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Horizon 2020 Overview

University of Bristol24 May 2012

Emma Careyemma.carey@bbsrc.ac.uk

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Understanding the European Context:Europe 2020 and the Innovation Union

EU 2020 strategy

- 10 year strategy aimed at making the EU more dynamic and competitive

- Three key drivers: Smart, sustainable and inclusive growth

Headline targets• 75% of the population aged 20-64 should be employed; • 3% of the EU's GDP should be invested in R&D; • The "20/20/20" climate/energy targets should be met

(including an increase to 30% of emissions reduction if the conditions are right);

• The share of early school leavers should be under 10% and at least 40% of younger generation should have a tertiary degree; and

• 20 million fewer people should be at risk of poverty

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EU 2020 Strategy

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 poverty

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Other Key Policy Drivers

• Knowledge Triangle

• European Research Area (ERA)

• Freedom of researchers, knowledge, technology

• Ljubljana Process

• Partnership approach; fifth freedom; ERA governance

• The Bologna Process

• European Higher Education Area (EHEA) by 2010EU

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What is the Innovation Union?

Highlights

• European Innovation Partnerships• European Research Area framework • Streamlined EU programmes• New financial instruments• Reform of standardisation system • Public procurement of innovation• Social innovation pilot• Stronger monitoring• Innovation Convention

• Tackling weaknesses : under-investment in R & D, framework conditions, fragmentation of research and innovation efforts

• Strengthening partnerships: involvement of all actors

A series of proposals which aim to improve framework conditions and access to finance for research and innovation in Europe, and so to ensure that innovative ideas can be turned into products and services – helping to create growth and jobs

Underlying Logic of Innovation Union

Collaborating internationally

Pooling efforts for breakthroughs

Maximising social and regional benefits

Strengthening the knowledge base

Getting good ideas to market

How was the proposal developed?

• Public consultation on ‘Common Strategic Framework for Research and Innovation’ (CSFRI) held Feb – April 2011

• Results available at: http://ec.europa.eu/research/csfri

• Name consultation ran in parallel – Horizon 2020

• Also input from: EU Presidencies; European Parliament Reports; stakeholder workshops run by C’ion

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CSFRI Green Paper ConsultationCommission Analysis of Public Responses

Initial Analysis of responses:

• Simplification is vital

• Research and innovation should be brought under the same roof

• Collaborative research should remain the bedrock of the next programme

• Some of the funding should be structured around ‘Grand Challenges’• could include, for example, climate change, energy

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CSFRI Green Paper ConsultationCommission Analysis of Public Responses

Initial Analysis of responses cont’d

• The European Research Council (ERC), Marie Curie and Research Infrastructure programmes are successful and should be continued;

• To help foster innovation, topics should be less prescriptive and there should also be sufficient support given to smaller projects and consortia;

• CSFRI should address all stages of the innovation chain

• CSFRI should support basic research as well as more applied ‘agenda-driven’ researchD

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What happens next?

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30 November 2011Adoption of Commission Proposal for Horizon 2020

from 30 November 2011Legislative Procedure (‘co-decision’): European Parliament readings and Council Common positions

OngoingParliament and Council negotiations on EU budget 2014-2020

Mid 2012Final calls under FP7 to bridge gap towards Horizon 2020

Q3 2013 Conciliation and adoption of next FP

1 January 2014 Start of Horizon 2020

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Horizon 2020 - overview

What’s new?

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• A single programme bringing together three separate programmes/initiatives (FP7/CIP/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.

Proposed Horizon 2020 StructureD

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0Excellent 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

European Institute of Innovation and Technology (EIT)

Joint Research Centre (JRC) Euratom (2014-2018)

Horizon 2020 – three priorities

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Excellent Science 27,818m

Industrial Leadership 20,280m

Societal Challenges 35,888m

Horizon 2020 – Reimbursement Rates

•Eligible Direct Costs: 100% reimbursement•Eligible Indirect Costs: 20% flat rate (of eligible direct costs)

• Applies equally to all types of partner

• Possibilities of deviation for some programmes (e.g. Marie Curie)

•No real indirect costs option

•Likely to be subject of debate during co-decision process

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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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Excellent Science - breakdown

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Total Budget for Programme (2014-20, €m) 24,418

European Research Council: ‘Frontier research by the best individual teams’ 13, 268

Future and Emerging Technologies:‘Collaborative research to open new fields of innovation’

3,100

Marie Curie actions:‘Opportunities for training and career development’

5,572

Research infrastructures (inc. e-infrastructure):‘Ensuring access to world-class facilities

