HORIZON 2020 地平线2020 The New EU Framework Programme for Research and Innovation 欧盟新一轮 科研与创新框架计划 2014-2020 Alexandra Lehmann Science, Technology and Environment Section EU Delegation to China and Mongolia

EU instrument: Framework Programmes It is the European Union’s main instrument for funding research in Europe between 2007 and 2013, designed firstly to respond to Europe's needs in terms of employment, competitiveness and quality of life FP7 is short for Seventh Framework Programme for Research and Technological Development FP7 supports research in selected priority areas FP7 comes to an end this year, Horizon 2020 (8th FP) 2014-2020 (excellence, ind. leadership, societal challenges)

FP = 28 EU MS + 13 Associated Countries: Albania Bosnia & Herzegovina Faroe Islands Former Yugoslav Republic of Macedonia Iceland Israel Liechtenstein Montenegro Norway Republic of Moldova Serbia Switzerland Turkey = 41 countries

China’s participation in FP7 / Cooperation SP (22 April 2013)

What is Horizon 2020 地平线2020概况 A core part of Europe 2020, Innovation Union & European Research Area: 是“欧洲2020”、“创新联盟”和“欧洲科研区”的核心内容 Responding to the economic crisis to invest in future jobs and growth 应对经济危机，投资未来就业与发展 Addressing people’s concerns about their livelihoods, safety and environment 解决人民关心的生活、安全与环境问题 Strengthening the EU’s global position in research, innovation and technology 加强欧盟科研、创新与技术在全球的地位

Active involvement of stakeholders 相关利益方的积极参与 EU Presidencies: Sweden, Spain, Hungary, Poland 欧盟主席国：瑞典、西班牙、匈牙利、波兰、 European Parliament reports 欧洲议会报告 Public consultation (more than 2000 contributions) 地平线2020在征求公众意见过程中收到了广泛的回应（2000多项反馈） Survey on administrative costs for participants in FP7 针对第七框架计划项目参与单位的行政管理成本开展调查 25 workshops on the content of Horizon 2020 围绕地平线2020的内容举办了25次研讨会

What‘s new - 新变化 A single programme bringing together three separate programmes/initiatives 一项单独的计划，整合了三个单独的计划/项目* Coupling research to innovation – from research to retail, all forms of innovation 整合科研与创新 – 从科研到销售，所有创新形式 Focus on societal challenges facing EU society, e.g. health, clean energy and transport 重点关注社会挑战，面向欧盟社会，如健康、清洁能源与交通 Simplified access, for all companies, universities, institutes in all EU countries and beyond 更加便捷，方便所有来自欧盟国家以及欧盟之外的公司、高校和 科研单位

International cooperation 国际合作 International cooperation is crucial to address many Horizon 2020 objectives 国际合作在实现地平线2020目标中至关重要。 Principle of general openness: the programme will remain to be the most open funding programme in the world 普遍开放原则：地平线2020计划将仍是世界上最为开放的资 助计划 Targeted actions to be implemented taking a strategic approach to international cooperation (dedicated measures in the ‘Inclusive, innovative and secure societies’ challenge) 有针对性的国际合作将采取战略性国际合作模式（在“包容、 创新和安全社会”挑战部分采取专门措施）

Three priorities 三个首要任务 Excellent science 卓越的科研 Industrial leadership 产业引导 Societal challenges 社会挑战

Priority 1. 任务1：卓越的科学研究 Excellent science Why 原因： World class science is the foundation of tomorrow’s technologies, jobs and wellbeing 世界水平的科学研究是未来技术、就业和社会福祉的基础 Europe needs to develop, attract and retain research talent 欧洲需要开发、吸引并留住科研人才 Researchers need access to the best infrastructures 科研人员需要最好的科研装备

Proposed funding (€ million, 2014-2020)* 经费提议（百万欧元，2014-2020）* European Research Council (ERC) Frontier research by the best individual teams 欧洲科研委员会（ERC）:资助最优秀的科研人员团队开展前沿研究 13 095 Future and Emerging Technologies Collaborative research to open new fields of innovation 未来新兴技术：开辟创新领域的合作研究 2 696 Marie Sklodowska-Curie actions (MSCA) Opportunities for training and career development 玛丽居里计划（MSCA）：培训和职业发展机会 6 162 Research infrastructures (including e-infrastructure) Ensuring access to world-class facilities 科研基础设施（包括电子信息化基础设施）：世界级设施的使用获取 2 488 All funding figures in this presentation are subject to the pending Multiannual Financial Framework Regulation by the EP and the Council 本文件所涉及的所有数据均以 欧洲议会和欧洲理事会关于跨年度财务框架内容为准

ERC Grant schemes Starting Grants Advanced Grants Consolidator Grants starters (2-7 years after PhD) up to € 2.0 Mio for 5 years Consolidator Grants consolidators (7-12 years after PhD) up to € 2.75 Mio for 5 years Advanced Grants track-record of significant research achievements in the last 10 years up to € 3.5 Mio for 5 years Synergy Grants 2 – 4 Principal Investigators up to € 15.0 Mio for 6 years Proof-of-Concept bridging gap between research - earliest stage of marketable innovation up to €150,000 for ERC grant holders

