contractual public-private partnerships in horizon 2020 · commission identified possible areas for...

Policy Research and Innovation

Evento PPPs 21 Gennaio 2014

Contractual Public-Private Partnerships

in Horizon 2020

Andrea GENTILI

DG Research and Innovation


Horizon 2020: Key elements

• A single programme with three pillars: societal

challenges, industrial competitiveness and excellence in science

• More emphasis on innovation

• More involvement of industry via the industrial deployment of key enabling technologies, and through PPPs - institutional and contractual

• Simplified access for all stakeholders


Horizon 2020 is different

A strong challenge-based approach, allowing applicants to have considerable freedom to come up with innovative solutions

Emphasis on innovation, with continuing support for R&D (research and innovation actions with 100% funding; innovation actions with 70% funding)

Less prescriptive topics, strong emphasis on expected impact

A strategic approach, with two-year work programmes

Focus areas bring together different technologies, along entire innovation chain

Cross-cutting issues mainstreamed (e.g. social sciences, gender, international cooperation)

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Why Public-Private Partnerships in Horizon 2020?

• To solve problems together with industry

• To strengthen European industrial leadership

• To facilitate prioritisation of R&I in line with the Europe 2020 objectives and industry needs

• To leverage research and innovation elements

• To strongly commit industry to joint objectives


Experience until now: PPPs in FP7

Joint Technology Initiatives "Contractual" PPPs

• Innovative Medicines Initiative (IMI)

• Clean Sky

• Single European Sky ATM Research (SESAR)

• Fuel Cells and Hydrogen (FCH)

• Embedded Computing Systems (ARTEMIS)

• Nanoelectronics (ENIAC)

• Factory of the Future (FoF)

• Energy-efficient Buildings (EeB)

• Green Cars (GC)

• Future internet (FI-PPP)


Outcome of "contractual" PPPs in FP7

• Quick response in defining the strategy via Roadmaps

• Efficient calls with better success rates and time-to-grant

• 366 projects supported, with 4409 participations

• Increased participation of industry (57%) and SMEs (25%)

• More innovation related activities, including demonstration

• The full EC contribution of € 1.6 billion has been provided, resulting in a combined investment of €2.4 billion


• Contractual PPPs: budget is only committed on an annual basis through H2020 calls in WPs, prepared on the basis of an industry-developed multi-annual roadmap and a contractual arrangement which specifies an indicative 7 years EU funding, and the commitments of industry to match this and to additional investments outside the PPP calls with high leverage factors, but not legally binding.

• Joint Technology Initiatives: like the contractual PPPs, but with ring fenced 7 year budget, the JU launching the calls (where derogations to H2020 are possible) and with the additional commitments of industry outside the calls inserted in the legislation.

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Two types of PPPs in Horizon 2020


Criteria in Article 19

Public-private partnerships shall be identified in an open and transparent way based on all of the following criteria:

a) the added value of action at Union level;

b) the scale of impact on industrial competitiveness, job creation, sustainable growth and socio-economic issues, including societal challenges;

c) the long-term commitment from all partners based on a shared vision and clearly defined objectives;

d) the scale of the resources involved and the ability to leverage additional investments in research and innovation;

e) a clear definition of roles for each of the partners and agreed key performance indicators over the period chosen.


Establishment of the contractual PPPs

• Based on ETPs and taking into account policy documents the Commission identified possible areas for a contractual PPP

• Stakeholders were invited to prepare a PPP proposal

• The private sector organised stakeholder consultations, in an open and transparent way, covering the whole value chain

• The private sector delivered the proposal to the Commission

• The Commission checked compliance with H2020 criteria for the PPPs (art. 19) with the help of high-level external experts

• Commission decision to launch the contractual PPP

• Signing of the Contractual arrangement


PPPs in Horizon 2020

Joint Technology Initiatives Contractual PPPs

• Innovative Medicines (IMI)

• Clean Sky

• Single European Sky ATM Research (SESAR)

• Fuel Cells and Hydrogen (FCH)

• Electronic Components and Systems (ECSEL - old ARTEMIS + ENIAC)

New:

• Bio-based Industries (BBI)

• Factory of the Future (FoF)

• Energy-efficient Buildings (EeB)

• Green Vehicles (EGVI)

• Future internet (5G)

New:

• Sustainable Process Industry (SPIRE)

• Robotics

• Photonics

• High Performance Computing


Contractual Public Private

Partnerships in Horizon 2020

EU indicative funding

2014-2020 (M€)

Factories of the Future (FoF) 1150

Energy-efficient Buildings (EeB) 600

European Green Vehicles Initiative

(EGVI)

750

Sustainable Process Industry 900

Advanced 5G network infrastructure for

the Future Internet (5G)

700

High Performance Computing (HPC) 700

Robotics 700

Photonics

TOTAL:

700

6200

Industry has pledged to complement these amounts with private

investment in the order of 5 to 10 times the level of public funding, with

related activities included.


