Horizon 2020
Department of Physics
1st May 2014
Presenter: Renata Schaeffer
Ext: 61648
Email: rs530@admin.cam.ac.uk
Research Operations
Horizon 2020
The next EU Framework Programme for Research and Innovation (2014-2020)
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Horizon 2020 Overview
How to Participate?
Who can participate?
Conditions of Participation
Evaluation Criteria
The Consortium
Finding Partners
Expert Advisory Group
Research Operations
The Budget
 Budget increase from €53bn in FP7 to €77bn in Horizon 2020 (at current prices)
Excellent
Science
24,4bn€
Industrial
Leadership
17bn€
Societal
Challenges
29,6bn€
OTHERS: 5,8B€ (Spreading excellence & widening participation, Science & Society, JRC, EIT)
Research Operations
Coverage of the full innovation chain
Excellent
Science
Basic
Research
Industrial
Leadership
Demonstration
Technology
R&D
Prototyping
Societal
Challenges
Large Scale
Validation
Pilots
Market
outputs
Research Operations
Horizon 2020: The Main Drivers
1. From Research to Innovation – from basic research to bringing ideas to the
market!
• Strong emphasis on industry participation across the Programme
2. Multi- disciplinary approach to research
• Integration of SSH disciplines in calls
3. ‘Simplification’
• ‘As is’ approach to evaluation process – no opportunity to tidy-up
proposal at negotiation stage (consider: IPR, access rights,
management structure)
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Less descriptive calls
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Simplified funding: 100% of direct costs + 25% overheads
Except for non-public organizations on Innovation Actions (IA): EU
contribution is 70% only (incl. 25% overhead)
(ERC, FET, IMI, Industrial Leadership and Societal Challenges calls)
Research Operations
Horizon 2020: Three priorities
1.Excellent Science
2.Competitive Industries
3.Better Society
Research Operations
Pillar structure
H2020 will focus resources on 3 key priorities:
Excellent
Science (1)
Industrial
Leadership (2)
 ERC
 Leadership in
enabling and
industrial
technologies
 FET (Future and
Emerging
Technologies)
 Marie Curie
Actions
 European
Research
Infrastructures
 Innovation in SMEs
and Access to risk
finance
Societal Challenges (3)
 Health, demographic change and
wellbeing
 European Bioeconomy Challenges
 Secure, clean and efficient energy
 Smart, green and integrated
transport
 Climate action, resource efficiency
and raw materials
 Europe in a changing world
 Secure societies
Widening Participation, Science with and for Society
European Institute of
Innov. and Tech EIT
EURATOM
Joint Research
Centre (JRC)
Research Operations
Pillar 1 – Marie Sklodowska-Curie (MSC)
FP7
ITN
Horizon 2020
ITN:
European Training Networks
European Joint/Industrial
Doctorates (?)
IEF
IOF
IIF
CIG
IAAP
IRSES
IF:
European Fellowships
Global Fellowships
Innovative Training Networks
(early Stage Researchers only)
Individual Fellowships
(Experienced Researchers)
RISE
Research and Innovation Staff
Exchange (Exchange of Staff)
COFUND
Cofunding or regional,
national and International
programmes
COFUND
Research Operations
Pillar 1 – Marie Sklodowska Curie
Call
ITN 2014
IF 2014
RISE 2014
NIGHT 2014
COFUND 2014
Publication date
11 Dec 2014
12 Mar 2014
11 Dec 2014
11 Dec 2014
10 April 2014
Deadline
6 Apr 2014
11 Sep 2014
24 Apr 2014
4 Mar 2014
2 Oct 2014
Budget
€405m
€240m
€70m
€8m
€80m
* Indicative 2015 calls information also available.
