Horizon 2020 (Office document, 807kB)

Horizon 2020 Overview
University of Bristol
24 May 2012
Emma Carey
UK Research Office
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Understanding the European Context:
Europe 2020 and the Innovation Union
Understanding the EU context
EU 2020 strategy
- 10 year strategy aimed at making the EU more dynamic
and competitive
- Three key drivers: Smart, sustainable and inclusive
Headline targets
• 75% of the population aged 20-64 should be employed;
• 3% of the EU's GDP should be invested in R&D;
• The "20/20/20" climate/energy targets should be met
(including an increase to 30% of emissions reduction if
the conditions are right);
• The share of early school leavers should be under 10%
and at least 40% of younger generation should have a
tertiary degree; and
• 20 million fewer people should be at risk of poverty
EU 2020 Strategy
Seven flagship initiatives:
• ‘Innovation Union’
• ‘Youth on the move’
• ‘A digital agenda for Europe’
EU Research
• ‘Resource efficient Europe’
• ‘An industrial policy for the globalisation era’
• ‘An agenda for new skills and jobs’
• European platform against poverty
Other Key Policy Drivers
EU Research
• Knowledge Triangle
• European Research Area (ERA)
• Freedom of researchers, knowledge, technology
• Ljubljana Process
• Partnership approach; fifth freedom; ERA governance
• The Bologna Process
• European Higher Education Area (EHEA) by 2010
What is the Innovation Union?
A series of proposals
which aim to improve
framework conditions
and access to finance
for research and
innovation in Europe,
and so to ensure that
innovative ideas can
be turned into
products and services
– helping to create
growth and jobs
European Innovation Partnerships
European Research Area framework
Streamlined EU programmes
New financial instruments
Reform of standardisation system
Public procurement of innovation
Social innovation pilot
Stronger monitoring
Innovation Convention
Tackling weaknesses : under-investment in R & D, framework
conditions, fragmentation of research and innovation efforts
Strengthening partnerships: involvement of all actors
Underlying Logic of Innovation Union
Pooling efforts for
Maximising social and regional benefits
Getting good ideas to market
Strengthening the knowledge base
Development of Horizon 2020
How was the proposal developed?
• Public consultation on ‘Common Strategic
Framework for Research and Innovation’ (CSFRI)
held Feb – April 2011
• Results available at:
• Name consultation ran in parallel – Horizon 2020
• Also input from: EU Presidencies; European
Parliament Reports; stakeholder workshops run
by C’ion
CSFRI Green Paper Consultation
Development of Horizon 2020
Commission Analysis of Public Responses
Initial Analysis of responses:
Simplification is vital
Research and innovation should be brought
under the same roof
Collaborative research should remain the
bedrock of the next programme
Some of the funding should be structured around
‘Grand Challenges’
could include, for example, climate change, energy
security and efficiency, demographic ageing and
resource efficiency
CSFRI Green Paper Consultation
Development of Horizon 2020
Commission Analysis of Public Responses
Initial Analysis of responses cont’d
The European Research Council (ERC), Marie
Curie and Research Infrastructure programmes
are successful and should be continued;
To help foster innovation, topics should be less
prescriptive and there should also be sufficient
support given to smaller projects and consortia;
CSFRI should address all stages of the innovation
CSFRI should support basic research as well as
more applied ‘agenda-driven’ research
Development of Horizon 2020
What happens next?
30 November 2011
Adoption of Commission Proposal for Horizon 2020
from 30 November 2011
Legislative Procedure (‘co-decision’): European Parliament readings
and Council Common positions
Parliament and Council negotiations on EU budget 2014-2020
Mid 2012
Final calls under FP7 to bridge gap towards Horizon 2020
Q3 2013
Conciliation and adoption of next FP
1 January 2014
Start of Horizon 2020
Horizon 2020 - overview
What’s new?
• A single programme bringing together three separate
programmes/initiatives (FP7/CIP/EIT)
• Coupling research to innovation – from research to
retail, all forms of innovation
Horizon 2020
• Focus on societal challenges facing EU society, e.g.,
health, clean energy and transport
• Simplified access, for all companies, universities,
institutes in all EU countries and beyond.
