http://www.ukro.ac.uk

Joanna FrostJo.Frost@bbsrc.ac.u

k

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.

Staffordshire University13 February 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

•For reference• Links• Separate handout with further information on Horizon 2020

Age

ndaOutline of this session

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 povertyE

urop

e 20

20 S

trate

gyBackground 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.

Eur

ope

2020

Stra

tegy

– In

nova

tion

Uni

on

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)

Dev

elop

men

t of H

oriz

on 2

020

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

Dev

elop

men

t of H

oriz

on 2

020

Estimated Horizon 2020 Timetable

Dec

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

evel

opm

ent o

f Hor

izon

202

0

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)

• The follow on programme to FP7, EIT and parts of CIP

• 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

Hor

izon

202

0 O

verv

iew

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

Hor

izon

202

0 O

verv

iew

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

izon

202

0 O

verv

iew

Horizon 2020 – three priorities

June

Sept

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.

Hor

izon

202

0 O

verv

iew

Policy 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

Horizon 2020

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

Hor

izon

202

0 –

Exc

elle

nt S

cien

ce

Priority 1: Excellent Science

June

Sept

Dec

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

Hor

izon

202

0 –

Exc

elle

nt S

cien

ce

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 resultsNew 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

Hor

izon

202

0 –

Exc

elle

nt S

cien

ce

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

Hor

izon

202

0 –

Exc

elle

nt S

cien

ce

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 researchers2.Nurturing excellence by means of cross-border and cross-sector mobility3.Stimulating innovation by means of cross-fertilisation of knowledge4.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

Hor

izon

202

0 –

Exc

elle

nt S

cien

ce

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

Hor

izon

202

0 –

Exc

elle

nt S

cien

ce

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

Hor

izon

202

0 –

Indu

stria

l Lea

ders

hip

Priority 2: Industrial Leadership

June

Sept

Dec

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

Hor

izon

202

0 –

Indu

stria

l Lea

ders

hip

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

Hor

izon

202

0 –

Indu

stria

l Lea

ders

hip

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

Hor

izon

202

0 –

Soc

ieta

l Cha

lleng

es

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

Hor

izon

202

0 –

Soc

ieta

l Cha

lleng

es

Societal Challenges – Key Objectives

June

Sept

Dec

Challenge Objectives

Health Improve lifelong health and wellbeing

Food security Secure sufficient supplies of safe and high quality food and other bio-based products

Energy Transition 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

Societies Foster inclusive, innovative and secure European societies

Hor

izon

202

0 –

Soc

ieta

l Cha

lleng

es

Horizon 2020- Cross-cutting Aspects - Rules for Participation

Cross-cutting aspectsH

oriz

on 2

020

– C

ross

-cut

ting

aspe

cts

• 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

oriz

on 2

020

– R

ules

of P

artic

ipat

ion

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:

Hor

izon

202

0 –

Cro

ss-c

uttin

g as

pect

s

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

Pre

parin

g fo

r Hor

izon

202

0

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)• Apply for FP7 IRSES? (Call deadline 16 January 2013)• 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?

Pre

parin

g fo

r Hor

izon

202

0

European Technology PlatformsIndustry-led stakeholder forums on Europe’s key research challenges

http://cordis.europa.eu/technology-platforms

• Industrial Safety (IndustrialSafety) • Integral Satcom Initiative (ISI) • Mobile and Wireless Communications (eMobility) • Nanotechnologies for Medical Applications (NanoMedicine) • Networked and Electronic Media (NEM) • Networked European Software and Services Initiative (NESSI) • Photonics21 (Photonics) • Photovoltaics (Photovoltaics) • Plants for the Future (Plants) • Renewable Heating and Cooling (RHC)• Robotics (EUROP)• Sustainable Nuclear Energy (SNETP)• Sustainable Chemistry (SusChem) • Water Supply and Sanitation Technology Platform (WSSTP) • Waterborne (Waterborne) • Zero Emission Fossil Fuel Power Plants (ZEP)

