Introduction

Europe 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
The share of early school leavers should be under
10% and at least 40% of younger generation should have a tertiary degree
20 million fewer people should be at risk of poverty

Europe 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

Horizon 2020 overview
• The EU's funding programme for research and innovation
• Runs for seven years from 2014 – 2020
• Almost €80 billion of funding
• Structured around three pillars including a wide range of different funding schemes

Overview
• Focus on societal challenges EU society is facing (e.g. health, clean energy, food security, integrated transport)
• Covering the entire cycle from research to innovation – from basic research to bringing ideas to the market
• Opportunities for individual researchers and groups of researchers, including individual grants, funding for European collaborative research, mobility, close to market activities

Key features
• Two-year work programmes with calls for proposals
• Bottom-up and top-down opportunities
• In general broad topics and openness for a range of approaches
• Mainstreaming of SSH, ICT, international co-operation
• Strategic Programme defines overall focus areas
• Topics structure: “Specific challenge”, “Scope”, “Expected Impact”

Horizon 2020 overall policy objectives
• Overcoming the effects of the economic crisis and high unemployment rate
• Achieve smart, sustainable and inclusive economic growth
• Ensuring Europe
– produces world-class science and technology;
– removes barriers to innovation;
– and makes it easier for the public and private sectors to work together in delivering solutions to big challenges facing society

From FP7 to Horizon 2020
FP7
• Framework Programme
• Research themes
• SME participation important
• Growing importance of innovation
• Range of funding rates, complex rules
Horizon 2020
• Integrates FP, EIT, CIP
• Societal Challenges
• Strong industry focus overall
• Covering the entire cycle from basic idea to market
• Single reimbursement rate for all

Horizon 2020 structure
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, NMBP, Space
Societal
Challenges
Health and Wellbeing
Food security
Transport
Energy
Climate action
Societies
Security
Access to Risk
Finance
Innovation in SMEs
Widening Participation; Science with and for Society,
Mainstreaming of Social Sciences and Humanities (SSH) and
ICT, Fast Track to Innovation
European Institute of
Innovation and
Technology (EIT)
EURATOM
Joint Research
Centre (JRC)

Who is eligible?
All 28 EU Member States:
• Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic,
Denmark, Estonia, Finland, France, Germany, Greece, Hungary,
Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands,
Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden,
United Kingdom

Who is eligible?
• Overseas Countries and Territories (OCT) linked to the Member
States
– Anguilla, Aruba, Bermuda, Bonaire, British Virgin Islands, Cayman
Islands, Curaçao, Falkland Islands, French Polynesia, Greenland,
Montserrat, New Caledonia, Pitcairn Islands, Saba, Saint Barthélémy,
Saint Helena, Saint Pierre and Miquelon, Sint Eustatius, Sint Maarten,
Turks and Caicos Islands, Wallis and Futuna
• Associated Countries:
– Norway, Albania, Bosnia and Herzegovina, the former Yugoslav Republic of Macedonia, Montenegro, Serbia, Turkey, Israel, Moldova, Switzerland
(partial association Pillar 1 + SEWP + Euratom), Faroe Islands, Tunisia and Ukraine
• Third countries (whether they can receive funding depends on
GDP/list in WP)
• BRIC no longer eligible for funding

Third countries – eligibility and funding
• Only less developed economies (countries mentioned in Annex A to the WP) are automatically eligible for EU funding
• Developed and developing economies, such as the USA, Canada,
Australia, New Zealand, BRIC, Mexico, etc. will no longer automatically qualify for EU funding
• Funding may be provided in the following cases
– Under the existence of a bilateral agreement specifying such funding i.e. EU-US agreement for Societal Challenge 1
– When such funding is specifically mentioned in the call text or topic
– When Commission deems participation of an entity essential for the success of the project due to its expertise, access to data, etc.

