Presentation 1 of 8 from Horizon 2020 for Rail event held 8th Nov 2013. High level overview of where Horizon 2020 fits in Beginning with the Transport White Paper, and Challenge 2050. Introduction to Horizon 2020 research programme, its scope and purpose, and how it will differ from the previous Framework Programmes.

1. High level overview of where
Horizon 2020 fits in
H2020 - Content and new procedures
Dennis Schut
UIC Research Manager
Horizon 2020 for Rail – Nov 8th 2013

2. CONTENTS
> Europe 2020
> Innovation Union
> White Paper
> Challenge 2050 for Rail
> Horizon2020
> Draft Work program 2014 – 2015 & 1st Call content
> Submission and evaluation procedures
> New TEN-T and more – guidelines & possibilities
2

3. Europe 2020
Europe 2020 is the EU's growth strategy for the coming decade.
à Europe needs to become a smart, sustainable and inclusive
economy.
à help the EU and the Member States deliver high levels of
employment, productivity and social cohesion.
Five ambitious objectives:
à employment
à innovation
à education
à social inclusion
à climate/energy
Each MS has adopted its own national targets in each of these areas.
Concrete actions at EU and national levels underpin the strategy
3

4. Innovation Union
A pocket guide on a Europe 2020 initiative
Europe’s future is connected to its power to innovate.
The Innovation Union, an action-packed initiative for an
innovation-friendly Europe, is the solution.
It forms part of the Europe 2020 strategy that aims to
create smart, sustainable and inclusive growth
4

5. EC White Paper 2011
Roadmap to a Single European Transport Area - Towards
a competitive and resource efficient transport system
5

6. EC White Paper - Summary
• Roadmap of 40 concrete initiatives to:
• build a competitive transport system that will increase mobility,
remove major barriers in key areas and fuel growth and
employment
• dramatically reduce Europe's dependence on imported oil and
cut carbon emissions in transport by 60% by 2050
• à No more conventionally-fuelled cars in cities
• à 40% use of sustainable low carbon fuels in aviation; at least
40% cut in shipping emissions
• à 50% shift of medium distance intercity passenger and freight
journeys from road to rail and waterborne transport.
6

7. Challenge 2050 (for the rail system)
>
A vision of the future of the European rail system
>
Where it could be in 2050 (as seen through the
eyes of the sector’s leaders)
>
Will encourage delivery of a business-led vision
>
Describe the role rail can play in the development
of the European region
>
It is NOT:
-
-
7
a research/innovation agenda (ERRAC)
or an agenda for delivery of the White Paper

8. 8
What
does
it
cover?
> Three
core
pillars:
• Policy
• Technical
• Services
> Comprises:
• The
vision
document
itself
–
set
in
2050
• A
suppor<ng
paper
that
sets
out
a
range
of
today’s
drivers
that
will
be
part
of
the
journey
to
get
there

9. SUSTAINABLE
Rail provides a resource-efficient solution for sustainable mobility and transport and a significant
contribution to reductions in GHG emissions
SAFE & SECURE
Rail is the safest mode of transport
PERFORMANT
Trains are on time and promised facilities for freight and passengers are available
CONNECTED
Rail is the backbone in an interconnected and seamless co-modal transport system
INTEROPERABLE
Rail Technology is adaptable to various demand volumes, market or product requirements, and
operating areas
COMPETITIVE
Rail is a competitive and viable first choice of transport mode in terms of cost and quality of
service
ATTRACTIVE
Passengers and freight users receive a consistently high-quality service
9

10. From Challenge 2050 to the RTSE structure
RTSE: a 10 year plan of what the railway system needs for the future!
Short term: to feed the EC about what is missing in S2R which (as far as we
know at this moment) so far does NOT cover the railways system
10

11. Developing the technical pillar
European
members
UIC
Team
Research & Innovation
Priorities
q Passenger Services
q Freight Services
q Control, Command
q Rolling Stock
q Infrastructure
q Energy
11
Rail
Technical
Strategy
Europe
FOSTER
Rail
UIC Work
Programme
RICG Plenary - Paris - 07/11/2013

12. Content RTSE
Foreword
and
Execu;ve
Summary
1.
Introduc;on:
A
new
customer
experience
2.
The
system
and
its
Opera;on
1.
Control,
Command
and
Communica1on
2.
Infrastructure
3.
Rolling
Stock
4.
Energy
5.
Informa1on
Management
Opera<onal
Customer
3.
The
Sustainable
and
Resilient
Railway
a.
Economics
and
Value
For
Money
b.
Society
c.
Security
d.
Environment
e.
Safety
4.
Railway
People
5.
Standardisa;on
6.
Bringing
it
together
&
Innova;on
12
RICG Plenary - Paris - 07/11/2013

