http://www.ukro.ac.uk
Edward Heelas
Overview of Horizon 2020The new EU research and innovation programme 2014-2020
Please note that this information is based on the European Commission proposals and is subject to change.
University of East London8th May 2013
•Horizon 2020 background: Europe 2020 and the Innovation Union
•The development of Horizon 2020
•Horizon 2020 overview• Excellent Science• Industrial Leadership• Societal Challenges
•Cross-cutting aspects and Rules of Participation
•Getting prepared for, and influencing, Horizon 2020
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Horizon 2020 Background:Europe 2020 and the Innovation Union
EU 2020 Strategy• 10 year strategy to make the EU more dynamic and competitive
• Three key drivers: Smart, sustainable and inclusive growth
• Targets include 3% of the EU's GDP should be invested in R&D
• Seven ‘Flagship Initiatives’:
• Innovation Union
• Youth on the move
• A digital agenda for Europe
• Resource efficient Europe
• An industrial policy for the globalisation era
• An agenda for new skills and jobs
• European platform against povertyEur
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Str
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yBackground to Horizon 2020
Innovation Union and Horizon 2020
• Horizon 2020 is key in delivering Europe 2020, Innovation Union and the European Research Area in terms of:
• Responding to the economic crisis to invest in future jobs and growth;
• Addressing people’s concerns about their livelihoods, safety and environment; and
• Strengthening the EU’s global position in research, innovation & technology.
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The Development of Horizon 2020
How was the proposal developed?
• FP7 Interim Evaluation by an Expert Group
• Public consultation
• Name consultation
• Also input from: EU Presidencies; European Parliament Reports; stakeholder workshops run by Commission
• Commission published Horizon 2020 Proposal on 30 November 2011• for an 80 billion euro research and innovation funding programme
(2014-20)
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UKRO work towards Horizon 2020
• BIS/UKRO workshops in Spring/Summer 2010• For Academics (May)• For European Liaison Officers (July)
• UKRO facilitating RCUK discussions
• New ‘Development of next Framework Programme’ pages on UKRO website
• Sign up for the UKRO information services to keep up to date with opportunities to feed in
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Estimated Horizon 2020 Timetable
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February 2011Communication on Common Strategic Framework for Research and Innovation
Feb - April 2011Stakeholder consultation
30 November 2011Adoption of Commission Proposal for Horizon 2020
2012 - 2013 Legislative Procedure (‘co-decision’): European Parliament readings and Council Common positions
Q3 2013 Conciliation and adoption of Horizon 2020
1 January 2014 Start of Horizon 2020D
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Spring 2013: Most FP7 Calls closed by now
July 2012: Last FP7 Work Programmes published
Horizon 2020- Overview
What is Horizon 2020?
• Commission proposal published on 30 November 2011 for an €80 billion research and innovation funding programme (2014-20)
• Forms part of the proposals for the next EU budget, complementing proposals for Structural Funds, education (Erasmus for All), etc.
EC Horizon 2020 website: http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=home
EC Horizon 2020 proposal: http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020-documents
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What’s new?
• A single programme bringing together three separate programmes/initiatives • Framework Programme 7 (FP7)
• Competitiveness and Innovation Programme (CIP)
• European Institute of Innovation and Technology (EIT)
• Coupling research to innovation – from research to retail, all forms of innovation
• Focus on societal challenges facing EU society, e.g., health, clean energy and transport
• Simplified access, for all companies, universities, institutes in all EU countries and beyond
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European Institute of Innovation and Technology (EIT)
Excellent Science Base•European Research Council (ERC)•Future and Emerging Technologies (FET)•Marie Curie Actions•Research Infrastructures
Industrial Leadership and Competitive Frameworks•Leadership in enabling and industrial technologies:
• ICT; Nanotechnologies; Advanced Materials; Biotechnology; Advanced Manufacturing and Processing; and Space
•Access to risk finance•Innovation in Small and Medium-Sized Enterprises (SMEs)
Tackling Societal Challenges•Health, demographics changes and well being•Food security, sustainable agriculture marine and maritime research and the bio-economy•Secure, clean and efficient energy•Smart, green and integrated transport•Climate action and resource efficiency including raw materials•Inclusive, innovative and secure societies
Joint Research Centre (JRC) Euratom (2014-2018)Hor
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Horizon 2020 – three priorities
June
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Excellent Science €27,818m
Industrial Leadership €20,280m
Societal Challenges €35,888m
NB: All budget figures are given throughout in ‘current 2011 prices’ as on p85 of the draft Horizon 2020 proposal.