• Description
– “Action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution”
• Funding rate: 100% + 25% indirect costs
• Multi-beneficiary
– Minimum: three legal entities each of which established in a different Member
State or associated country
• Respond to challenges set in the Societal challenges or Industrial
Leadership pillars

Innovation action
• Description
– “Action primarily consisting of activities directly aiming at producing plans and arrangements or designs for new, altered or improved products, processes or services. For this purpose they may include prototyping, testing, demonstrating, piloting, large-scale product validation and market replication”
• Funding rate: 70% (100% for non-profit) + 25% indirect costs
• Multi-beneficiary
– Minimum: three legal entities each of which established in a different Member
State or associated country
• Respond to challenges set in the Societal challenges or Industrial
Leadership pillars

• Description
– “Action consisting primarily of accompanying measures such as standardisation, dissemination, awareness-raising and communication, networking, coordination or support services, policy dialogues and mutual learning exercises and studies, including design studies for new infrastructure”
• Funding: 100% + 25% indirect costs
• Mono or Multi-beneficiary
– Minimum one legal entity established in a Member State or Associated Country
• Respond to direction given in the Societal Challenges or Industrial
Leadership pillars, and in FET

Calls and application
• Research Participant Portal is the main entry point for EU research and innovation funding:
– Calls are announced here
– Proposal submission done via the Portal
– Also used for grant preparation, project management…
– Registration of experts evaluators
– Includes useful section with reference documents
Use also:
• UKRO Portal email alerts
• UKRO Portal factsheets

Proposal submission
• Online via the Participant Portal submission tool
• Participant Identification Code (PIC) needed
– FP7 PICs remain valid
• Personal ECAS account for portal access will be needed
– European Commission Authentication Service
• Proposal must be registered by coordinator
• Partners will only see detail of application if given access by coordinator
• Access can be given to anyone with an ECAS account

Proposal structure
• All proposals consist of
– Part A: Admin forms and budget
– Part B: the actual proposal, uploaded as a PDF to the online submission system
• Exactly what is required in Parts A and B depends on scheme – MSCA is different to collaborative projects
• Some topics require two stage application process
– Summary of project idea and approach, then
– Full application only if shortlisted
• Guides to applicants not yet available (except MSCA); templates online
– Part B becomes Annex 1 to the grant agreement

Admissibility
• Proposal only admissible if:
– Submitted in the electronic system before the given deadline
– Complete – administrative forms, proposal description and any specified supporting documentation
– Readable, accessible and printable
• NB: Page limits
– If exceeded automatic warning and invitation to resubmit
– Otherwise truncated and excess pages will not be seen by evaluators
– In FET, if page limit is not respected, the entire proposal goes to bin!

Evaluation:
R&I/Innovation actions
• Three criteria
– Excellence
– Impact
– Quality/efficiency of implementation
• Plus
– Financial capacity
– Operational capacity
• Can the consortium do the work proposed?
• Based on competences, experience and complementarity of individual participants and consortium as a whole

Excellence
• The extent to which work corresponds to topic description
• Clarity and pertinence of objectives
• Credibility of approach
• Soundness of approach including interdisciplinary aspects
• Progress beyond state of art

Impact criterion during evaluation
• The expected impacts listed in the work programme under the relevant topic
• Enhancing innovation capacity and integration of new knowledge
• Strengthening the competitiveness and growth of companies by developing innovations meeting the needs of European and global markets, and where relevant, by delivering such innovations to the markets
• Any other environmental and socially important impacts
• Effectiveness of the proposed measures to exploit and disseminate the project results, to communicate the project, and to manage research data where relevant.

Quality and efficiency of implementation
• Quality and effectiveness of the work plan, including extent to which the resources assigned to work packages are in line with their objectives and deliverables;
• Appropriateness of the management structures and procedures, including risk and innovation management;
• Complementarity of the participants and extent to which the consortium as whole brings together the necessary expertise;
• Appropriateness of the allocation of tasks, ensuring that all participants have a valid role and adequate resources in the project to fulfil that role.
Revised wording for 2016-17!

Evaluation / ranking
• Two selection criteria
– Financial capacity: in line with financial regulation and rules for participation
– Operational capacity: assessed ability to carry out the project effectively
• Three award criteria
– Excellence, Impact, Implementation
• Each criteria scored out of 5
– Threshold for each is 3 (can be 4)
– Overall threshold: 10 (can be 12)
– For innovation actions impact score weighted at 1.5
• Proposals then ranked by scores
• Projects funded according to ranking within budget

Grant preparation
• Faster time to grant (5 + 3)
• EC: “No negotiation of the grant agreement in future, what is submitted will be evaluated. Potential participants must now be aware of this.”
• Simultaneous finalisation of Consortium Agreement  Expectation of a signed CA prior to GA in H2020
• Signatures  electronic signatures only in H2020
29