Proposed Horizon 2020 Structure
Horizon 2020
of Horizon
Development of
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
European Institute of Innovation and Technology (EIT)
Joint Research Centre (JRC)
Euratom (2014-2018)
Horizon 2020 – three priorities
Excellent Science
Industrial Leadership
Horizon 2020
Societal Challenges
Development of Horizon 2020
Horizon 2020 – Reimbursement Rates
• Eligible Direct Costs: 100% reimbursement
• Eligible Indirect Costs: 20% flat rate (of eligible direct
Applies equally to all types of partner
Possibilities of deviation for some programmes (e.g. Marie
• No real indirect costs option
• Likely to be subject of debate during co-decision process
Horizon 2020 – Excellent Science
Horizon 2020
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
Excellent Science - breakdown
Total Budget for Programme (2014-20, €m)
European Research Council:
‘Frontier research by the best individual teams’
13, 268
Horizon 2020
Future and Emerging Technologies:
‘Collaborative research to open new fields of
Marie Curie actions:
‘Opportunities for training and career development’ 5,572
Research infrastructures (inc.
‘Ensuring access to world-class facilities
Horizon 2020
Excellent Science - ERC
Continuity with FP7. 77% increase in funding. Will
• to operate autonomously led by a Scientific Council
• to operate on a ‘bottom-up basis
• to have ‘research excellence’ as sole criterion
• to fund ‘individual teams’
• to provide funding for starting researchers to make
transition to independence
• to support new ways of working with potential to create
breakthrough results
Scope for continuation of 4 current schemes and
flexibility to ‘develop the mix of support measures to
respond to emerging needs’
Horizon 2020
Excellent Science - ERC
By 2020, ERC aims to demonstrate:
• That the best researchers are participating in the ERC’s
• That ERC funding has led directly to scientific
publications of the highest quality & to commercialisation
of innovative technologies / ideas
• That the ERC has contributed significantly to making
Europe a more attractive environment for the world’s best
Excellent Science - ERC
Horizon 2020
New for Horizon 2020
• Reinforced budget to build on success of FP7 grant
• Improved governance:
• Full time president based in Brussels (position
merged with Secretary General)
• Strengthened role of Scientists in the Steering
Committee of the ERCEA
• Better links between the Scientific Council and the
Executive Agency
Excellent Science - FET
Horizon 2020
• Expanded from ICT to be used as cross-cutting
• Supports frontier research: alternative ideas,
concepts or paradigms of risky or non-conventional
• 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
Excellent Science – Marie Curie
Overarching objective:
“to ensure optimum development and dynamic use of
Europe’s intellectual capital in order to generate new skills
and innovation and, thus, to realise its full potential across all
sectors and regions”
Goes from 9 actions to 4 broader lines of activity:
Horizon 2020
Fostering new skills by means of excellent initial training
of researchers
• Doctoral level training: innovative, intersectoral,
interdisciplinary, international
• Follows on from ITN scheme (including new European
Industrial Doctorate and Innovative Doctoral
Programme strands)
Horizon 2020
Excellent Science – Marie Curie
Nurturing excellence by means of cross-border and
cross-sector mobility
• Opportunities for researchers at all career levels
• Supports cross-border and cross-sector mobility
• Follows on from FP7 individual fellowships
Stimulating innovation by means of cross-fertilisation of
• Staff exchange – international cross-border and/or intersectoral
• Follows on from IAPP/IRSES schemes
Co-funding of activities across other three strands
Aims to “leverage additional funds to increase the
numerical and structural impact of MCA”
Excellent Science – Marie Curie
Horizon 2020
New for Horizon 2020:
• Simplification and rationalisation of activities
• Improved participation of businesses and other
socio-economic actors
• Increased possibility of portability of grants
• Stronger emphasis on communicating results
and on outreach activities
• New name! Now to be called the Marie
Skłodowska-Curie Actions
Excellent Science – Research
Horizon 2020
Three main objectives:
• Developing the European research
infrastructures for 2020 and beyond
• Fostering the innovation potential of research
infrastructures and their human capital
• Reinforcing the European research infrastructure
policy and international co-operation
