Horizon 2020The new programme of EU funding

Edward HeelasBirkbeck, University of London

Edward.heelas@bbsrc.ac.uk11/10/2013

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Horizon 2020Introduction

The European Union’s funding instrument for research and innovation from 2014-2020

• Budget of EUR 70,2 billion• From research to innovation – from basic research to bringing

ideas to the market• Focus on societal challenges EU society is facing (e.g. health,

clean energy, food security, integrated transport)• Promise of simplified access for all

What is Horizon 2020?

Excellent Science

European Research Council (ERC)

Future and Emerging

Technologies (FET)

Marie Skłodowska-Curie Actions

(MSCA)

Research Infrastructures

Industrial Leadership

Leadership in Enabling and

Industrial Technologies (LEIT) - ICT, KETs, Space

Access to Risk Finance

Innovation in SMEs

Societal Challenges

Health and Wellbeing

Food security

Transport

Energy

Climate action

Societies

Security

Widening Participation; Science with and for Society

European Institute of Innovation and Technology (EIT)

Joint Research Centre (JRC)EURATOM

Horizon 2020 structure

Clear distinction between funding for bottom-up, excellence-based research (Pillar 1: Excellent Science) and research addressing specific challenges (Pillar 3: Societal Challenges)

Dedicated part of the programme targeted primarily at industry, in particular Small and Medium-Sized Enterprises (SMEs) (Pillar 2: Industrial Leadership)

Programme integrates funding for research and innovation projects funding for innovation projects within all 3 pillars

Rationale for 3 Pillars

From FP7 to Horizon 2020

FP7 Horizon 2020

Framework Programme Research themes SME participation important Growing importance of

innovation Range of funding rates,

complex rules

Integrates FP, EIT, CIP Societal Challenges Strong industry focus

overall Covering the entire cycle

from basic idea to market Single reimbursement

rate for all

As at July 2013:

• UK-based organisations have been awarded €5.2 billion of FP7 funding, (the second highest share by country, after Germany), equivalent to 15% of the programme’s overall budget

• Academic organisations were awarded 62% of this share (thus 10.9% of the entire FP7 budget went to UK academia), and around 17% to SMEs

• UK organisations were involved in around 8100 funded projects (the highest number by country)

• The highest number of European Research Council grants went to the UK, with around 800 grants based at over 75 different host institutions

UK performance in FP7

Basic model for research projects• 100% direct costs +• 25% indirect costs (overhead)

Basic model for “innovation” projects• 70% direct costs +• 25% indirect costsFor Universities involved in innovation projects: 100% direct costs

Some calls different – e.g. prizes

Funding in Horizon 2020

28 EU Member States (Croatia as of 2013) Associate Countries (similar list to FP7 expected)

• Still under negotiation• Some might not sign agreement in time for Horizon 2020 start

but can still apply as long as the agreement is signed in time for grant signature.

Third countries (funding will depend on GDP)• BRIC no longer eligible for automatic funding

Who will be eligible for funding?

Two-year work programmes for 2014-15

Harmonised structure across all EC Directorate-Generals

Strategic Programme defines overall focus areas

Topics structure: “Specific challenge”, “Scope”, “Expected Impact”, “Type of action”

Work Programmes

CP: Collaborative Project

“Traditional” multi-national, multi-partner collaborative projects100% - predominantly research70% - largely closer to market “innovation projects”

CSA: Coordination and Support Action“Traditional” multi-national, multi-partner support actions100% or 70%

SME Instrument SMEs only – research can be subcontracted to HEIs

cPPP: contractual Public/Private partnership

Vehicle to pursue specific technological roadmap. Part funded by industry. EU funding element from Horizon 2020. Issue research calls – same funding regime as Horizon 2020

ERANET

Research programmes run by network of national funders in specific field part funded by EU from Horizon 2020. Issue research calls on their own funding regimes

Prizes All or nothing specific competitive calls – content varies

PCP: Pre-contractual procurement Non-competitive actions

PPI: Public procurement of innovative solutions

Non-competitive actions

Project types

Horizon 2020Pillar 1 – Excellent Science

Excellent Science

Total budget = €21.6 billion Overall objective: “to strengthen the excellence of

European research”

Horizon 2020European Research Council

The ERC seeks to fund the best ‘frontier research’ proposals submitted by excellent researchers, with excellence as the single peer review criterion.

Will fund projects led by a Principal Investigator, if necessary supported by a team (no need for pan-European collaboration).

Will operate on a ‘bottom-up’ basis, without pre-determined research priorities. 25 panels in 3 domains which proposals can be submitted to:

Physical Sciences and Engineering Life Sciences Social Sciences and Humanities

ERC in Horizon 2020 – What can be Funded?