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PolicyPolicy Research and Innovation
Research and Innovation
Research and innovation outputs of
Horizon 2020
•Improved R&D capabilities
•Scientific publications
•New tools and techniques
•Models and simulations
•Prototypes, demonstrators, pilots
•Patents
•New products, processes, services
•Spin-offs
Key FeaturesSocietal Impact and
Contribution to Europe 2020
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Seamless support from idea to market
Easy access for all participants including SMEs
Projects financed on the basis of excellence
Ambitious collaborative projects with critical mass
Inclusive & sustainable growth
•Better health & more well-being•A more secure society•Sustainable agriculture•Clean & efficient energy•Smart, green, integrated transport•Reduced greenhouse gas emissions•Efficient use of natural resources
Competitiveness•Exports increase by 1,4% and imports decrease by 0,2% in the medium term
More high-tech Jobs•>800,000 in the medium term
Economic growth•€1 invested in Horizon 2020 produces €10 extra GDP per annum
Projects selected through intense pan-European
competition
Projects not achievable without EU support (additionality)
Projects leveraging additional private and public resources
Impact of Horizon 2020 for R&I
Horizon 2020 – Excellent Science
Priority 1: Excellent Science - rationale
• World class science is the foundation of tomorrow’s technologies, jobs and wellbeing
• Europe needs to develop, attract and retain research talent
• Researchers need access to the best infrastructures
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Priority 1: Excellent Science
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Sept
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Total Budget for Programme (2014-20, €m) 27,818
European Research Council: ‘Frontier research by the best individual teams’ 15,008
Future and Emerging Technologies:‘Collaborative research to open new fields of innovation’
3,505
Marie Curie actions:‘Opportunities for training and career development’
6,503
Research infrastructures (inc. e-infrastructures):‘Ensuring access to world-class facilities’
2,802
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Excellent Science – ERC
Continuity with FP7. Will continue to:•operate autonomously led by a Scientific Council
•operate on a ‘bottom-up basis
•have ‘research excellence’ as sole criterion
•fund ‘individual teams’
•provide funding for starting researchers to make transition to independence
•support new ways of working with potential to create breakthrough results
New for Horizon 2020:•Reinforced budget (77% increase)
•Scope for continuation of 4 current schemes and flexibility to ‘develop the mix of support measures to respond to emerging needs’
•Improved governance
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Excellent Science – FET
• Expanded from ICT and Energy to be used as cross-cutting instrument
• Supports frontier research: alternative ideas, concepts or paradigms of risky or non-conventional nature
• Supported under three strands:
• FET Open: fostering novel ideas
• FET Pro-Active: nurturing emerging themes and communities
• FET Flagships: tackling grand interdisciplinary science and technology challenges
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Excellent Science – Marie Curie
Goes from 9 actions to 4 broader lines of activity:1.Fostering new skills by means of excellent initial training of researchers
2.Nurturing excellence by means of cross-border and cross-sector mobility
3.Stimulating innovation by means of cross-fertilisation of knowledge
4.Co-funding of activities across other three strands
New for Horizon 2020:•Simplification and rationalisation of activities
•Improved participation of businesses and other socio-economic actors
•Increased possibility of portability of grants
•Stronger emphasis on communicating results and on outreach activities
•New name! Now to be called the Marie Skłodowska-Curie Actions
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Excellent Science – Research Infrastructures
Three main objectives:
•Developing the European research infrastructures for 2020 and beyond
•Fostering the innovation potential of research infrastructures and their human capital
•Reinforcing the European research infrastructure policy and international co-operation
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Horizon 2020 – Industrial Leadership
Priority 2: Industrial Leadership- rationale
• Strategic investments in key technologies (e.g. advanced manufacturing, micro-electronics) underpin innovation across existing and emerging sectors
• Europe needs to attract more private investment in research and innovation
• Europe needs more innovative SMEs to create growth and jobs
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Priority 2: Industrial Leadership
June
Sept
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Total Budget for Programme (2014-20, €m) 20,280
Leadership in enabling and industrial technologies: (ICT, nanotechnologies, material, biotechnology, manufacturing, space)
15,580
Access to Risk Finance:‘Leveraging private finance and venture capital for research and innovation’
4,000
Innovation in SMEs:‘Fostering all forms of innovation in all types of SMEs’ 700
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Industrial Leadership – Key Enabling Technologies
• Collaborative research and innovation projects