Horizon 2020 – Industrial Leadership
Priority 2: Industrial Leadershiprationale
Horizon 2020
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
Priority 2: Industrial Leadershipaims
Acknowledge crucial role of private sector in bringing
innovation to the market
Aims to make Europe a more attractive location for
businesses to invest in R & D and innovation
Range of activities in which businesses set the agenda
Strong focus on addressing market failures:
Horizon 2020
Insufficient strategic investment in key technologies
underpinning innovation across a wide range of sectors
Insufficient access to risk capital to set up new businesses
and allow them to grow
Potential contribution to growth of SMEs not fully exploited
Priority 2: Industrial Leadership•
Horizon 2020
Maintain and build global leadership in enabling
technologies and space
Underpin innovation across a range of sectors
Activities are technology-driven and range from
research all the way up to demonstration and
Both agenda-driven activities and more open
Integration in solutions for societal challenges
will be supported together with the societal
challenges (e.g., through cross-cutting actions)
Industrial Leadership- breakdown
Total Budget for Programme (2014-20, €m)
Horizon 2020
Leadership in enabling and industrial
(ICT, nanotechnologies, material, biotechnology,
manufacturing, space)
Access to Risk Finance:
‘Leveraging private finance and venture capital for
research and innovation’
Innovation in SMEs:
‘Fostering all forms of innovation in all types of SMEs’
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)
Advanced Materials
Advanced Manufacturing and Processing
Industrial Leadership – Key
Enabling Technologies
Will be embedded across all areas (i.e., excellence,
societal challenges, industrial leadership
Also six dedicated activity lines under KET:
• New generation of components and systems
• Next generation computing
• The future of the internet
• Content technologies & info. Management
• Advanced interfaces and robots
• Micro- and nanoelectronics and photonics
Industrial Leadership – Key
Enabling Technologies
Similar to FP7 with a greater focus on the societal
dimensions of nanotechnologies
Funding under five headings:
• Developing next generation nanomaterials,
nanodevices, & nanosystems
• Ensuring the safe development & application of
• Developing the societal dimension of nanotechnology
• Efficient synthesis & manufacturing of nanomaterials,
components and systems
• Developing capacity-enhancing techniques, measuring
methods and equipment
Industrial Leadership – Key
Enabling Technologies
Advanced Materials:
Objective to achieve innovation “in all industrial sectors,
particularly for high value markets”
• Cross-cutting & enabling materials technologies
• Materials development and transformation
• Management of material components
• Materials for a sustainable industry
• Materials for creative industries
• Metrology, characterisation, standardisation and quality
• Optimisation on the use of materials
Industrial Leadership – Key
Enabling Technologies
Funded under three areas:
• Boosting cutting-edge biotechnologies as future innovation
• Biotechnology-based industrial processes;
• Innovative and competitive platform technologies
Advanced Manufacturing and Processing
• Technologies for factories of the future
• Technologies enabling energy-efficient buildings
• Sustainable and low-carbon technologies in energy
intensive process industries
• New, sustainable business models
Industrial Leadership – Key
Enabling Technologies
• GMES not funded
• Galileo funded under Space in Horizon 2020
• Likely to be more emphasis on industrial and SME
• Proposed areas of funding are:
• Enabling European competitiveness, non-dependence &
innovation in space activities
• Enabling advances in space technologies
• Enabling exploitation of space data
• Enabling European research in support of international
space partnerships
Industrial Leadership – Access
to Risk Finance
• Remedy market deficiencies in assessing risk finance for
research and innovation
• Debt funding facility – loans, guarantees, counterguarantees
• Demand-driven component: first come, first served
• Policy-driven component: focusing on key sectoral policies of the
• Equity funding facility – early stage venture capital
• Start-up window: focus on early stage
• Growth window: expansion and growth stage investments in
conjunction with Equity Facility for Growth of COSME
• Primarily demand-driven, possibility of earmarking for particular
policy goals.