2,478

Excellent Science - ERCH

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Continuity with FP7. 77% increase in funding. Will continue:• to operate autonomously led by a Scientific Council• to operate on a ‘bottom-up basis • to have ‘research excellence’ as sole criterion• to fund ‘individual teams’• to provide funding for starting researchers to make transition to independence• to support new ways of working with potential to create breakthrough results

Scope for continuation of 4 current schemes and flexibility to ‘develop the mix of support measures to respond to emerging needs’

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By 2020, ERC aims to demonstrate:• That the best researchers are participating in the ERC’s competitions• That ERC funding has led directly to scientific publications of the highest quality & to commercialisation of innovative technologies / ideas• That the ERC has contributed significantly to making Europe a more attractive environment for the world’s best scientists

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New for Horizon 2020

• Reinforced budget to build on success of FP7 grant schemes• Improved governance:

• Full time president based in Brussels (position merged with Secretary General)• Strengthened role of Scientists in the Steering Committee of the ERCEA• Better links between the Scientific Council and the Executive Agency

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• Expanded from ICT 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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Overarching objective:“to ensure optimum development and dynamic use of Europe’s intellectual capital in order to generate new skills and innovation and, thus, to realise its full potential across all sectors and regions”

Goes from 9 actions to 4 broader lines of activity:•Fostering new skills by means of excellent initial training of researchers

• Doctoral level training: innovative, intersectoral, interdisciplinary, international

• Follows on from ITN scheme (including new European Industrial Doctorate and Innovative Doctoral Programme strands)

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• Nurturing excellence by means of cross-border and cross-sector mobility• Opportunities for researchers at all career levels• Supports cross-border and cross-sector mobility• Follows on from FP7 individual fellowships

• Stimulating innovation by means of cross-fertilisation of knowledge• Staff exchange – international cross-border and/or inter-

sectoral• Follows on from IAPP/IRSES schemes

• Co-funding of activities across other three strands• Aims to “leverage additional funds to increase the

numerical and structural impact of MCA”

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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

Excellent Science – Research Infrastructures

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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

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- aims

• Acknowledge crucial role of private sector in bringing innovation to the market

• Aims to make Europe a more attractive location for businesses to invest in R & D and innovation

• Range of activities in which businesses set the agenda• Strong focus on addressing market failures:

• Insufficient strategic investment in key technologies underpinning innovation across a wide range of sectors

• Insufficient access to risk capital to set up new businesses and allow them to grow

• Potential contribution to growth of SMEs not fully exploited

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Priority 2: Industrial Leadership-

• Maintain and build global leadership in enabling technologies and space

• Underpin innovation across a range of sectors• Activities are technology-driven and range from

research all the way up to demonstration and piloting

• Both agenda-driven activities and more open areas

• Integration in solutions for societal challenges will be supported together with the societal challenges (e.g., through cross-cutting actions)

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Industrial Leadership- breakdown

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Total Budget for Programme (2014-20, €m) 17,938

Leadership in enabling and industrial technologies: (ICT, nanotechnologies, material, biotechnology, manufacturing, space)

13,781

Access to Risk Finance:‘Leveraging private finance and venture capital for research and innovation’

3,538

Innovation in SMEs:‘Fostering all forms of innovation in all types of SMEs’ 619

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

Industrial Leadership – Key Enabling Technologies

ICT:

Will be embedded across all areas (i.e., excellence, societal challenges, industrial leadership

Also six dedicated activity lines under KET:• New generation of components and systems• Next generation computing• The future of the internet• Content technologies & info. Management• Advanced interfaces and robots• Micro- and nanoelectronics and photonics

Industrial Leadership – Key Enabling Technologies

Nanotechnologies:Similar to FP7 with a greater focus on the societal

dimensions of nanotechnologies

Funding under five headings:• Developing next generation nanomaterials,

nanodevices, & nanosystems• Ensuring the safe development & application of

nanotechnologies• Developing the societal dimension of nanotechnology• Efficient synthesis & manufacturing of nanomaterials,

components and systems• Developing capacity-enhancing techniques, measuring

methods and equipment

Industrial Leadership – Key Enabling Technologies

Advanced Materials:Objective to achieve innovation “in all industrial sectors,

particularly for high value markets”

Includes:

• Cross-cutting & enabling materials technologies

• Materials development and transformation

• Management of material components

• Materials for a sustainable industry

• Materials for creative industries

• Metrology, characterisation, standardisation and quality control;