Finished ETPs• Innovative Medicines for Europe (IME)• Hydrogen and Fuel Cell (HFP)ETPs Under Development:• Geological Disposal (In Nuclear Energy)

European Technology Platforms cover research on:(as at Oct 2008)• Advanced Engineering Materials and Technologies (EuMaT) • Aeronautics (ACARE)• Embedded Computing Systems (ARTEMIS) • Biofuels (Biofuels)• Construction (ECTP) • Nanoelectronics (ENIAC) • Rail Transport (ERRAC) • Road Transport (ERTRAC) • Space Technology (ESTP) • Steel (ESTEP) • Electricity Networks of the Future (SmartGrids)• Wind Energy (TPWind)• Smart Systems Integration (EPoSS)• Sustainable Mineral Resources (ETP SMR)• Farm Animal Breeding and Reproduction Technology (FABRE TP)• Food for Life (Food)• Forestry based sector (Forestry)• Future Manufacturing Technologies (MANUFUTURE)• Future Textiles and Clothing (FTC) • Global Animal Health (GAH)

Agree Common Vision

Define Strategic Agenda

ImplementStrategic Agenda

Building your consortium.. How do I find partners?• Existing contacts • FP6/FP7 Projects

• http://cordis.europa.eu/fp6/projects.htm• http://cordis.europa.eu/fp7/projects_en.html

• EU conferences (including events on the calls) and project evaluation • Networks of Excellence• European Technology Platforms

http://cordis.europa.eu/technology-platforms • Evaluating?• Partner searches:

• UKRO can distribute partner profiles• NCPs• CORDIS• IDEAL-IST (ICT research) and SINAPSE (SSH platform)• Enterprise Europe Network• Social Media? (Linked-in etc)

Note! Use partner searches with caution; Check out track record; Understand motives for getting involvedP

repa

ring

for H

oriz

on 2

020

EU Research Programmes

Horizon 2020 (H2020) Framework Programme for Research & Innovation

• H2020 will run from 2014-2020

• EUR 80 billion funding? (tbc)

• The underlying H2020 legislation is currently under discussion.• The European Commission published its proposals for H2020 In November

2011:• Horizon 2020 (Regulation of the European Parliament and Council ) setting out

the general objectives, rationale, budget information and details on how Horizon 2020 might be monitored and evaluated.

• Specific Programme implementing Horizon 2020 (Council Decision ) a single specific programme, which provides detailed information about the structure and broad scope of the activities to be funded under Horizon 2020

• Rules for the Participation and Dissemination in H2020 (Regulation of the European Parliament and Council)

• Euratom Proposal 2014-18 (Council Regulation)• Accompanied by a proposal for the revision to the European Institute of

Innovation and Technology (EIT) Regulation and its Specific Innovation AgendaInflu

enci

ng H

oriz

on 2

020?

EU Research ProgrammesHorizon 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!)

• The overall EU budget and its allocation to all the EU programmes (including H2020) is also currently under discussion)

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

enci

ng H

oriz

on 2

020?

Who to Contact to Influence Horizon 2020

• European Commission consultations;• Department of Business Innovation and Skills (BIS);• Members of European Parliament (MEPs)• UK representative on the relevant FP7 Programme Committee;• Research Councils;• UUK:• Let UKRO know your opinions too!

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.

Influ

enci

ng H

oriz

on 2

020?

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

Cou

ncil

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

Cou

ncil

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)

Cou

ncil

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

Cou

ncil

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).

• The Plenary vote is expected to take place in early 2013

ME

Ps

UKRO webpages on H2020

(Don’t forget to sign up for our email updates and select the ‘policy’ category too)

UKRO webpages on Horizon 2020

• UKRO webpages on Horizon 2020 and other new proposals:http://www.ukro.ac.uk/subscriber/future_funding/Pages/index.aspx

Hor

izon

202

0

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

Hor

izon

202

0 –

Link

s