Industrial Leadership –
Innovation in SMES
• Objective “to stimulate growth by means of increasing the
levels of innovation in SMEs, covering their different needs
over the whole innovation cycle for all types of innovation,
thereby creating more fast-growing, internationally active
• Article 18 of Horizon 2020 provides integrated approach to
stimulating SME participation across Horizon 2020
• 15% of total budget of societal challenges and enabling
and industrial technologies to go to SMEs
• Simplification key element of approach
Industrial Leadership –
Innovation in SMES
Broad lines of activity:
• Mainstreaming SME support – dedicated instrument
used in societal challenges and industrial leadership
• For all types of innovative SMEs and all types of
• Used in all societal challenges and enabling and
industrial technologies
• Bottom-up
• Allowing for single SME projects where these
address European-level challenges
• 3 phases: concept and feasibility; R&D,
demonstration, market replication; commercialisation
Industrial Leadership –
Innovation in SMES
Support for research intensive SMEs
• Target research-intensive SMEs in high-tech sectors
• Should show capability to commercially exploit project
• Implemented by Article 185 initiative building on
Enhancing the innovation capacity of SMES
• Activities across Horizon 2020
Supporting market-driven innovation
Horizon 2020 – Societal Challenges
Horizon 2020
Priority 3: Societal challenges rationale
Concerns of citizens and society/EU policy objectives
(climate, environment, energy, transport, etc.) cannot be
achieved without innovation
Breakthrough solutions come from multi-disciplinary
collaborations, including social-sciences and humanities
Addressing challenges requires full innovation cycle:
research + innovation
Compared to FP7 – emphasis on projects that solve
specified challenges, NOT prescribing the specific topics,
research fields, disciples, technologies or sectors to be
Horizon 2020
Societal challenges – How have
they been selected?
Selection of challenges stems directly from Europe 2020
strategy, taking into account:
• Need to focus on limited number of major challenges
• EU level nature of the challenge
• State of the economy and society in Europe and
• Europe’s performance and trends in the related
• Need for an approach co-ordinated at EU level.
Horizon 2020
Societal challenges –
Cross-cutting issues
Focus on policy priorities without predetermining
technologies or types of solutions to be developed
Bringing together resources and knowledge across
fields, technologies and disciplines
Activities to cover cycle from research to market; focus
on innovation-related activities (e.g. piloting,
demonstration, demand side policies – public
procurement, standards, etc.
Social Sciences and Humanities – integral part of the
activities to address all challenges.
Societal Challenges - breakdown
Total Budget for Programme (2014-20, €m)
Health, demographic change and wellbeing
Food security, sustainable agriculture, marine and
maritime research & the bioeconomy
Secure, clean and efficient energy
Horizon 2020
Smart, green and integrated transport
Climate action, resource efficiency and raw
Inclusive, innovative and secure societies
Horizon 2020
Societal Challenges - Health
Objective: improve lifelong health and wellbeing
Three key areas:
• Prevention – through increasing understanding of
relationships in all areas relating to health: genetic,
environmental, socio-economic factors, healthy approach
to aging
• Disease – to understand the development processes &
process of disease & its spread in order to stimulate
innovative drugs and therapies
• Health and Social Care – to improve sustainability &
efficiency of care provision, plus management & effects
of emerging health threats (e.g. epidemics)
Horizon 2020
Societal Challenges - Health
Delivered through:
• Long-term studies of large populations to collect and
process data
• Developing and supporting data and biological
• Supporting and developing appropriate tools and
• Development of research findings into practical &
marketable products and services, including
Societal Challenges – Food Security,
Sustainable Agricultures, Marine &
Maritime Research and the Bio-based
Horizon 2020
Objective: secure sufficient supplies of safe and high quality
food and other bio-based products
Four main activity areas:
• Sustainable agriculture and forestry
• Sustainable and Competitive agri-food sector for a
safe and healthy diet
• Unlocking the potential of aquatic living resources
• Sustainable and competitive bio-based industries
Horizon 2020
Societal Challenges – Secure, Clean
and Efficient Energy
Objective: transition to a reliable, sustainable and
competitive energy system
Broad lines of activity:
• Reducing energy consumption and carbon footprint by
smart and sustainable use
• Low-cost, low-carbon electricity supply
• Alternative fuels and mobile energy sources
• A single, smart European electricity grid
• New knowledge and technologies
• Robust decision making and public engagement
• Market uptake of energy innovation
Horizon 2020
Societal Challenges – Smart, Green,
Integrated Transport
Objective: to achieve a resource-efficient, environmentally
friendly, safe, seamless, and performing transport system
for the benefit of all citizens, the economy and society.