Creative freedom of the individual grantee ERC offers independence, recognition & visibility to work on a research topic of own choice, with a team of own choice to gain true financial autonomy for 5 years to negotiate with the host institution the best conditions of work to attract top team members (EU and non-EU) and collaborators to move with the grant to any place in Europe if necessary (portability of grants) to attract additional funding and gain recognition; ERC is a quality label │ 14 14

Priority 2. 任务2 产业引导 Industrial leadership Why 原因： Strategic investments in key technologies (e.g. advanced manufacturing, micro-electronics) underpin innovation across existing and emerging sectors 对关键技术的战略性投资（如先进制造、微电子）将支撑现有及新兴部门的创新 Europe needs to attract more private investment in research and innovation 欧洲需要在科研与创新领域吸引更多民间投资 Europe needs more innovative small and medium-sized enterprises (SMEs) to create growth and jobs 欧洲需要更加创新的中小企业创造增长和就业

Proposed funding (€ million, 2014-2020) 经费提议（百万欧元，2014-2020） Leadership in enabling and industrial technologies (LEITs) 领先使能和工业技术(LEITs) (ICT, nanotechnologies, materials, biotechnology, manufacturing, space) 信息通讯技术、纳米技术、材料、生物技术、制造、空间 13 557 Access to risk finance 获取风险金融 Leveraging private finance and venture capital for research and innovation 为科研与创新调配民间金融和风险投资 2 842 Innovation in SMEs 中小企业创新 Fostering all forms of innovation in all types of SMEs 促进所有类型的中小企业开展各种形式的创新 616 + complemented by expected 20% of budget of societal challenges + LEITs and 'Access to risk finance' with strong SME focus 616 + 社会挑战部分预算的20% + LEITs 以及针对中小企业的风险融资

Priority 3. 任务3 社会挑战 Societal challenges Why 原因: Concerns of citizens and society/EU policy objectives (climate, environment, energy, transport, etc) cannot be achieved without innovation 没有创新，公民和社会关心的问题/欧盟政策目标（气候、环境、能源、交通，等）就无法实现。 Breakthrough solutions come from multi-disciplinary collaborations, including social sciences & humanities 突破性解决办法来自于多学科间的合作，包括社会和人文科学 Promising solutions need to be tested, demonstrated and scaled up 有前景的解决方案需要检验、示范和规模化。

Proposed funding (€ million, 2014-2020) 经费提议（百万欧元，2014-2020） Health, demographic change and wellbeing 健康、人口变化、福利 7 472 Food security, sustainable agriculture, marine and maritime research & the Bioeconomy 粮食安全、可持续农业、海洋与海事研究、生物经济 3 851 Secure, clean and efficient energy * 安全、清洁、高效能源* 5 931 Smart, green and integrated transport 智慧、绿色和集成交通 6 339 Climate action, resource efficiency and raw materials 气候行动、资源效率和原材料 3 081 Inclusive and reflective societies 包容、反思社会 1 309 Secure societies 安全社会 1 695 Science with and for society 科学需要社会的参与、科学为社会服务 462 Spreading excellence and widening participation 倡导卓越、扩大参与范围 816 Additional funding for nuclear safety and security from the Euratom Treaty activities (2014-2018) 欧洲原子能共同体条约活动为核安全与核安保提供额外的资助

Simplification: summary 简化措施：小结 Single set of simpler and more coherent participation rules 更为简单、协调的规则 New balance between trust and control 平衡信任与控制 Major simplification under the forthcoming financial regulation 新财务规定将被简化 Successful applicants to get working more quickly: time-to- grant of 8 months; exceptions for the ERC and in duly justified cases 成功的申请人可以更快开展工作

International cooperation Main types of projects Mobility Individual mobility schemes (ex-IRSES) - RISE FP Project Research projects “Size”: small, large (0.5 – 5> M€) Duration: 2-5 years Partners: Coordinator (PI), partners, work packages, detailed use of funds Administrative and financial reporting International cooperation EU MS coordination Policy support, FP promotion

Basic Principles Public calls for proposals detailed in annual work-programmes Trans-national EU cooperation Peer review, competitive selection (Scientific excellence) Cost-sharing Participants own the results Integration of the international dimension into all components of Horizon 2020

One single way to participate in a FP project: through a call for proposals Call for proposal: Research theme (e.g. Alzheimer, 6 M€, medium size project) Project Prop 1 Project Prop 2 Project Prop 5 Project Prop 6 Project Prop 3 Project Prop 4 Project Prop 7 Selection procedures Project Prop 2 Project Prop 5

How does FP work? EC rejection decision EC co-funding decision Annual work programme Admin. Eligibility Evaluation by independent experts Public calls for proposals call deadline / acknowledgement of receipt Project Proposals >=3 EU / AC Criteria Ranking Negotiation project prop. EC rejection decision EC co-funding decision 23

Next steps 下一步行动 Formal political decisions on Horizon 2020 Horizon 2020 有关地平线2020的决议 Formal political decision on Multi-annual financial framework (2014-2020) 跨年度财务框架（2014-2020）决议 Adoption of work programmes and publication of first calls for proposals 批准工作计划并发布第一批项目征集公告 Horizon 2020 national launching events 地平线2020计划启动活动 In China: “Tour of China” 2013 Autumn 2013 11 December 2013 October to January 2014

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