Consortium Agreement
• Mandatory unless specified in call for proposals
• Internal organisation of the consortium, including:
– Clear distribution of tasks
– Financial arrangements e.g. pre-financing
– Settlement of disputes e.g. non-performance
– Additional Intellectual Property arrangements e.g. licensing
– Liability and confidentiality
• Commission Consortium Agreement checklist established
• NOT signed by the Commission
• Usually drafted and disseminated by Co-ordinator
30

2014 calls for proposals
• Almost 100 calls with budget of over EUR 8 billion closed;
• More than 16 000 proposals submitted by May; over 36 000 by
September 2014;
• 25,903 eligible proposals received, requesting funding of approximately EUR 41.5 billion
• Average over-subscription around 7 times of the available budget;
• 60 000 expert evaluators registered but only 5 300 contracted for first round of calls;

2014/2015 calls – GAs signed
• 22 485 participations in 5273 projects
• Total EU contribution – nearly € 9.24 billion
• Average EU contribution per project – €1.75 million
• Average EU contribution per partner – nearly € 410 000
Data from November 2015

Collaborative projects
• 1387 collaborative projects as RIA, IA and CSA
• Total EU contribution – EUR 5.32 billion
– Average EU contribution per project (RIA) – €5.03 million
– Average EU contribution per project (IA) – €5.37 million
– Average EU contribution per project (CSA) – €1.05 million
Data from November 2015

Top five beneficiaries
Country Participations
Germany
UK
Spain
Italy
France
3008
2979
2311
2058
2018
EU Contribution Ranking by participations
(EUR mln)
1,768
1,367
793
717
976
1
2
3
4
5
Ranking by
EU contribution
1
2
4
5
3
Data from November 2015

UK performance
• According to data on Horizon 2020 calls released in
November 2015, the UK recorded:
– 2,979 participations (second only to Germany), of which 1051 as coordinator and 1,928 as participant
– EU contribution of €1.36 billion (second only to Germany)
– Average EU contribution per organisation is €460 000

UK participations in first calls
27%
9% 3%
3%
58%
Higher education establishments
Private for-profit entities
Research organisations
Public bodies
Other organisations

First set of data on 2014 calls
• Available on CORDIS since March, updated in November
• Can be used to determine:
– Average EU contribution per type of action
– Average number of partners per type of action
– Average length of projects
– Type of partners involved
• Cannot be used to determine success rates!
• Also… UKRO factsheet and Portal articles

Pillar One: Excellent Science

ERC Grant Schemes
Starting Grants
• For PIs 2-7 years from PhD, up to €2 million for 5 years
Consolidator Grants
• For PIs 7-12 years from PhD, up to €2.75 million for 5 years
Advanced Grants
• For leading researchers, up to €3.5 million for 5 years.
Synergy Grants
• for 2 to 4 PIs, up to €15 million for 6 years. No call in 2016 or 2017.
Proof of Concept
• For ERC grant holders only, up to €150,000 for 18 months

ERC 2016 Calls
Call identifier
Starting
Grant
ERC-2016-StG
Consolidator
Grant
ERC-2016-CoG
Advanced
Grant
ERC-2016-AdG
Proof of Concept
ERC-2016-PoC
Call Opens 29 July 2015 15 October 2015 24 May 2016 22 October 2015
Deadline
17 November
2015
2 February 2016
1 September
2016
16 February 2016
26 May 2016
4 October 2016
Budget €M
(estimated grants)
485 (335) 605 (335) 540 (235) 20 (130)

Marie Skłodowska-Curie Actions
Work
Programme
“.. Ensure excellent and innovative research training as well as attractive career and knowledge-exchange opportunities through cross-border and cross-sector mobility of researchers to best prepare them to face current and future societal challenges.”
Total budget: €6.2bn

Marie Skłodowska-Curie Actions
Innovative Training Networks (ITN)
• For Early Stage Researchers
Individual Fellowships (IF)
• For Experienced Researchers
Research and Support Staff Exchange (RISE)
• Exchange visits (secondments) of staff
Co-funding of programmes (COFUND)
• For regional, national, international doctoral or fellowship programmes