• Strong focus on industrial involvement and applied research
• Key Enabling Technologies encompasses:• Information & Communication Technologies (ICT)• Nanotechnologies• Advanced Materials• Biotechnology• Advanced Manufacturing and Processing• Space
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Horizon 2020– Societal Challenges
Priority 3: Societal challenges - rationale
• Concerns of citizens and society/EU policy objectives
• Breakthrough solutions come from multi-disciplinary collaborations, including social-sciences and humanities
• Addressing challenges requires full research innovation cycle, from research to market:
• focus on innovation-related activities (e.g. piloting, demonstration, demand side policies – public procurement, standards…)
• Focus on policy priorities without predetermining technologies or types of solutions to be developed
• emphasis could be on projects that solve specified challenges, NOT prescribing the specific topics, research fields, disciples, technologies or sectors to be addressed
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Priority 3: Societal Challenges
June
Sept
Dec
Total Budget for Programme (2014-20, €m) 35,888
Health, demographic change and wellbeing 9,077
Food security, sustainable agriculture, marine and maritime research & the bioeconomy
4,694
Secure, clean and efficient energy 6,537
Smart, green and integrated transport 7,690
Climate action, resource efficiency and raw materials 3,573
Inclusive, innovative and secure societies 4,317
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Societal Challenges – Key Objectives
June
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Challenge Objectives
Health Improve lifelong health and wellbeing
Food securitySecure sufficient supplies of safe and high quality food and other bio-based products
EnergyTransition to a reliable, sustainable and competitive energy system
TransportResource-efficient, environmentally friendly, safe, seamless, and performing transport system for the benefit of all citizens, the economy and society.
Climate and resources
Resource efficient and climate change resilient economy and a sustainable supply of raw materials
SocietiesFoster inclusive, innovative and secure European societies
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Horizon 2020- Cross-cutting Aspects - Rules for Participation
Cross-cutting aspectsH
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• Aim to widen participation across whole programme to ensure excellence prevails wherever it exists
• Simplification as a crucial element
• More bottom-up elements to allow for novel ideas
• Package of measures to close innovation divide
• Links to Cohesion policy = building regional research & innovation capacity
• Boosting support to European Research Area (ERA) priorities – mobility, researcher careers, infrastructures, partnering, knowledge transfer, policy learning
• Taking account of gender, ethical issues and open access to results
Horizon 2020 - Rules for Participation
• Single set of rules: for everyone (academia & industry)
• One Project – One Funding Rate• Maximum of 100% of direct costs for all types of partners (except
for actions close to market, where a 70% max)• Indirect eligible costs: a flat rate of 20% of direct eligible costs• No real indirect cost option
• Simple Evaluation Criteria: excellence, implementation, impact
• New Forms of funding for innovation: including dedicated SME funding instrument
• Improved rules on Intellectual Property: including new emphasis on Open Access
• Simplification: including no time-sheets for personnel working full time on a grant
• Fewer, more targeted controls and audits: audit strategy focused on risk and fraud preventionH
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– R
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International co-operation
• Instruments:• Targeted actions on basis of common interest and mutual benefit
• Horizontal activities to promote strategy development of international co-operation (‘Inclusive, innovative & secure societies’)
• Who is likely to receive funding?• Industrialised and emerging economies: x
• Enlargement and neighbourhood countries:
• Developing countries:
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Preparing for Horizon 2020Influencing Horizon 2020?
What can you do to prepare?
Check the H2020 proposals
• Do they cover your research area? (or are you interested in the bottom-up parts?)
• If not, or if you have suggestions on the current text, consider feeding this in?
• Don’t forget to keep an eye out for later versions (and consider feeding in again?)
• Sign up for UKRO Portal, and choose ‘policy’ category
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What can you do to prepare?
Think about networking and building links with potential partners now
• Who are key players?
• Who has been involved in previous projects / stakeholder groups?
• How can you meet them?
• Attending events
• Joining the EU evaluators database (http://ec.europa.eu/research/participants/portal/page/experts)
• Joining European Technology Platforms or other relevant stakeholder groups
• Position yourself as a key partner.
• Some areas, such as Marie Curie and the ERC, are bottom-up so you could start early thinking about potential proposal ideas for H2020.
• Get yourself known by European Commission staff ,and UK Programme Committee representatives?
• Positioned on stakeholder groups?
