020

22. SPANISH RETURN OBJECTIVES FOR H2020
Source: Ministry of Economy and Competitiveness

23. SPANISH RETURN OBJECTIVES FOR H2020
Source: Ministry of Economy and competitiveness

24. SPANISH RETURN OBJECTIVES FOR H2020
Source: CDTI

25. UNIVERSITIES:
H2020 AS DRIVER FOR
BETTER RESEARCH AND
MODERNISATION

26. VLC CAMPUS OBJECTIVES

VLC Campus Objectives (simplified)
 VLC Campus as a Knowledge hub of international
excellence focused on: Health, ICT and sustainability
– “Widening” activities: opportunity for international positioning of
VLC Campus.
 Improvement of the education portfolio: a student-centric
approach
 Fostering talent attraction and retention
 Leading the change in the territory towards a more
knowledge-intensive economy
 Reference model for innovative and socio-cultural values
for a sustainable economy and society
H2020 may help in achieving these objectives

27. Building the European Research Area

Recommendations of the 2013 ERA Progress Report*







Infrastructures: There is a need for more transparency of the conditions for transnational
access to research infrastructures
Mobility: A co-ordinated effort is needed by Member States and institutions to ensure that all
research positions are subject to open, transparent and merit-based recruitment practices.
Member States should remove barriers preventing the implementation of access to, and
portability of, national grants, and research funding organisations must intensify
cooperation to facilitate the process.
Doctoral Training: Member States, research funding and research performing organisations
are encouraged to promote a wider uptake of the innovative doctoral training principles,
including, where appropriate, through use of the European Structural and Investment Funds.
(ERA Chairs)
Gender: Member States should implement comprehensive strategies of structural change to
overcome gender gaps in research institutions and programmes.
Open access: Member States should continue deploying efforts in implementing Open Access
to publications, and continue setting an adequate policy framework for Open Access to data,
while taking into consideration IPR issues, notably in the case of private sector involvement in
research
Knowledge transfer: Member States need to further define, implement and assess national
knowledge transfer strategies to deliver a structural and cultural change in the research and
innovation system and increase the economic and social impact of research
Digital ERA seamless online access to digital research services for collaboration, computing
and accessing scientific information; the federation of electronic identities for
researchers, which facilitates researchers' cross-border access to services and resources; and
harmonised access and usage policies for e-infrastructures and digital research services
* ec.europa.eu/research/era/pdf/era_progress_report2013/era_progress_report2013.pdf

28. Valencian Universities: Personnel employed in Research
Source: RUVID

29. Valencian Universities: Personnel employed in Research
Source: RUVID

30. STRATEGIC APPROACH

31. Avenues for action: more funds for better research

Large margin for improvement
 Mobilisation of new participants
 Leadership of projects
 More ambitious projects

Explore opportunities in all areas of H2020








ERC grants
Mobility Grants of the Marie S. Curie Actions
Future and Emerging Technologies
Societal Challenges
PPPs and P2P
EIT KICs
Widening Actions: Teaming, Twinning, ERA Chairs
Better interaction with Structural funds
 Need for a coordinated action with Regional and National Authorities
managing Structural Funds. Link with RIS3

32. Avenues for action: supporting structures

Due support through dedicated structures (project offices) for
the promotion of participation in H2020

Proactive: Identification of opportunities - orientation on calls and
large initiatives.

Turn-key solutions to research groups: preparation of proposals
and project management and reporting

Professional consultancy on IPR and dissemination Liaison with
Regional, National and European resources:




National Contact Points
Enterprise Network
Offices in Brussels: CSIC, SOST, Regional offices
Optimisation of know-how, resources, networks
Professional Managers

33. Need for a strategy with clear objectives

H2020 budget:
77.028 M€

Possible quantitative targets:
 Objective for Spain in 2020: 5.000 M€
 Valencian Region:
500 M€
 Universities:
150 M€ (20 M€ per year)
– 25 ERC grants by 2020 (14 in FP7)
– 1,000 funded activities. Leadership in 30% of them
– At least, 15% of total competitive public funding from H2020

Coupled with National (H2020 incentives plan) and Regional
(RIS3) strategies

34. H2020: also a driver for structural change


H2020 funding, as compared to Structural Funds, requires less
administrative effort, provides higher level of co-financing and does
not require intermediaries nor pre-conditions
A smart combination of H2020 funds and Structural Funds may
help in Modernising Universities
 Infrastructures
– Improvement, networking, access
 Openness
– Real opportunities for open recruitment and transnational funding
– Trans-national Evaluation
 Gender balance
 Administrative adaptation
– Analytical accountancy to identify more costs as reimbursable direct costs
– Salaries policy to benefit from Bonus scheme
 Open Access to publications and research results
– Costs of open publishing covered by H2020

35. NO STRATEGY WITHOUT
RESEARCHERS

36. Shared objectives: from governance to actors

It is not sufficient that policy makers and managers subscribe the
strategy

It is essential to translate these objectives downstream in the
governance structure to the University researchers
 Establishing objectives at Department/Group level
 Spreading awareness and promoting participation

More implication of researchers is a pre-condition
 As applicants/partners/leaders
 As evaluators/experts
 As Seconded National Experts in the EC

37. Promoting action: push and pull forces
Push
Incentives
Resources
Legislation
System
Strategies
Policies
Programmes
Environment
Incorporate
Pull
Results
Excellence
Competitveness
Impact
Assessed
Against
Standards
Objectives
Openness
Excellence
Alignement
Prioritisation
National and
Regional Plans
University
objectives
Recognition
Awards

38. Questions for the debate

A cultural shift is needed towards a shared responsibility in
improving participation in H2020
 Is there sufficient awareness, information and motivation of researchers
in Universities to contribute to improve the participation in H2020?
 Do they feel concerned by these objectives?

H2020 can contribute to the progress in the modernisation of
Universities (particularly openness). In turn, modernisation will
make Universities more competitive, but it will impose more
internal competition
 How to match researchers’ career expectations with the effective and
active opening of University positions to everyone in Europe?
 Would a candidate to a University Presidency (Rector) who incorporates
the ERA objectives as part of his/her programme ever win an election?

39. ESHORIZONTE2020.es

40. H2020 Participants’ Portal
(http://ec.europa.eu/research/participants/portal

41. Gracias por su atención