Research Operations
European Research Council (ERC)
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Funding is designed to support talented individuals to form research ‘teams’ to
undertake ground-breaking research
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Collaborative research is possible, but the ERC award typically what they class as
mono-partner projects, based in a single institution
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There are four main awards offered by the ERC:
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Starting, Advanced and Consolidator Investigator Grant, Synergy Grant and Proof of
Concept
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Funding is very generous – ranging from €1.5 million to €15 million (Synergy grants)
Research Operations
European Research Council (ERC)
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Eligibility depends on level of postdoctoral experience prior to publication date of the
call
 Starting Grants – PhD awarded between 2 up to 7 years
 Consolidator Grants – PhD awarded between 7 and 12 years
 Advanced Grants - to have a track record of significant research achievements in
the last 10 years
 Synergy Grants - will fund projects for groups of between two and four PIs who are
excellent researchers, to undertake frontier research of their choice. No specific
eligibility criteria with respect to their academic requirement are foreseen
 Proof of Concept – Provides additional funding to ERC grant holders to establish
proof of concept, identify a development path and an IPR strategy for ideas arising
from ERC grant
Research Operations
European Research Council Deadlines
Starting
Grant
Consolidator
Grant
Advanced
Grant
Proof of
Concept
Publication date
11th Dec 13
11th Dec 2013
17th June
2014
11th Dec
2013
Deadlines
25 March
2014
20 May 2014
21 October
2014
1 Apr/1 Oct
2014
Planned dates to inform applicants
Step 1
21 July
2014
31 Oct 2014
10 March
2015
31 July
2014/13
January
2015
Planned dates to inform applicants
Step 2
21 Nov
2014
15 Jan 2015
28 April
2015
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Indicative date for GA signature
21 March
2015
15 May 2015
28 August
2015
31 Nov
2014/13
May 2015
* Indicative 2015 calls information also available.
Research Operations
Future and Emerging Technologies (FET)
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Expanded from ICT and Energy to be used as cross-cutting funding scheme
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Supports frontier research: alternative ideas, concepts or paradigms of risky or nonconventional nature (similar to ERC)
Open, light and agile
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Roadmap based research
FET Open
FET Proactive
FET Flagship
Exploring novel ideas
Individual research
Early ideas
Coordination and
support action
• Developing topics and
communities – cluster
of research projects
• Four topics:
• Global System Sciences
• Knowing, doing beingcognition beyond
problem solving
• Quantum simulation
• Towards exascale high
performance computing
• Tackling grand
interdisciplinary
science and technology
challenges
• Graphene
• Human Brain (HBP)
• Support for Flagships
Research Operations
FET Open:
1. FET OPEN – Novel ideas for radically new technologies
 Deadline: 29/09/2015
 Cut off dates: 30/09/2014, 31/03/2015 and 29/09/2015
 http://ec.europa.eu/research/participants/portal/desktop/en/opportunities
/h2020/topics/1153-fetopen-1-2014.html
 Specific challenge: Supporting a large set of early stage, high risk visionary
science and technology collaborative research projects is necessary for the
successful exploration of new foundations for radically new future
technologies. Nurturing fragile ideas requires an agile, risk-friendly and
highly interdisciplinary research approach, expanding well beyond the
strictly technological disciplines. Recognising and stimulating the driving role
of new high-potential actors in research and innovation, such as women,
young researchers and high-tech SMEs, is also important for nurturing the
scientific and industrial leaders of the future.
Research Operations
FET Proactive:
1. FET Proactive – Emerging Themes and Communities
 Deadline: 01/04/2014
 http://ec.europa.eu/research/participants/portal/desktop/en/opportunities
/h2020/calls/h2020-fetproact-2014.html
1. FETPROACT 2: Knowing, doing, being: cognition beyond solving
Specific challenge: This initiative addresses the interdisciplinary fundamentals of
knowing, thinking, doing and being, in close synergy with foundational research
on future artificial cognitive systems, robots, smart artefacts and large scale
cyber-physical systems. It aims at renewing ties between the different
disciplines studying knowledge ….
Scope: (3rd!) Approaches for understanding the long-term development of
individual and social knowledge and identities, especially in highly
heterogeneous and dynamic settings (reflecting aspects of e.g., diversity, urban
change, migration, social and gender divides, multiculturalism, interdisciplinarity, etc.). Proposals are expected to take into account the role of
technologies and infrastructures in this, as well as how these facilitate or hamper
societal changes.