MSCA calls – 2016 timetable
Call identifier
MSCA-ITN-2016
MSCA-ITN-2017
MSCA-RISE-2016
MSCA-RISE-2017
MSCA-IF-2016
MSCA-IF-2017
Publication date Deadline
15 October 2015
15 September 2016
8 December 2015
1 December 2016
12 April 2016
11 April 2017
12 January 2016
10 January 2017
28 April 2016
5 April 2017
14 September 2016
14 September 2017
Call budget, €M
370
430
80
80
218.50
248

What is FET?
FET Open
Exploring novel ideas
FET Proactive
Developing topics & communities
FET Flagships
Addressing grand challenges
• Early ideas
• Collaborative research projects
• Bottom-up: nonprescriptive with regard to the nature or purpose of the envisaged technologies
Open, light and agile
• Exploration and incubation
• Topical clusters of research projects
• Specific areas defined in the Work
Programme
• Also: separate call to implement part of the
European HPC strategy
• Large-scale partnering initiatives
• Common research agendas
• Two Flagships launched: Graphene and the Human Brain
Project
Roadmap based research

What is funded (Work Programme 2016/17)? –
FET Open
• Research and Innovation Actions:
– Non-prescriptive with regard to nature or purpose of technologies
– Characteristics: long-term vision, break-through scientific and technological target, novelty, foundational, high-risk, interdisciplinary (‘FET gatekeepers’)
– Expected Impact:
• Initiating or consolidating a baseline of feasibility or a radically new line of technology and its future uses by establishing the essential proofs-ofprinciple and their supporting scientific underpinnings
• Strengthening European thought-leadership on visionary, new and emerging technologies, beyond academic excellence
• Take-up of new research and innovation practices for making leading-edge science and technology research more open, collaborative, creative and closer to society

Pillar 2: Industrial Leadership

NMBP: 5.ii NMPB Work Programme
Call 1: Energy-Efficient Buildings
• Eight topics – four in 2016, four in 2017
Call 2: Nanotechnologies, Advanced Materials, Biotechnology and Production
• Adv. Materials & Nanotech for High-Added value Products & Process Industries (7 topics)
• Green Vehicles (one topic)
• Adv. Materials & Nanotech for Healthcare (8 topics)
• Adv. Materials & Nanotech for Energy Applications (4 topics)
• Eco Design & New Sustainable Business Models (2 topics)
• Biotechnology (8 topics)
• Modelling for development. of Nanotech & Adv. Materials (3 topics)
• Science-based Risk Assessment & Management of NMB (4 topics)
• Innovative & Responsible Government of New & Converging KETs (8 topics)

What is ICT in LEIT?
Future Internet
5G
PPP
A new generation of components and systems
Advanced Computing and Cloud
Computing
Content
Big Data
PPP
Robotics and
Autonomous
Systems
SPARC
PPP
ICT KETs:
Photonics
PPP
Micro- and nanoelectronics
Photonics
Innovation and
Entrepreneurship
Support
Responsibility and
Creativity
International
Cooperation
Activities
Joint Calls with
Japan, Brazil, South
Korea
Other actions, including prizes

Security
(SC7)
Health
(SC1)
Food
Security
(SC2)
Transport
(SC4)
Energy
(SC3)
Societies
(SC6)
Climate
Action
(SC5)

Health, demographic change and wellbeing

Health, Demographic Change & Wellbeing
2016-17
Aims:
• To improve understanding of the causes, mechanisms underlying health, healthy ageing and disease
• To improve ability to monitor health & prevent, detect and manage disease
• To support research on active & healthy ageing
• To demonstrate new models / tools for health & care delivery
2016-17
• Strong focus on personalised medicine (one call per year only)
• All 2016 call single-stage
• SELECTED 2017 topics two-stage
• Overall 2016 budget = € 509.41 million
• Overall 2017 budget = € 436.58 million

Health, Demographic Change & Wellbeing 2016-17
Call 1: Personalised Medicine
• Understanding health, well-being & disease (2 topics 2016 / 2 topics 2017)
• Preventing disease (2 topics 2016, 1 topic 2017)
• Treating and managing diseases (1 topic 2016, 2 topics 2017, 1 topic 2016-17)
• Active ageing & self-management of health (3 topics 2016, 1 topic 2017)
• Methods & data (1 topic 2016, 4 topics 2017)
• Health care provision & integrated care (1 topic 2016)
• Co-ordination activities (12 topics 2016, 3 topics 2017)
SME Instrument: two 2016-2017 topics
• Supporting SMEs in the healthcare biotechnology sector
• Accelerating market introduction of ICT solutions for health, well-being & ageing well

Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the bioeconomy

What Will Be Funded in the 2016-2017 Work
Programme
Sustainable Food Security –
Resilient and resource-efficient value chains
Blue Growth Demonstrating an ocean of opportunities
Societal Challenge
2
Rural Renaissance Fostering innovation and business opportunities
Bio-based innovation for sustainable goods and services
Supporting the development of a European Bioeconomy

Secure, Clean and Efficient Energy

Work Programme for 2016-17
• Calls for proposals divided into three Focus Areas :
Energy Efficiency (25 topics)
Competitive Low-Carbon Energy (37 topics)
Smart Cities and Communities (1 topic)
• Activities cover the full innovation cycle. Types of projects to be funded:
– Research and Innovations Actions (with 100% reimbursement rate)
– Innovation Actions (with 70% reimbursement rate)
– Coordination and Support Actions
– 3 x ERA-NET Cofunds
– 3 x Inducement Prizes

Smart Green and Integrated Transport

What Will Be Funded in 2016-2017 Work
Programme? (1)
• Aviation
• Waterborne
• Safety
• Urban mobility
• Logistics
• Intelligent
Transport Systems
• Infrastructure
• Socio-economic and behavioural research and forward looking activities for policymaking
• Main focus of this call is on demonstrations of automated driving systems for passenger cars, trucks and urban transport.
• The scope of the
EGVI activities include both advanced powertrain technologies and new vehicle architectures, weight reduction, improved aerodynamics and rolling resistance and component development for alternative fuel vehicles.

Climate Action, Environment, Resource Efficiency and Raw
Materials

Climate: Work Programme 2016 – 2017
Climate in the SC5
WP
• Climate Services (3 topics 2016/3 topics
2017)
• Towards a low-carbon Europe (1 topic
2016/2 topics 2017)
• Nature-based solutions for territorial resilience (2 topics 2016/1 topics 2017)
• Water (2 topics 2016)
• Raw materials (5 topics 2016/4 topics
2017)
• Earth Observation (1 topic 2016, 2 topics
2017)
• Cultural heritage for sustainable growth
(1 topic 2016/2 topics 2017)
• Support to Policy and other actions (6 topics 2016/2 topics 2017)
Climate calls elsewhere in
H2020
• ‘Industry 2020 and the
Circular Economy’
• ‘Smart and sustainable cities’
• ‘Blue Growth – demonstrating an Ocean of opportunities’
• ‘Sustainable Food
Security – Resilient Agrifood Chains
• ‘Competitive, low-carbon energy’

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

What Will Be Funded in 2016-17
Co-creation
Societal and economic potential of cocreation; cultural heritage, creativity and design and participative and evidence-based policy-making, including R&I policies and Science 2.0
Engaging Globally
Anticipative and responsive capacities, developing EU security and defence cooperation, analysing migration, supporting the EC’s strategy for international cooperation in R&I
(science diplomacy)
Reversing Inequalities
Understanding sources and impacts of inequalities in Europe and beyond, developing solutions to the rise of inequalities and mechanisms of inclusive innovation
Understanding Europe
European legitimacy, cultural and historical literacy, preservation and management of cultural resources, cultural institutions as hubs of social innovation, efficient ICT services and cultural digital resources

Secure Societies: Protecting Freedom and Security of
Europe and its Citizens

Secure Societies: What Will Be Funded in
2016-2017 Work Programme
Critical
Infrastructure
Protection
Security*
Digital Security
Focus Area
Fast-Track to
Innovation
SME Instrument
Cryptography
Prize
*Security has sub-calls: Disaster Resilient Society (DRS), Fighting
Crime and Terrorism (FCT), Border Security and External Security
(BES)

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 Updates on key events
 Updates on call dates and management/financial issues
 Updates on opportunities to feed in to the programme’s development (i.e. formation of expert advisory groups, evaluator registration, other calls for expressions of interest)
 ‘UKRO understands’: early information
 New: UKRO Horizon 2020 Factsheets!