Delivered through three challenges:
• Resource efficient transport that respects the
• Better mobility, less congestion, more safety and security
• Global leadership for the European transport industry
Societal Challenges – Climate Action,
Resource Efficiency & Raw Materials
Objective: to achieve a resource efficient and climate
change resilient economy and a sustainable supply of
raw materials
Broad lines of activity are:
Horizon 2020
Fighting and adapting to climate change
Sustainably managing natural resources & ecosystems
Ensuring the sustainable supply of non-energy & non-agricultural
raw materials
Enabling the transition towards a green economy through ecoinnovation
Developing comprehensive and sustained global environmental
observation & information systems
Societal Challenges – Inclusive,
Innovative and Secure Societies
Horizon 2020
Objective: to foster inclusive, innovative and secure
European societies
Three lines of activity:
1. Inclusive Societies
• Promoting smart, sustainable & inclusive growth
• Building resilient and inclusive societies in Europe
• Strengthening Europe’s role as a global actor
• Closing the research & innovation divide in Europe
Societal Challenges – Inclusive,
Innovative and Secure Societies
2. Innovative Societies
Horizon 2020
Strengthening the evidence base & support for
Innovation Union
Exploring new forms of innovation, inc. social
innovation & creativity
Ensuring societal engagement in research &
Promoting coherent & effective co-operation with third
Societal Challenges – Inclusive,
Innovative and Secure Societies
Horizon 2020
3. Secure Societies
Fighting crime and terrorism
Strengthening security through border management
Providing cyber security
Increasing Europe’s resilience to crises and disasters
Ensuring privacy and freedom in the Internet and
enhancing the societal dimension of society
Horizon 2020 – Rules for Participation
Rules for Participation (1)
Horizon 2020
Single set of rules
• Adapted for the whole research and innovation cycle
• Cover all research programmes and funding bodies
• Aligned to the Financial regulation, coherent with other
new EU Programmes
One Project – One Funding Rate
• Maximum of 100% of direct costs for all types of partners
(expect for actions close to market, where a 70% maximum
will apply)
• Indirect eligible costs: a flat rate of 20% of direct eligible
• No real indirect cost option
Rules for Participation (2)
Horizon 2020
Simple Evaluation Criteria
• Excellence, Impact, Implementation (excellence only, for
the ERC)
New Forms of funding for innovation
• Pre-commercial procurement
• Inducement prizes
• Dedicated loan and equity instruments
Improved rules on Intellectual Property
• Balance between legal security & flexibility
• Tailor-made IPR provisions for new forms of funding
• A new emphasis on open access to research publications
Rules for Participation (3)
Horizon 2020
• Broader acceptance of participants’ accounting practices
for direct costs
• Flat rate for indirect costs
• No time-sheets for personnel working full-time on a
• Possibility of output-based grants
Fewer, more targeted controls and audits
• Lowest possible level of requirements for submission of
audit certificates
• Audit strategy focused on risk and fraud prevention
Horizon 2020 – How to Influence?
Development of Horizon 2020
Who to Contact to Influence Horizon 2020
Department of Business Innovation and Skills (BIS);
UK representative on the relevant FP7 Programme Committee;
Research Councils;
Members of European Parliament (MEPs)
Consider replying to the ERA Framework Consultation?
When trying to influence Horizon 2020, be aware of:
- the latest policy developments (e.g. EU2020 Strategy,
Innovation Union);
- research activities funded in the past.
Previous opportunities for influencing Horizon 2020:
- European Commission and BIS Consultation processes;
- European Commission workshops;
- UKRO/BIS workshops.