• Optimisation on the use of materials

Industrial Leadership – Key Enabling TechnologiesBiotechnology:Funded under three areas:• Boosting cutting-edge biotechnologies as future innovation drivers• Biotechnology-based industrial processes;• Innovative and competitive platform technologies

Advanced Manufacturing and Processing• Technologies for factories of the future• Technologies enabling energy-efficient buildings• Sustainable and low-carbon technologies in energy intensive

process industries• New, sustainable business models

Industrial Leadership – Key Enabling TechnologiesSpace:• GMES not funded• Galileo funded under Space in Horizon 2020• Likely to be more emphasis on industrial and SME participation• Proposed areas of funding are:

• Enabling European competitiveness, non-dependence & innovation in space activities

• Enabling advances in space technologies• Enabling exploitation of space data• Enabling European research in support of international space

partnerships

Industrial Leadership – Access to Risk Finance• Remedy market deficiencies in assessing risk finance for

research and innovation• Debt funding facility – loans, guarantees, counter-guarantees

• Demand-driven component: first come, first served• Policy-driven component: focusing on key sectoral policies of the Union

• Equity funding facility – early stage venture capital• Start-up window: focus on early stage • Growth window: expansion and growth stage investments in conjunction

with Equity Facility for Growth of COSME• Primarily demand-driven, possibility of earmarking for particular policy

goals.

Industrial Leadership – Innovation in SMES

• Objective “to stimulate growth by means of increasing the levels of innovation in SMEs, covering their different needs over the whole innovation cycle for all types of innovation, thereby creating more fast-growing, internationally active SMES”

• Article 18 of Horizon 2020 provides integrated approach to stimulating SME participation across Horizon 2020

• 15% of total budget of societal challenges and enabling and industrial technologies to go to SMEs

• Simplification key element of approach

Industrial Leadership – Innovation in SMES

Broad lines of activity:

• Mainstreaming SME support – dedicated instrument used in societal challenges and industrial leadership

• For all types of innovative SMEs and all types of innovation

• Used in all societal challenges and enabling and industrial technologies

• Bottom-up• Allowing for single SME projects where these

address European-level challenges• 3 phases: concept and feasibility; R&D,

demonstration, market replication; commercialisation

Industrial Leadership – Innovation in SMES

• Support for research intensive SMEs• Target research-intensive SMEs in high-tech sectors• Should show capability to commercially exploit project

results• Implemented by Article 185 initiative building on

‘Eurostars’

• Enhancing the innovation capacity of SMES• Activities across Horizon 2020

• Supporting market-driven innovation

Horizon 2020 – Societal Challenges

Priority 3: Societal challenges - rationale

• Concerns of citizens and society/EU policy objectives (climate, environment, energy, transport, etc.) cannot be achieved without innovation

• Breakthrough solutions come from multi-disciplinary collaborations, including social-sciences and humanities

• Addressing challenges requires full innovation cycle: research + innovation

• Compared to FP7 – emphasis on projects that solve specified challenges, NOT prescribing the specific topics, research fields, disciples, technologies or sectors to be addressed

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Societal challenges – How have they been selected?

Selection of challenges stems directly from Europe 2020 strategy, taking into account:• Need to focus on limited number of major challenges• EU level nature of the challenge• State of the economy and society in Europe and

worldwide• Europe’s performance and trends in the related

domains• Need for an approach co-ordinated at EU level.

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Societal challenges – Cross-cutting issues

• Focus on policy priorities without predetermining technologies or types of solutions to be developed

• Bringing together resources and knowledge across fields, technologies and disciplines

• Activities to cover cycle from research to market; focus on innovation-related activities (e.g. piloting, demonstration, demand side policies – public procurement, standards, etc.

• Social Sciences and Humanities – integral part of the activities to address all challenges.

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Societal Challenges - breakdown

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Total Budget for Programme (2014-20, €m) 31,748

Health, demographic change and wellbeing 8,033

Food security, sustainable agriculture, marine and maritime research & the bioeconomy

4,152

Secure, clean and efficient energy 5,782

Smart, green and integrated transport 6,802

Climate action, resource efficiency and raw materials

3,160

Inclusive, innovative and secure societies 3,819

Societal Challenges - Health

Objective: improve lifelong health and wellbeing

Three key areas:• Prevention – through increasing understanding of

relationships in all areas relating to health: genetic, environmental, socio-economic factors, healthy approach to aging

• Disease – to understand the development processes & process of disease & its spread in order to stimulate innovative drugs and therapies

• Health and Social Care – to improve sustainability & efficiency of care provision, plus management & effects of emerging health threats (e.g. epidemics)