Research Operations
Leadership in Industrial and Enabling Technologies
(LEIT)
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Strong focus on industrial involvement and applied research
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Led by Industrial Roadmap
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Boost competitiveness, create jobs, support growth ….
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Emphasis on industrial (particularly SME) involvement and demonstration
projects
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Focus on common technological barriers
Research Operations
Leadership in Industrial and Enabling Technologies
(LEIT)
 Key Enabling Technologies (KETs)
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Micro- and nano-electronics,
Photonics
Nanotechnologies
Advanced Materials
Biotechnology
Advanced Manufacturing and Processing
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ICT
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Space
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Research Operations
Leadership in Industrial and Enabling Technologies
(LEIT)
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Public Private Partnership (PPPs) – implemented either through Joint Technology
Initiatives (JTIs) or contractual PPPs)
1.
2.
Joint Technology Initiatives
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ECSEL (Electronic Components and Systems fro European Leadership)
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Bio-based Industries (new)
Contractual PPPs
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Factories for the Future: FoF
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Energy Efficient Buildings: EeB
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Sustainable Process Industries through Resource and Energy Efficiency: SPIRE
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Photonics (Integrated into ICT WP)
Research Operations
Leadership in Industrial and Enabling Technologies
(LEIT)
Micro and nanoelectronics
Photonics
Nanotechnologies
Aims to increase
industrial capacity in
these areas
KET
Advanced Materials
LEIT
ICT
Biotechnology
SPACE
Advanced
Manufacturing and
Processing
JTI
PPP
ECSEL, ARTEMIS,
ENIAC & Bio-based
industries
Factories of the Future
Contractual PPP
Energy Efficient
Buildings
Focus on waste as a
resource to recycle and
reuse and low carbon
energy
Sustainable Process
Industries
Research Operations
Pillar 3 – Societal Challenges
 Health, demographic change and wellbeing (9.7%)
 helping EU citizens to lead longer and healthier lives
 European Bioeconomy Challenges (5.0%)
 investment for a safe, secure food supply, sustainable agriculture and
forestry, marine and maritime and inland waterway research
 Secure, clean and efficient energy (7.70%)
 e.g., efficient use of resources to create affordable green electricity
 Smart, green and integrated transport (8.23%)
 development of more intelligent and safer transport systems
 Climate action, resource efficiency and raw materials (4.0%)
 efficient use of resources for protection of our planet
 Europe in a changing world (1.7%)
 inclusive, innovative and reflective societies
 Secure societies (2.2%)
 protecting freedom and security of Europe and its citizens
Research Operations
Possible related calls – SC5, Climate Action:
 Topic: GROWING A LOW CARBON, RESOURCE EFFICIENT ECONOMY WITH A
SUSTAINABLE SUPPLY OF RAW MATERIALS
 Materials under extreme conditions
 Deadline : 10/03/2015(1 stage)
 Specific Challenge: High-tech products, … contain substantial amounts of
certain Critical Raw Materials (CRM). Although the amount of CRM per
product in general is very low, the huge number of products manufactured
makes the total amounts very impressive. The prices and availability of CRM
varies in time. There is therefore a need to find alternative solutions to
replace certain CRM in concrete applications, or to diversify the supply of
raw materials sources. (specific challenge identified in European Innovation
Partnership (EIP) on Raw Materials
 Scope: Proposals should develop solutions proving concept and feasibility at
the level of TRL 3-5; please see part G of the General Annex… development of
innovative and sustainable solutions for the appropriate substitution of
critical and scarce raw materials in applications under extreme conditions,
such as substitution of CRM in heat resistant super alloys, in hard materials,
critical alloying elements in bulk metals
Research Operations
Possible related calls – SC5, Climate Action:
 (Scope cont..): Proposals should develop solutions proving concept and
feasibility at the level of TRL 3-5; please see part G of the General
Annex
 Expected Impact: In the longer term pushing the EU to the forefront in the
area of sustainable raw materials substitution. Improved competitiveness
and creation of new jobs in materials producing and downstream industries,
demonstrated by a return-on-investment study. Significant contribution to
reduced dependency on CRMs in the medium term. Contribution to the large
scale adoption of the new cost-effective technology in the EU, measured by
quantitative and qualitative indicators. Availability of new materials with
improved performance under extreme conditions and for electronic devices.