Starting Grants

Consolidator Grants

Advanced Grants

Synergy Grants

Proof of Concept

ERC in H2020– Five Schemes

Please see the ERC’s April 2013 statement on the timing of the 2014 calls: http://erc.europa.eu/update-ERC-calls-proposals-2014

Horizon 2020Marie Skłodowska-Curie Actions

Operates in a ‘bottom-up’ basis, open to all research and innovation areas

Mobility is a key requirement

Key areas supported:• Fostering new skills by means of excellent initial training of

researchers• Nurturing excellence by means of cross-border and cross-sector

mobility• Stimulating innovation by means of cross-fertilisation of knowledge• Co-funding of activities

MSCA in Horizon 2020

FP7 Horizon 2020

ITN ITN Innovative Training Networks (Early Stage Researchers)

IEF

IF Individual Fellowships(Experienced Researchers)

IOF

IIF

CIG

IAPPRISE

Research and Innovation Staff Exchange

(Exchange of Staff)IRSES

COFUND COFUND Cofunding or regional, national and international programmes

MSCA – 4 Schemes

2 strands in IF scheme:

• Outgoing Fellowship - (MS/AC to third country), with mandatory return

phase • European Fellowship - (any country to MS/AC)

2 main changes to FP7:• Optional intersectoral secondment in a MS/AC during the

fellowship • ICPC return phase could be removed

Individual Fellowships

Participants defined as ‘academic’ and ‘non-academic’

Early stage researchers (ESRs) only

The Innovative Doctoral Programme strand will move to the COFUND scheme.

Innovative Training Networks

European Training Networks (minimum of three participants)

Joint Doctorates (at least three academic participants who can deliver a doctoral degree)

European Industrial Doctorates (one academic participant and one  non-academic participant)

Focused on exchange of staff

Amalgamation of IAPP and IRSES with 7 main changes• Project to be based on new or existing ‘joint research project’ • Participants - ‘academic’ / ‘non-academic’ NOT ‘public sector’ /‘private

sector’ • Minimum 3 participants - 3 different countries (2 MS/AC) • If all participants MS/AC, minimum 1 academic +1 non-academic

participant from different countries • Secondment period - 1 to 12 months- doesn’t need to be continuous • One simplified funding system- ‘unit cost’ with country co-efficient

factors • Projects between 50-500 research months

Research and Innovation Staff Exchange

Supports 2 programmes:• Doctoral programmes (Innovative Doctoral Programmes) • Fellowship programmes

Funding model in COFUND will differ from FP7• Standard ‘unit costs’- fixed amounts per researcher /year • Maximum EU contribution to single legal entity/ year • Programmes up to 60 months • Shorter time to grant • All researchers should be covered by full social security• Principles of the Charter and Code should set out provisions

for ESRs

COFUND

Horizon 2020Future Emerging Technologies

Expanded from ICT and Energy to be used as cross-cutting funding scheme Supports frontier research: alternative ideas, concepts or paradigms of risky or

non-conventional nature

Overview of FET Activities

FET Open

• ‘Fostering novel ideas’• Individual research projects

• Early ideas• Coordination and support activities

FET Proactive

• ‘Nurturing emerging themes and communities’

• Open research clusters• Global Systems Science (GSS);

• Knowing, doing being: cognition beyond problem solving

• Future generations of high-performance computing

FET Flagships

• ‘Tackling grand Interdisciplinary science and technology challenges’

• Common research agendas

• Graphene• Human Brain• Support to Flagships

Open, light and agile Roadmap based research

Horizon 2020Research Infrastructures

ESFRI Roadmap – identifies new pan-European RIs or major upgrades to existing ones

ERIC – legal instrument at EU level to facilitate the joint establishment and operation of RI of European interest

Background information at: • http://ec.europa.eu/research/infrastructures

Research Infrastructure: context

Developing the European Research Infrastructures (RI) for 2020 and beyond: Developing new world class RIs Integrating and opening national RIs of pan-European

interest Development, deployment and operation ICT based e-

Infrastructures Foster innovation potential of RI and their human capital Reinforcing European RI policy and international co-operation

Research Infrastructures in Horizon 2020

Horizon 2020Pillar 2 – Industrial Leadership

Pillar 2 – Industrial Leadership

Total budget €15 bn

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

Emphasis on combining enabling technologies to find solutions for societal challenges – particularly energy efficiency targets, sustainability and climate change objectives

Pillar 2: Rationale

Strong focus on industrial involvement and applied research

Developing industrial capacity in focus areas: • Key Enabling Technologies (KETs)