13. HORIZON 2020 (2014 – 2020)
Horizon 2020 is the financial instrument implementing the
Innovation Union, a Europe 2020 flagship initiative aimed at
securing Europe's global competitiveness
EU’s new programme for research and innovation is part of the
drive to create new growth and jobs in Europe
Horizon 2020 provides major simplification through a single set of
rules. It will combine all research and innovation funding currently
provided through the:
• Framework Programmes for Research and Technical Development
• the innovation related activities of the Competitiveness and
Innovation Framework Programme (CIP4)
• European Institute of Innovation and Technology (EIT5)
Budget: €70 + billion
13

14. HORIZON 2020 Ctd.
Strengthen the EU’s position in science with a dedicated budget of €
24 341 million – incl. The European Research Council (ERC)
Strengthen industrial leadership in innovation € 17 015 million – incl.
major investment in key technologies, greater access to capital and
support for SMEs.
Provide € 30 956 million1 to help address major concerns shared by all
Europeans such as:
• climate change
• developing sustainable transport and mobility
• making renewable energy more affordable
• ensuring food safety and security
• coping with the challenge of an ageing population
• and other important issues
14

15. Draft Work Program 2014 - 2015
ANNEX 14 TO THE DECISION
WORK PROGRAMME 2014 – 2015
11. Smart, green and integrated transport
(DRAFT 18/10/2013)
(European Commission C(2013)XXX of XX December 2013)
15

16. The division of the H2020 budget for 2014/15
Clean Sky 2
467.7
SESAR 2
73.1
Mobility for Growth Call
108.0
Total
648.8
S2R (tbd, 2015)
36.1
Mobility for Growth Call
52.0
Total
88.1
Mobility for Growth Call
74.0
Green vehicles call
159.0
Total
253.0
Mobility for Growth Call
74.0
Contribution to Blue Growth
19.0
Total
93.0
Mobility for Growth Call
106.5
Contribution to Smart Cities
40.0
Total
146.5
10.7%
Logistics
Mobility for Growth Call
50.0
3.7%
ITS
Mobility for Growth Call
31.0
2.3%
Infrastructure
Mobility for Growth Call
36.5
2.7%
Socio-economics
Mobility for Growth Call
18.6
1.4%
Aviaton
Rail
Road
Waterborne
Urban
Total allocated
16
to Transport
47.5%
6.4%
18.5%
6.8%
areas
1365 ME

17. Draft Work Programme 2014-2015 - Content
of the first Call SMART, GREEN and INTEGRATED TRANSPORT
Objective :
"To achieve a European transport system that is resource-efficient, climateand-environmentally-friendly, safe and seamless for the benefit of all
citizens, the economy and society."
SPECIFIC PROGRAMME PRIORITIES
4 broad lines of activities aiming at:
• Resource efficient transport that respects the environment
• Better mobility, less congestion, more safety and security
• Global leadership for the European transport industry
• Socio-economic and behavioural research and forward-looking activities
for policy-making
17

18. The areas of the WP and Call
Areas addressing Mode-Specific Challenges:
1. Aviation; 2. Rail; 3. Road; 4. Waterborne
Areas addressing Transport Integration Specific Challenges:
5. Urban; 6. Logistics; 7. Intelligent Transport Systems; 8. Infrastructure
Areas addressing Cross-Cutting Issues:
9. Socio-economic and behavioural research and forward looking
activities for policy-making
Transport-related Joint Undertakings
Clean Sky 2
SESAR 2
Shift2Rail (Decision pending)
Fuel Cells and Hydrogen 2
.
18

19. Rail topics within the 4 lines of activity
Smart, Green &
Integrated Transport
1. Resource efficient
transport that respects
the environment
Rail
2. Better mobility, less
congestion, more safety
& security
3. Global leadership for
the European transport
industry
4. Socio-economic
research & forward
looking activities for
policy making
MG.2.2: Smart rail services
MG.2.1: Intelligent
infrastructure
MG.2.3: New generation of
rail vehicles
Urban
Logistics
MG.6.1: Synergies along
supply chains
ITS
Infrastructure
Socio-economics
19
MG.8.1: Smarter design,
construction & maintenance
MG.8.2: Next generation of
infrastructure
MG.8.2: Next generation of
infrastructure
MG.8.2: Next generation of
infrastructure
MG.8.4: Network resilience &
innovation (very academic…)