Contribution to achieving the objectives of the EIP on Raw Materials.
 Type of Action: Research and Innovation actions
Research Operations
Horizon 2020 focus areas/challenges
Waste
Blue
Growth
Smart
cities
and
communi
ties
Water
Innovation
1.Health
7.Securit
y
Disaster
resilience
(incl.
climate
change)
2.Bioeconomy
Sustainable
food security
Competitive
low-carbon
energy
6.Inclusive,
innov
societies
3.Energy
Digital
Security
5.Climate
change
Mobility
for
Growth
Personalisi
ng health
and care
4.Transport
New
ideas for
Europe
Waste
Research Operations
What’s new?
 VAT eligible if non-deductible
 ITN ‘Management/Overhead’ as a €1200 flat rate (pre-proposal
negotiation required!)
 One audit at the end of the grant only – threshold €325K
 No timesheets for staff working 100% - but central declaration
required!
 Greater industry participation ++
 Open Access to scientific peer reviewed publication required
(including the bibliographic metadata identifying the
publication)
Research Operations
What’s new!
 Bonus payment of €8k per researcher/year is not an allowable
cost (decision by HR Committee 23/01/2014)
 ‘As is’ approach to evaluation process – no opportunity to
tidy-up proposal at negotiation stage (consider: IPR, access
rights, management structure)
 Letters of Intent are likely to be needed for most multibeneficiary proposals. Letters of Commitment needed for
partner organisations (part of the proposal)
 Projects are classified as RIA (Research Innovation Action) or
IA (Innovation Action)
 ‘Gender balance’ should be addressed in proposals
Research Operations
Horizon 2020 – How to participate?
Any institution may participate either as a Partner or as a Coordinator!
 Responsibilities of the Coordinator:
• Submits the proposal and (generally) leads the project.
• Reporting responsibilities
• Receives payment from the Commission and distributes to partners
• Acts as a ‘hub’ for queries between Partners and Commission
 Resources and Benefits?
 Coordinator receives adequate funding for resources to manage the
consortium. Costs are claimed as incurred and cannot lead to a profit.
 Closer links to Brussels
 Prestige (?)
 Financial support of up to £10k for preparation of large research funding bids
may be available from the University:
https://www.admin.cam.ac.uk/offices/rso/bidsupport/
Research Operations
Horizon 2020 – Who can participate?
Open to almost any entity….
 EU Member States (28)
 Candidate Countries
• e.g. Turkey, Serbia
 Associated Countries
• e.g. Switzerland,
Norway, Israel
 International Cooperation Partner
Countries (ICPC)
• e.g.: 3rdworld
countries
 Industry
• Multinationals to
SMEs
 Research organisations
 Universities & other HEIs
 Public bodies
• e.g.NHSTrusts
 Trade Associations
 International Bodies
• e.g. Red Cross, etc
Research Operations
Conditions for participation
Minimum conditions: FET, LEIT and Societal Challenges (apart from JTIs)
For standard collaborative actions (RIA and IA)
 3 legal entities, each established in different MS/AC
For CSA : 1 legal entity
For SME Instrument and programme co-fund
 1 legal entity established in a MS/AC
Industry participation is highly advisable even if not a requirement!
Research Operations
Evaluation Criteria – Excellence
 Soundness of concept and quality of objectives
 Progress beyond state of the art
 Quality and effectiveness of the S/T methodology and associated work
plan
 Guidelines
• How is your idea different? Why you and why now?