Micro- and nano-electronics, Photonics Nanotechnologies Advanced Materials Biotechnology Advanced Manufacturing and Processing

LEIT – Key Enabling Technologies

KETs - Combining several key enabling technologies for advanced products

ICT in LEIT - Challenges

New generation of components and

systemsFuture Internet

Advanced Computing

Content technologies and

information management

Robotics

Micro- and nano-electronic technologies/

Photonics

Cross-cutting and horizontal activities and International Co-operation

Future Internet Public

Private Partnership

To foster a cost-effective competitive and innovative space industry and research community to develop and exploit space infrastructure to meet future Union policy and societal needs

• Develop innovative space technology from idea to demonstration in space• Use space data for scientific, public and commercial purposes• Work with Member States’ and European Space Agency research activities• Boost Space industry competitiveness and capacity for innovation• Use European space infrastructure to full capacity • International cooperation in space science and exploitation

Note that infrastructure development of Galileo and GMES (now Copernicus) funded outwith Horizon 2020

Space in LEIT

Factories for the Future: FoF Energy Efficient Buildings: EeB Photonics Sustainable Process Industries through Resource and

Energy Efficiency: SPIRE

Expected to show continuity from NMP theme under FP7

Roadmaps all in the public domain

Public-Private Partnerships (PPPs) in LEIT

Replaces Research for SMEs instrument (R4SME)

Dedicated SME instrument

Target highly innovative SMEs looking to develop and grow in international environment

Single company or collaborative

Allows for out-sourcing of research

Three stage support through innovation cycle

One project can access all three in order

One application per year, in all fields across LEIT and Pillar 3

Innovation in SMEs“The specific objective is to stimulate growth by means of increasing the levels of innovation in SMEs, covering their different innovation needs over the whole innovation cycle for all types of innovation, thereby creating more fast-growing, internationally active SMEs.”

Stage 1: Feasibility• 6-9 month project• €50k lump sum funding• to assess technological / commercial potential of project

Stage 2: Innovation Activity • 12 – 24 month duration• €1m - €3m funding• Emphasis on demonstration and market replication

Stage 3: Commercialisation phase• No direct funding• Simplified access to debt and equity financial instruments • Assistance with IPR protection

Innovation in SMEs

Funding for single beneficiaries for investment in research and innovation projects. Two types of funding will be provided:

Debt funding: loans and guarantees for investment in a project Equity funding: investment of capital in a project

Funding is mainly designed for early stage SMEs, or in some cases at the expansion stage

Some risk financing for a basic or applied research project by a public organisation (university, research institute) is also planned, under the new ‘Risk-Sharing Finance Facility’

Funds will be managed by the European Investment Bank

Access to Risk Finance

Horizon 2020Pillar 3 – Societal Challenges

Societal Challenges – Key Objectives

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

Transport

Resource-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

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

Total budget €26.2 bn

Societal Challenges rationale

2014-2015 Calls divided into 8 specific activity areas:• Understanding health, aging and diseases

• Effective health promotion, diseases prevention, preparedness and screening

• Improving diagnosis

• Innovative treatments and technologies

• Advancing active and healthy aging

• Integrated, sustainable, citizen-centred care

• Improving health information, data exploitation and providing an evidence base for health policies and regulation

• Co-ordination activities e.g. AHA EIP; More years, Better Lives; Global Alliance for Chronic Diseases

Challenge 1: Health, demographic changes and well being

Health, Demographic Change and Wellbeing

EIP Active and Healthy Ageing

Health for Growth

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Research Innovation Deployment

Horizon 2020 Health - Context

2014-2015 Calls divided into 3 specific activity areas:

1. Sustainable food security• Sustainable food production systems • Safe food and sustainable consumption• Global drivers of food security

2. Blue Growth: Unlocking the potential of the Oceans• Sustainably exploiting the diversity of marine life• New offshore challenges • Ocean observation technologies/systems• Horizontal aspects, socio-economic sciences, innovation,

engagement with society and ocean governance

Challenge 2: Food security, sustainable agriculture, marine and maritime research and the bio-economy

3. Innovative, sustainable and inclusive bioeconomy• Sustainable agriculture and forestry• Sustainable and competitive bio-based industries• Cross-cutting actions covering all activities

+ Contributions to other focus areas: Waste

Challenge 2: Food security, sustainable agriculture, marine and maritime research and the bio-economy

2014-2015 Calls divided into 3 specific activity areas:

1. Energy efficiency Bring to mass market technologies and services for a smart and efficient energy

use Unlock the potential of efficient and renewable heating-cooling systems Foster uptake of energy efficiency technologies in industry Innovative finance for sustainable energy

2. Low-cost, low-carbon energy Accelerating the development of transformative energy technologies Renewable electricity and heating/cooling Modernising the single European electricity grid Enhanced energy storage technologies Sustainable biofuels and alternative fuels for transport Sustainable use of fossil fuels Social, environmental and economic aspects of the energy system

3. Smart Cities and Communities Commercial-scale solutions with a high market potential, integrating energy,

transport and ICT sectors

Challenge 3: Secure, clean and efficient energy

Challenge 4: Smart, green and integrated transport

Draft Work Programme 2014-

15

1) Mobility for Growth

2) Green vehicles

3) Blue growth

4) Small Business

Mode of transport

Aviation

Rail

Road

Waterborne

Transport integration

Urban mobility

Logistics

Intelligent transport systems

Infrastructures

Challenge 5: Climate action, resource efficiency and raw materials

Fighting and adapting to climate change

Protecting the environment, sustainably

managing natural resources and ecosystems

Sustainable supply of non-energy and non-

agricultural raw materials

To achieve: Transition to a green economy through eco-innovation

Waste: a resource to recycle, reuse and recover raw materials

Water innovation: boosting its value for Europe

Contributing to focus areas + Global environmental

observation and information systems

1. Waste: A resource to recycle, reuse and recover raw materials• Addressing whole production and consumption cycle – waste prevention,

design of processes and products for recyclability, reuse, waste management 2. Water innovation: Boosting its value for Europe • Integrated approaches to water and climate change• Bringing innovative water solutions to the market

3. Fighting and adapting to climate change• Better understanding of climate change and reliable projections• Innovative adaption and risk prevention measures• Climate change mitigation policies

4. Sustainably managing natural resources and ecosystems• Functioning of ecosystems, interactions with social systems and their role in

sustaining economy and human beings• Support for decision making and public engagement

Draft Work Programme for 2014-15

5. Ensuring the sustainable supply of non-energy and non-agricultural raw materials• Better knowledge on availability• Promotion of sustainable supply (exploration, extraction, processing,

recycling and recovery)• Alternatives for critical raw materials• Improve social awareness

6. Enabling the transition towards a green economy through eco-innovation• Strengthen eco-innovation and market uptake• Innovative policies and societal changes• Resource efficiency through digital systems

7. Developing comprehensive and sustained global environmental observation and information systems

Draft Work Programme for 2014-15

Challenge 6: Europe in a Changing World: Inclusive, Innovative and Reflective Societies

Young generation in an innovative, inclusive and

sustainable Europe

Reflective societies: cultural heritage

and European identities

Europe as a global actor

To achieve: inclusive and innovative European societies in a context of unprecedented transformations and growing global

interdependencies

Overcoming the crisis: new ideas,

strategies and governance structures

New forms of innovation

1. Overcoming the crisis: new ideas, strategies and governance structures for Europe• The reform of the EU economic governance structure to better secure

financial and economic stability• The social, political and cultural consequences of and responses to the

crisis• Understanding the evolution of the crisis• The impacts of broader global trends on the EU’s economy

2. Young generation in an innovative, inclusive and sustainable Europe• The situation of young people, their capabilities, prospects and needs –

from the economic, social and individual perspective• How to ensure the full participation of young people in an innovative,

inclusive and sustainable Europe?

Draft Work Programme 2014-2015

3. Reflective societies: cultural heritage and European identities• European diversities, cultural heritage and identity formation - ‘Unity in

diversity’• Intellectual, artistic and historical legacy of the EU• Digital technologies for European cultural heritage

4. Europe as a global actor• International cooperation in research and innovation• Research to support Europe’s role as a global actor

5. New forms of innovation• Social and public sector innovation, new business models• Modernisation of public administration, incl. ICT-enabled open

government• Uptake of technologies in education, training and inclusion

Draft Work Programme 2014-2015

Specific Activities

Fight crime, illegal trafficking & terrorism

Protect critical infrastructures, supply chains and transport modes

Strengthen security through border management

Improve cyber security

Increase Europe’s resilience to crises and disasters

Ensure privacy and freedom & enhancing societal understanding

Enhance standardisation & interoperability of systems

Challenge 7: Secure societies

Horizon 2020Joint Technology Initiatives

JTIs

• Bio-Based Industries• Clean Sky• Electronic Components and Systems• Fuel Cells and Hydrogen• Innovative Medicines

Joint Technology Initiatives in Horizon 2020

Funded through societal challenges Currently going through political process

• At the proposal stage (published in July 2013)• Agreement needed between Council of the EU and the