Horizon 2020 Rules

• Types of action • RIA: Research and innovation actions

• IA: Innovation actions

• CSA: Coordination and support actions

• Minimum participation conditions • At least three legal entities each established in a different Member State or an

Associated Country for collaborative actions (and minimum one entity for CSAs)

Evaluation criteria • Excellence – Impact – Quality and efficiency of the action (similar with FP7)

• Thresholds are depending on the call conditions

Time to Grant shortened • Maximum 8 months (5 to evaluation results and 3 to Grant Agreement)

• Grant preparation rather than negotiation

(proposals are evaluated "as is" and not "what could be")


Simplified funding rates

• Horizon 2020

• One project = One rate • For all beneficiaries and all activities in

the grant.

• Defined in the Work Programme:

‒ Up to 100 % of the eligible costs;

‒ but limited to a maximum of 70 %

for innovation actions (non-profit

organisations to a maximum of 100%).

• Single indirect cost model • 25% flat rate for all

Maximum

reimbursemen

t rates

Research and

technological

development

activities (*)

Demonstration

activities Other

activities

Network of

excellence 50%

75% (**) 100%

Collaborative

project(****) 50%

75% (**) 50% 100%

Coordination

and support

action

100%

(***)

FP7


The WP approach of Horizon 2020

A strong challenge-based approach, allowing applicants to have considerable freedom to come up with innovative solutions

Simplified list of possible types of action (e.g. research and innovation at 100%; innovation actions at 70%,…)

Strong emphasis on expected impact, less prescription

Cross-cutting issues mainstreamed (e.g. social sciences, gender, international co-operation…)

Work programmes with 2-year duration

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The LEIT part of the WP uses Technology Readiness Levels (or TRL) from 3-4 up to 7-8

Synergies with other EU, national or regional programmes are encouraged: Some topics are particularly suitable for additional funding

e.g. to explore paths to commercial exploitation or to deploy H2020-funded technologies 15


Work Programme topics

• Structure reflects the challenge-based approach: 3 key features

• Specific Challenge - sets context, problem to be addressed, why intervention is needed

• Scope - delineates the problem, specifies the focus and the boundaries of

the potential action BUT without overly describing specific approaches

• Expected Impact - describes the key elements of what is expected to be achieved in

relation to the specific challenge

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FoF - Call topics for 2014

• Total EC funding: €116 million

• NMP (82 M€)

3 topics RIA

2 topics IA

1 topic CSA

• ICT (34 M€)

1 topic RIA & CSA

• Common deadline: 20 March 2014

• Areas covered include: process optimisation; manufacturing

of complex structures; energy and other resource efficiency; worker-attractive factories; product-service design; and human-robot collaboration


EeB - Call topics for 2014

• Total EC funding: €62,5 million

• NMP (49,5 M€)

2 topics RIA

1 topic IA

1 topic CSA

• Energy (8 M€)

1 topic IA

• Environment (5 M€)

1 topic RIA

• Common deadline: 20 March 2014

• Areas covered include: materials for the building envelope;

adaptable envelopes; self-inspection; manufacturing of prefabricated modules; and energy strategies for renovation of historic buildings


EGVI - Call topics for 2014


• Transport (129 M€) – deadline 28 August 2014

2 topics RIA

4 topics IA

• NMP (16 M€) – deadline 7 October 2014

1 topic RIA

• Areas covered include: lithium batteries; energy management

in electrical vehicles; natural gas powertrains and components for cars and vans and also for heavy duty vehicles; hybrid light and heavy duty vehicles; and electric two-wheelers & light vehicles


SPIRE - Call topics for 2014

• Total EC funding: €116,3 million

• NMP (60,3 M€) – deadline 20 March 2014

1 topic RIA

2 topics IA

1 topic CSA

• Energy (12 M€)

1 topic IA (8 M€) – deadline 20 March 2014

1 topic RIA (est. 4 M€) – 2 stages: deadlines 1-4-2014/23-9-2014

• Environment (44 M€) – 2 stages: deadlines 8-4-2014/16-9-2014

1 topic IA

• Areas covered include: integrated process control; processes

using renewables as flexible feedstock; downstream processing of mixtures; heat recovery; solar cooling systems; and moving towards a circular economy through industrial symbiosis


SPIRE - Call topics for 2015


• NMP (77 M€) – deadline 9 December 2014

2 topic RIA

2 topics IA

• Energy (12 M€)

1 topic IA (8 M€) – deadline 9 December 2014

1 topic RIA (est. 4 M€) – 2 stages: deadlines 3-9-2014/3-3-2015

• Areas covered include: process intensification; energy and

resource management systems; metal & minerals recovery; solids handling; heat recovery; and solar heating for industrial processes


Call for Factories of the Future (FoF cPPP)

Topic code Topic title Type of Action

FoF 1 - 2014 Process optimisation of manufacturing assets RIA & CSA (SA)