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EU Research Programmes
Horizon 2020 (H2020) Framework Programme for Research & Innovationcont’d
• These proposals are currently being discussed by MEPs and Council.• First reading• Revised draft H2020 proposals• Second reading?
• Final H2020 proposals published (by the end of 2013, hopefully!)
Once H2020 underlying H2020 legislation is approved
• Annual ‘Work Programmes’ containing calls will be published
• These annual Work Programmes must fit within the scope outlined in the underlying H2020 legislation
• European Commission hope to launch first H2020 calls in January 2014
Influ
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For Reference:
Latest News on the Legislative Process- Council of the EU
H2020 Latest: Council of the EUPartial General Approach on H2020
• Council of the EU’s Partial General Approach (PGA) to the H2020 Framework Regulation was published on 31/05/12 and updated 12/10/12http://register.consilium.europa.eu/pdf/en/12/st14/st14846.en12.pdf
• The Council’s suggested changes to Commission’s H2020 Proposal included:
• Splitting of the Commission’s proposed “Inclusive, Innovative and secure societies” into two
• Europe in a Changing World: Inclusive, Innovative and Reflective Societies; and
• Secure Societies: Protecting Freedom of Europe and its Citizens
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H2020 Latest: Council of the EUPartial General Approach on H2020 Rules of Participation
• Council of the EU’s Partial General Approach (PGA) to the H2020 Rules of Participation was agreed on 10/10/2012http://register.consilium.europa.eu/pdf/en/12/st14/st14846.en12.pdf
• Main changes:• Reimbursement rates and cost model
• a flat rate for indirect costs of 25% (compared to 20% proposed by the European Commission initially); and
• the possibility of up to 100% reimbursement of direct costs for non for profit entities for close to market activities (compared to 70% as per Commission proposal).
• Embryonic stem cells
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H2020 Latest: Council of the EUPartial General Approach on H2020 Specific Programme
• Council of the EU’s Partial General Approach (PGA) to the H2020 Specific Programme was agreed on 11/12/12http://register.consilium.europa.eu/pdf/en/12/st17/st17633.en12.pdf
• Main changes:• Creation of a seventh Societal Challenge
• The Council’s PGA excludes:• Budgetary aspects• H2020 Programme Committee structure (between 4 and 17,
configurations tbc)
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H2020 Latest: Council of the EUPartial General Approach on the EIT
• The Council of the EU’s Partial General Approach (PGA) to the European Institute of Innovation and Technology (EIT) was agreed on 2/10/12http://register.consilium.europa.eu/pdf/en/12/st14/st14021.en12.pdf
• The Council of the EU’s Partial General Approach (PGA) to the European Institute of Innovation and Technology (EIT) Specific Innovation Agenda (SIA) was agreed on 11/12/12http://register.consilium.europa.eu/pdf/en/12/st17/st17621.en12.pdf
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For Reference:
Latest News on the Legislative Process- Members of European Parliament (MEPs)
H2020 Latest: MEPs
• ITRE voted on all six components of the H2020 package on 29/11/12
• Main suggested changes were within the Rules of Participation:• a single project type across Horizon 2020 called "Research and Development
and Experimental development"; • 100% reimbursement of direct costs for universities, research institutions and
small and medium-sized enterprises (SMEs) for all projects (research and close to market) and 70% for industry partners;
• a single indirect cost flat rate for all beneficiaries of 20% (the Council proposes 25%);
• the option of a reimbursement based on full costs based on a certificate on the methodology (for this option the overall reimbursement rate for universities, research institutions and SMEs would be 70%); and
• common rules for funding across Horizon 2020, including for Joint Technology Initiatives (JTIs) and Public Private Partnerships (PPPs).
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H2020 Links
Useful Links• Stay up to date by signing up for UKRO Portal and emails
• Horizon 2020 website: http://ec.europa.eu/research/horizon2020/index_en.cfm
• Draft proposal: http://tinyurl.com/894jahl
• UKRO subscriber article with summary of proposals: http://www.ukro.ac.uk/subscriber/Pages/111209_horizon2020.aspx
• New UKRO webpages on Horizon 2020 and other future programmes:http://www.ukro.ac.uk/subscriber/future_funding/Pages/index.aspx
• UKRO webpages on Europe 2020 Policy:http://www.ukro.ac.uk/subscriber/eu_policy/Pages/index.aspx
• Innovation Union website:http://ec.europa.eu/research/innovation-union
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