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Societal Challenges - Health

Delivered through:• Long-term studies of large populations to collect and

process data• Developing and supporting data and biological

infrastructures• Supporting and developing appropriate tools and

technologies• Development of research findings into practical &

marketable products and services, including regulation

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Societal Challenges – Food Security, Sustainable Agricultures, Marine & Maritime Research and the Bio-based Economy

Objective: secure sufficient supplies of safe and high quality food and other bio-based products

Four main activity areas:• Sustainable agriculture and forestry• Sustainable and Competitive agri-food sector for a

safe and healthy diet• Unlocking the potential of aquatic living resources• Sustainable and competitive bio-based industries

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Societal Challenges – Secure, Clean and Efficient Energy

Objective: transition to a reliable, sustainable and competitive energy system

Broad lines of activity:• Reducing energy consumption and carbon footprint by

smart and sustainable use• Low-cost, low-carbon electricity supply• Alternative fuels and mobile energy sources• A single, smart European electricity grid• New knowledge and technologies• Robust decision making and public engagement• Market uptake of energy innovation

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Societal Challenges – Smart, Green, Integrated Transport

Objective: to achieve a resource-efficient, environmentally friendly, safe, seamless, and performing transport system for the benefit of all citizens, the economy and society.

Delivered through three challenges:• Resource efficient transport that respects the

environment• Better mobility, less congestion, more safety and security• Global leadership for the European transport industry

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Societal Challenges – Climate Action, Resource Efficiency & Raw Materials

Objective: to achieve a resource efficient and climate change resilient economy and a sustainable supply of raw materials

Broad lines of activity are:• Fighting and adapting to climate change• Sustainably managing natural resources & ecosystems• Ensuring the sustainable supply of non-energy & non-agricultural

raw materials• Enabling the transition towards a green economy through eco-

innovation• Developing comprehensive and sustained global environmental

observation & information systems

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Societal Challenges – Inclusive, Innovative and Secure Societies

Objective: to foster inclusive, innovative and secure European societies

Three lines of activity:

1. Inclusive Societies• Promoting smart, sustainable & inclusive growth• Building resilient and inclusive societies in Europe• Strengthening Europe’s role as a global actor• Closing the research & innovation divide in Europe

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Societal Challenges – Inclusive, Innovative and Secure Societies

2. Innovative Societies

• Strengthening the evidence base & support for Innovation Union

• Exploring new forms of innovation, inc. social innovation & creativity

• Ensuring societal engagement in research & innovation

• Promoting coherent & effective co-operation with third countries

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Societal Challenges – Inclusive, Innovative and Secure Societies

3. Secure Societies

• Fighting crime and terrorism• Strengthening security through border management• Providing cyber security• Increasing Europe’s resilience to crises and disasters• Ensuring privacy and freedom in the Internet and

enhancing the societal dimension of society

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Horizon 2020 – Rules for Participation

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Single set of rules• Adapted for the whole research and innovation cycle• Cover all research programmes and funding bodies• Aligned to the Financial regulation, coherent with other new EU Programmes

One Project – One Funding Rate• Maximum of 100% of direct costs for all types of partners (expect for actions close to market, where a 70% maximum will apply)• Indirect eligible costs: a flat rate of 20% of direct eligible costs• No real indirect cost option

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Simple Evaluation Criteria• Excellence, Impact, Implementation (excellence only, for the ERC)

New Forms of funding for innovation• Pre-commercial procurement• Inducement prizes• Dedicated loan and equity instruments

Improved rules on Intellectual Property• Balance between legal security & flexibility• Tailor-made IPR provisions for new forms of funding• A new emphasis on open access to research publications

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Simplification• Broader acceptance of participants’ accounting practices for direct costs• Flat rate for indirect costs• No time-sheets for personnel working full-time on a project• Possibility of output-based grants

Fewer, more targeted controls and audits• Lowest possible level of requirements for submission of audit certificates• Audit strategy focused on risk and fraud prevention

Horizon 2020 – How to Influence?

Who to Contact to Influence Horizon 2020

• Department of Business Innovation and Skills (BIS);

• UK representative on the relevant FP7 Programme Committee;

• Research Councils;

• Members of European Parliament (MEPs)

• Consider replying to the ERA Framework Consultation?

When trying to influence Horizon 2020, be aware of:

- the latest policy developments (e.g. EU2020 Strategy, Innovation Union);

- research activities funded in the past.

Previous opportunities for influencing Horizon 2020:- European Commission and BIS Consultation processes;- European Commission workshops;- UKRO/BIS workshops.

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