20. Content of the Rail Call and 3 main rail Topics
RAIL – in general
• Fulfil its potential of playing a significant role in meeting future transport
needs
• Adapt to increasingly constrained public finances
à
Rail industry needs to radically progress in terms of:
• service, costs, interoperability, capacity, noise reduction and
competiveness
• further developing its advantages in terms of carbon footprint
• stepping well beyond just technology
• developing novel business, organisational and logistic solutions
• developing new partnerships with service and technology providers
from more advanced sectors
• much needed search-for-excellence
• rapidly addressing the weaknesses that hamper rail services and
operations
• engaging in a number of game-changers in rail services and operations.
20

21. Content of the Rail Call – Rail in general
Proposals submitted can be designed as a preparation for a fast and
smooth start-up of large-scale initiatives as Shift2Rail
Selected projects will contribute to the objectives of the initiative to be
implemented under a public-private partnership
The scope of the projects could include:
• assessment of feasibility of specific solutions or applications
• relevant work conducive to a prototyping of a product or process in an
operational environment like for instance:
• elaboration of a business case
• definition of technical, operational or service requirements
• enabling planning or standardisation activities
• critical technologies development
• set-up of validation/certification strategies
21

22. 3 types of “actions” or projects
Research and innovation actions
Action primarily consisting of activities aiming to establish new
knowledge
Innovation actions
Action primarily consisting of activities directly aiming at producing
plans and arrangements or designs for new, altered or improved
products, processes or services
Coordination and support actions
Actions consisting primarily of accompanying measures such as
standardisation, dissemination, awareness-raising & communication,
networking, coordination or support services, policy dialogues
22
4.b Horizon 2020, 1st call EGoA, 2013-11-06

23. Content of the Rail Call and 3 main rail Topics
MG.2.1-2014. Intelligent Infrastructure
Specific challenge: need for a step change in the productivity of the
infrastructure assets. These assets will need to be managed in a more
holistic and intelligent way, using lean operational practices and smart
technologies that can ultimately contribute to improving the reliability and
responsiveness of customer service and the whole economics of rail
transportation
Scope: The research and innovation activities will evolve within the
following three complementary work streams to be addressed separately:
A. Smart, cost-efficient, high-capacity rail infrastructure:
• identifying relevant infrastructure-related challenges
• developing solutions that result in reduced investment and recurring
operational costs and improve the reliability and availability of rail
operations.
23

24. Main Topic: Intelligent Infrastructure
B. Intelligent mobility management:
• development of intelligent and automated rail traffic dispatching systems
supporting an integrated approach to the optimisation of rail operations at
network, route and individual train level. These should reconcile business
and operational requirements (namely customer service, capacity, speed,
timekeeping, energy, asset management) with real-time field and asset
condition monitoring to deliver normal or near-normal services during all but
the most exceptional circumstances.
• emphasis on real-time data collection and analytics from trains and
infrastructure for the purposes of predictive and adaptive control of the
traffic and to minimise disturbances with a view to ensuring a minimum
impact on services
• interfaces and compatibility with information services from other transport
modes shall be guaranteed Full compatibility with European Rail Traffic
Management System (ERTMS) must be ensured.
24

25. Main Topic: Intelligent Infrastructure
C. Energy management:
• innovative approaches to improve the efficiency of energy usage (vehicles,
infrastructure and operation)
• development of smart concepts in intelligent design and management of
energy systems for rail applications with a whole-of-life perspective (from
concept to implementation through the design, procurement, manufacturing,
construction, operations and maintenance phases)
Expected impact:
• indicative surge in the utilisation of capacity within a range 70-90%
• reduction in the recurrent costs of rail operations within a range of 25-45%
Type of action:
Research and Innovation Actions (100% funding) – Two stage
Ø
25

26. Content of the Rail Call and 3 main rail Topics
MG.2.2-2014.
Smart Rail Services
Specific challenges:
A. Seamless multimodal travel:
• enhance the rail traveller experience centred on solutions
that respond to customer needs to support anytime,
anywhere door-to-door intermodal journeys encompassing
distinct modes of transportation, including factors:
• as travel planning
• one-stop-shop ticketing and booking transactions
• en-route travel companion
• real-time re-accommodation
26

27. Main Topic: Smart Rail Services
Scope:
• conceiving and prototyping an on-line, mobile, suite of integrated
(planning & reservation of user-friendly multimodal trips and services)
• easily accessible entitlements, validation and control for all transport
modes, en-route assistance including re-accommodation
• supported by business analytics providing relevant feedback of traveller
data with the aim of ensuring more robust and responsive transport
operations
• based robust business models capable of guaranteeing the economics
of these e-services in the long-term.
27