FoF 2 - 2014 Manufacturing processes for complex structures and geometries with efficient use of

material

RIA

FoF 3 - 2014 Global energy and other resources efficiency in manufacturing enterprises RIA

FoF 4 - 2014 Developing smart factories that are attractive to workers IA

FoF 5 - 2014 Innovative product-service design using manufacturing intelligence RIA

FoF 6 - 2014 Symbiotic human-robot collaborations for safe and dynamic multimodal manufacturing

systems

IA

FoF 7 - 2014 Support for the enhancement of the impact of FoF PPP projects CSA (CA)

FoF 8 - 2015 ICT-enabled modelling, simulation, analytics and forecasting technologies RIA & CSA (SA)

FoF 9 - 2015 ICT Innovation for Manufacturing SMEs (I4MS) IA & CSA (SA)

FoF 10 - 2015 Manufacturing of custom made parts for personalised products RIA

FoF 11 - 2015 Flexible production systems based on integrated tools for rapid reconfiguration of

machinery and robots

IA

FoF 12 - 2015 Industrial technologies for advanced joining and assembly processes of multi-materials IA

FoF 13 - 2015 Re-use and re-manufacturing technologies and equipment for sustainable product life

cycle management

RIA

FoF 14 - 2015 Integrated design and management of production machinery and processes RIA


Call for Energy-efficient Buildings (EeB cPPP)


EeB 1 - 2014 Materials for building envelope IA

EeB 2 - 2014 Adaptable envelopes integrated in building refurbishment projects RIA

EeB 3 -2014 Development of new self-inspection techniques and quality check

measures for efficient construction processes

RIA

EeB 4 - 2014 Support for the enhancement of the impact of EeB PPP projects CSA (CA)

EE1 - 2014 Manifacturing of prefabricated modules for renovation of building IA

EE3 - 2014 Energy strategies and solutions for deep renovation of historic buildings RIA

EeB 5 - 2015 Innovative design tools for refurbishment at building and district level IA

EeB 6 - 2015 Integrated solutions of thermal energy storage for building applications RIA

EeB 7 - 2015 New tools and methodologies to reduce the gap between predicted

and actual energy performances at the level of buildings and blocks of

buildings

IA

EE 2 - 2015 Buildings design for new highly energy performing buildings IA

EeB 8 - 2015 Integrated approach to retrofitting of residential buildings IA


Call for Sustainable Process Industries (SPIRE cPPP)


SPIRE 1 - 2014 Integrated Process Control RIA

SPIRE 2 - 2014 Adaptable industrial processes allowing the use of renewables as flexible feedstock for

chemical and energy applications

IA

SPIRE 3 - 2014 Improved downsteam processing of mixtures in process industries IA

SPIRE 4 - 2014 Methodologies, tools and indicators for cross-sectorial sustainability assessment of

energy and resource efficient solutions in the process industry

CSA (SA)

EE 18 - 2014 New technologies for util ization of heat recovery in large industrial systems, considering

the whole energy cycle from the heat production to the delivery and end use

IA

LCE 2 - 2014 Developing the next generation technologies of renewable electricity and heating /cooling:

solar cooling systems

RIA

Waste 1 - 2014 Moving towards a circular economy through industrial symbiosis IA

SPIRE 5 - 2015 New adaptable catalytic reactor methodologies for Process Intensification RIA

SPIRE 6 - 2015 Energy and resource management systems for improved efficiency in the process

industries

RIA

SPIRE 7 - 2015 Recovery technologies for metals and other minerals IA

EE 18 - 2015 New technologies for util ization of heat recovery in large industrial systems, considering

the whole energy cycle from the heat production to the delivery and end use

IA

LCE 2 - 2015 Developing the next generation technologies of renewable electricity and heating /cooling:

solar heating for industrial processes

RIA

SPIRE 8 - 2015 Solids handling for intensified process technology IA


Call for European Green Vehicles Initiative (EGVI cPPP)


GV 1 - 2014 Next generation of competitive lithium batteries to meet customer

expectations

RIA

GV 2 - 2014 Optimised and systematic energy management in electric vehicles RIA

GV 3 - 2014 Future natural gas powertrains and components for cars and vans IA

GV 4 - 2014 Hybrid light and heavy duty vehicles IA

GV 5 - 2014 Electric two-wheelers and new light vehicles cincepts IA

GV 7 - 2014 Future natural gas powertrains and components for heavy duty vehicles IA

NMP-17- 2014 Post lithium ion batteries for electric automotive applications RIA

GV 6 - 2015 Powertrain control for heavy-duty vehicles with optimised emissions IA

GV 8 - 2015 Electric vehicles'enhanced performance and integration into the transport

system and the grid

RIA


HORIZON 2020

Thank you for your attention More information:

HORIZON 2020: http://ec.europa.eu/research/participants/portal/desktop/en/home.html

Contractual Public-Private Partnerships in research and innovation: http://ec.europa.eu/research/industrial_technologies/ppp-in-research_en.html

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