European Parliament• ITRE committee expected to appoint a rapporteur for each JTI

Aim is to launch the first calls in Spring 2014

Joint Technology Initiatives in Horizon 2020

Horizon 2020Cross-cutting aspects: Science with and for Society,

Social Sciences and Humanities, International Cooperation, ICT

Objective is to “build effective cooperation between science and society, recruit new talent for science and pair scientific excellence with social awareness and responsibility”

Better alignment of the research and innovation process and its outcomes with the values, needs and expectations of European society = Responsible Research and Innovation

Cross-cutting issue in Horizon 2020 + dedicated work programme to further develop, disseminate and support good RRI practices all across Europe

Science with and for Society

Social Sciences and Humanities across Horizon 2020“Social sciences and humanities (SSH) research will be fully integrated into each of the general objectives of Horizon 2020”

Excellent Science

Base

• SSH fully supported under the ERC, MCSA and research infrastructures

• FET calls for “intense collaboration across disciplines…cognitive sciences, social sciences or economics…and with the arts and humanities”

Industrial Leadershi

p

• “Societal engagement on responsible nanotechnology”

• “Innovative materials for creative industries”

• “Developing smart factories that are attractive to workers”

• “Human-centric digital age”

Social Sciences and Humanities across Horizon 2020

Health

• “Individual empowerment for self-management of health”

• “Promoting integrated care”

• “Optimising the efficiency and effectiveness of health care systems and reducing inequalities”

Food security

• “A systems approach for the reduction, recycling and reuse of food waste”

• “Unlocking the growth potential of rural areas through enhanced governance and social innovation”

• “Tackling malnutrition in the elderly”

Energy

• “Socio-economic research on energy efficiency”

• “The human factor in the energy system”

• “Consumer engagement for sustainable energy”

“SSH will be mainstreamed as an essential element of the activities needed to tackle each of the societal challenges”

Social Sciences and Humanities across Horizon 2020

Transport

• “Mobility for growth: Socio-economic and behavioural research and forward looking activities for policy making”

• “Transport societal drivers”

Climate action

• “More effective ecosystem restoration in the EU”

• “The economics of climate change and linkages with sustainable development”

Security

• “The role of new social media networks in national security”

• “Better understanding the links between culture and disaster”

• “Impact of climate change in 3rd countries on Europe’s security”

Inclusive, innovative and reflective societies

“European societies after the crisis”“The young as a driver of socio-ecological transition”“European regional policies and the perceptions of Europe”

“The cultural heritage of war in contemporary Europe”“Cultural opposition in the former socialist countries”“Towards a new geopolitical order in the South and East Mediterranean”

“European cultural diplomacy: exploiting the potential of culture in the EU’s external relations”“Advanced 3D modelling for accessing and understanding European cultural assets”

Social Sciences and Humanities across Horizon 2020

No specific programme for international co-operation, but collaborating with third countries is highlighted across Horizon 2020

Pillar 1 (open to researchers from third countries)• European Research Council• Marie Skłodowska-Curie Actions• Research Infrastructures

Pillar 2 (international collaborations strongly encouraged)• Key Enabling Technologies

Pillar 3 (numerous topics recommending international collaborations)• All Societal Challenges

International Co-operation

ICT funding opportunities

Excellent Science Industrial Leadership

Societal Challenges

ICT in bottom up schemes: ERC, MSCA, FET, and

e-Infrastructures

ICT in LEIT – micro-nano-

electronics KET and photonics

KET

ICT embedded in Societal

Challenges

Getting involvedPractical aspects of Horizon 2020

Official programme launch 1 January 2014

Before then: First Calls for Proposals expected on 11.12.2013 Draft Work Programmes available Watch out for info days, brokerage events

Horizon 2020 start

European Commission Participant Portal: to become the main entry point for EU research and innovation funding• calls will be deposited here• Proposal submission via Participant Portal• Will also be used for negotiations, project management,

evaluators, documentation…

Use also: UKRO Portal email alerts UKRO Portal factsheets

Calls and applications

Check the Horizon 2020 proposals - do they cover your research area? Think about networking and building links with potential partners now Who are the 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• Call for Expert Advisory Groups: (http://

ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020-experts ) Some areas, such as Marie Curie and the ERC, are bottom-up so you could

start early thinking about potential proposal ideas for H2020

Sign up for UKRO Portal, and choose ‘policy’ category

What can you do to prepare?

Horizon 2020The new programme of EU funding

Edward HeelasBirkbeck, University of London

Edward.heelas@bbsrc.ac.uk11/10/2013