28. Main Topic: Smart Rail Services
B. Logistic services:
• acquire a new service-oriented profile for rail freight services (intermodal) while incorporating innovative value-added services
• increase productivity, fostering technology transfer from other sectors
into rail freight
Scope:
• addressing the key challenges of freight through a systematic "top-down"
approach (applicability of the solutions on a European scale or based on
trainload/intermodal /wagonload or commodity-based segments)
• define the optimal combination of business, operational and technological
solutions
Priority should be given to those aspects that maximise potential returns in
the short-term and require only moderate investment.
28

29. Main Topic: Smart Rail Services
Expected impact:
• increased rail attractiveness through a new service profile focused on
customers by providing them with an integrated end-to-end solution for
their travel needs – from transaction support to en-route assistance
• Logistic Services projects should be aimed at reaching 98% level on-time
delivery
• achieving significant gains from a diversification of the freight business
• re-engineering production processes towards a leaner, more servicefocused stance capable of delivering significantly higher levels of
productivity (e.g. a doubling of both the revenue per employee and the
annual load-runs per wagon, reduction of up to 50% in dwell times and a
two-fold increase in the load factor for trains/wagons)
Type of action:
Research and Innovation Actions (100% funding) – Two stage
29

30. Content of the Rail Call and 3 main rail Topics
MG.2.3-2014.
New generation of rail vehicles
Specific challenges:
• ever-evolving requirements regarding quality of service
• mounting energy costs
• reduced emissions
• increasing stress on the economics of rail operation
• delivery of enhanced functionalities, comfort operational
performance, interoperability and reduced life cycle costs
30

31. Scope:
Main Topic: New Generation of Vehicles
• Development and demonstration of a new-generation of railway vehicles and
passenger trains with significant improvements in product reliability, costeffectiveness, user-friendliness, safety and security, environmental i
mpacts, ease of manufacture and interoperability
• Development and integration of higher-performance technologies for
critical structural traction, command-control and cabin environment
applications, the design and production solutions
• Development of innovative solutions in order to:
extend vehicle lifetime or simplify retrofitting and will ensure
interoperability through better (EMC) between the railway vehicles and
the electrical installations of the network
• Development of innovative, modular and customisable solutions for comfortable
and attractive train interiors as an integral part of the whole passenger
train concept.
31

32. Horizontal Topics in Transport
• MG.6.1-2014. Fostering synergies alongside the supply chain
(including e-commerce)
• MG.6.2-2014. De-stressing the supply chain
• MG.6.3-2015. Common communication and navigation platforms for
pan-European logistics applications
• MG.7.1-2014. Connectivity and information sharing for intelligent
mobility.
• MG.7.2-2014. Towards seamless mobility addressing fragmentation in
ITS deployment in Europe
• MG.8.1-2014. Smarter design, construction and maintenance
• MG.8.2-2014. Next generation transport infrastructure: resource
efficient, smarter and safer
32

33. Evaluation Process: NEW!
• Three evaluation criteria: Excellence – Implementation - Impact
• Panels of independent experts evaluate the proposals submitted against
standard criteria (3 to 5 experts)
• The evaluation process covers the following steps: individual evaluation;
consensus groups; final panels
• Proposals scoring above thresholds will be ranked according to the
evaluation results
• Funding decisions according to the budget available
• A number of proposals may be kept in reserve to allow for eventualities
as failures of negotiations on projects, withdrawal of proposals, budget
savings, availability of additional budget from other sources
In some cases there will be a Single-stage evaluation – but for the 3
main Rail Topics there will be a Two-stage evaluation procedure!
33

34. Evaluation Process: NEW!
2 Stage evaluation – what does it mean?
34

35. Evaluation Process: NEW!
2 Stage evaluation – what does it mean?
35

36. Evaluation Process: NEW!
Stage 1 and Stage 2 evaluation: main features
• Stage 1: outlined proposals max 15 pages (+ list of partners)
• Stage 1 evaluated “remotely”
• Limited criteria (Excellence and Impact) – min thresholds 4 out of 5
for both criteria
• “GO” proposals are invited to submit a complete proposals in Stage 2…
•… to be evaluated against all 3 criteria
•Consistency with first stage proposal to be confirmed:
no changes of key partners
no deviations above +/-20% in the budget
no substantial change in the scope of the work
36
The Future of Rail Research – SIAFI – Paris – 21 October 2013