• Overall strategy, work plan (describe work packages) and
methodology
• Appropriate milestones and deliverables
• Risk assessments and contingency plans
Research Operations
Evaluation Criteria – Implementation
 Appropriateness of the management structure and procedures (no
negotiation)
 Quality and relevant experience of participants/consortium
 Appropriateness of the allocation and justification of the resources to be
committed (budget, staff, equipment)
 Guidelines
• Unless stated in call text there is no political/geographical
requirement
• Split the budget according to the work done (collaborative project)
Research Operations
Evaluation Criteria – Impact
 Contribution, at the European and/or international level, to the
expected impacts listed in the work programme
 Appropriateness of measures for the dissemination and/or exploitation
of project results, and management of IP
 Guidelines
 Include clear dissemination and publication plans
 Does it have “EU added value”?
 Include plans on how IPR will be exploited (no negotiation!)
 Plan to track the impact post-project (exploitation potential).
Include a business plan where relevant
o Sustainability of the project after the EU funding
Research Operations
Evaluation Criteria
1. Excellence
Clarity of the objectives;
Soundness of the concept, including trans disciplinary considerations;
Credibility of the proposed approach;
First stage
Ambition, progress beyond the state of the art.
considerations in
RED
2. Impact: […] contribution to:
The expected impacts listed in the work programme
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;
…measures to, disseminate and exploit the project results,… communication.
3. Quality and efficiency of implementation
Coherence and effectiveness of work plan, … allocation of tasks, resources;
Competences, experience and complementarity of the individual participants, as well as
of the consortium as a whole;
Appropriateness of the management structures and procedures….risk management.
Research Operations
Evaluation Process
Balanced selection of experts (scientific
expertise, geography, gender)
Eligibility
Check
YES?
Individual
Reading
(Remote/on
Site)
Consensus
Panel
Review
Evaluators invited on a call-by-call basis
Process monitored by independent experts
Research Operations
The Consortium
Meeting the criteria with a ‘balanced’ Consortium:
1. The basic research
• Science & Technology partners
2. Users of Technology & Implementation
• Partners with expertise to develop, test & validate the scientific premise,
technology or other outputs
3. IMPACT of the R&D outcomes on the target market
• Partners with expertise & experience to disseminate & exploit the
knowledge/solutions generated
Research Operations
Finding partners
On-line Partner
search databases
e.g SeReMa, PP
Call Info Days, Social Media
Conferences,
Trade Exhibitions
Choose the Best in the
area!
Use of Existing
Collaborators
Friends of Existing
Collaborators
Research Operations
Events
1. Photonics 21 Workhops – 06/06/2014 http://www.photonics21.org/index.php
2. Workshop on Re-naturing Cities and Addressing Environmental Challenges –
13/05/2014
http://ec.europa.eu/programmes/horizon2020/en/news/renaturing-citiesaddressing-environmental-challenges-and-effects-economic-crisis-through
3. Leading Enabling Technologies for Societal Challenges – 29/09/2014
http://www.lets2014.eu/
4. Horizon 2020 Projects - http://www.h2020.md/en/events
Research Operations
Expert Advisory Groups
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Feed into shaping the research agenda and Horizon 2020 calls for proposals
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Call for expressions of interest is still on-going (first groups have been selected)
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15 groups, consisting of 20-30 experts
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Experts from a broad group of stakeholders, including industry, research and civil
society.
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Mandate of experts is for two years, with a possible two year renewal.
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Appointment process is on going – 425 to be selected now!
Research Operations
Useful Links
Participant Portal:
http://ec.europa.eu/research/participants/portal/desktop/en/home.html
Experts for Horizon 2020 Advisory Groups
http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020-experts
Research Operations
Research Office EU Team
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Renata Schaeffer
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Catherine Hill
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Questions on: Coordinator grants
Sarah Saemian
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Questions on: General queries, funding
opportunities and EU policy
Questions on: General queries, Participant Portal
and EPSS
Bethan Jones
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ERC Officer
Research Operations