37. Evaluation Process: NEW!
Stage 1 and Stage 2 evaluation: main features
Experience shows:
• Stage 1: only retain proposals with very realistic chances to be
funded…
• … this should lead to > 40% success rate at stage 2
• Stage 2 proposers more committed; partnerships more stable;
proposals more accurate in the description of work and administrative part
•Info days for "GO" proposals: opportunity to clarify outstanding issues
37

38. The Connecting Europe
Facility
Financing the TEN-T infrastructure
Linked to innovation and
Development!

39. Connecting Europe Facility
One instrument – three sectors
Connec<ng
Europe
Facility
Transport
Guidelines
Energy
Guidelines
Financing framework
2014-2020
Telecom
Guidelines
(setting priorities for
The "European Infrastructure Package"
(European Commission proposal, October 2011)
Sectoral policy
frameworks
2020, 2030, 2050)

40. .
Revision of the TEN-T Guidelines
Revised TEN-T map – two layers approach
» Comprehensive network will cover entire EU, accessibility for all citizens and
businesses
» Core network: a selection of the most important parts of the network to be realised as a
priority until 2030
.
Clear technical requirements and standards with clear implementation
deadlines
» 2030 (core network) and 2050 (comprehensive network)
.
.
Telematic applications for a fully interoperable network
» ERTMS, SESAR, ITS, RIS, VTMIS
Core network corridors as a means for reinforced coordination of
TEN-T infrastructure development
» 10 core network corridors

41. Today: still a patchwork….
Priority Projects (PP) design
PP's state of implementation 2012

42. By 2030: the network
The TEN-T
core network
(rail freight)

43. 10
core network
corridors

44. European transport system
Investment needs
• €1.5 trillion of investment needs by 2030
• TEN-T alone: €500 billion by 2020
• TEN-T Core Network: €250 billion by 2020
• Estimate based on discussions with MS on their
project portfolio

45. Connecting Europe Facility
Budget (EC MFF proposal June 2011)
> €31.7 billion (transport funds)
Ø €19.7bn: grant component (estimate)
Ø With an estimated average co-funding rate of 20% could generate €98.5bn
Ø €2bn: innovative financial instruments (estimate of market take-up)
Ø With an estimate leverage of up to 15 or 20 could generate total investments
€30bn to €40bn
of
Ø €10bn to be transferred from the Cohesion Fund (grants)
Ø To be allocated exclusively to projects in Cohesion Fund eligible Member States
Ø With an estimated average co-funding rate of 85% could generate €11.5bn
€140bn to €150bn: total amount of investments that could be generated

46. CEF transport budget allocation
• 80 – 85 % of for preidentified projects
listed in CEF Annex
•
•
•
horizontal priorities,
sections on 10 core
network corridors,
other important core
network sections
• 15 – 20 % for other
projects on the core
and comprehensive
networks

47. CEF grants (3): Co-funding rates
Types of Projects
All Member States
Member States eligible for
Cohesion Fund
(a) Studies (all)
50%
80-85%
Cross border
40%
80-85%
Bottleneck
30%
80-85%
Other projects of common interest
20%
80-85%
Cross border
40%
80-85%
Bottleneck
30%
80-85%
Other projects of common interest
(b)Works on
Rail
Inland waterways
20%
80-85%
Inland transport connections to ports and airports (rail and road)
20%
80-85%
Development of ports
20%
80-85%
Development of multi-modal platforms
20%
80-85%
Reduce rail freight noise by retrofitting of existing rolling stock
20%
20%
Freight transport services
20%
20%
Secure parkings on road core network
20%
20%
Motorways of the sea
20%
30% (Council
proposal)
20%
30% (Council proposal)
ERTMS (rail) (+ RIS & VTMIS – Council proposal)
50%
80-85%
Other modes
20%
80-85%
Cross border road sections
none
(Council proposed
10%)
80-85%
New technologies and innovation for all modes of transport (Council proposal)
20%
20%
Traffic management systems

48. Structural funds: complementary
EU financial support for transport infrastructure
development
> Cohesion Fund (CF)
• €34 billion (out of which €10 billion within CEF) for transport
infrastructure in eligible Member States
• TEN-T sections (both core and comprehensive)
• Up to 85% of eligible costs
> European Regional Development Fund (ERDF/FESR)
• A part of total ERDF €170 billion to be dedicated to transport
infrastructure
• TEN-T sections (both core and comprehensive)
• Connecting secondary and tertiary nodes to TEN-T
infrastructure
• Less developed regions: up to 85% of eligible costs
• Transition regions: up to 75% of eligible costs

49. Thank you for your kind attention
schut@uic.org
49