Horizon 2020 Overview University of Bristol 24 May Emma Carey

Horizon 2020 Overview University of Bristol 24 May 2012 Emma Carey emma.carey@bbsrc.ac.uk

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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 growth Headline targets 75% of the population aged 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 Understanding the EU context

EU 2020 Strategy EU Research 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 EU Research

Other Key Policy Drivers
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 EU Research

What is the Innovation Union?
Highlights 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 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

Underlying Logic of Innovation Union
Collaborating internationally Pooling efforts for breakthroughs Maximising social and regional benefits Getting good ideas to market Strengthening the knowledge base

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 Development of Horizon 2020

CSFRI Green Paper Consultation 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 Development of Horizon 2020

CSFRI Green Paper Consultation 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 chain CSFRI should support basic research as well as more applied ‘agenda-driven’ research Development of Horizon 2020

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 Ongoing Parliament and Council negotiations on EU budget Mid 2012 Final calls under FP7 to bridge gap towards Horizon 2020 Q Conciliation and adoption of next FP 1 January Start of Horizon 2020 Development of Horizon 2020 Sept June Dec

Horizon 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 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. Horizon 2020 Sept June Dec

Proposed Horizon 2020 Structure
Excellent Science Base European Research Council (ERC) Future and Emerging Technologies (FET) Marie Curie Actions Research Infrastructures Development of Horizon 2020 Development of Horizon 2020 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 ( )

Horizon 2020 – three priorities
Excellent Science 27,818m Industrial Leadership 20,280m Societal Challenges 35,888m Horizon 2020 Sept June Dec

Horizon 2020 – Reimbursement Rates
Eligible Direct Costs: 100% reimbursement Eligible Indirect Costs: 20% flat rate (of eligible direct costs) Applies equally to all types of partner Possibilities of deviation for some programmes (e.g. Marie Curie) No real indirect costs option Likely to be subject of debate during co-decision process Development of Horizon 2020

Horizon 2020 – Excellent Science

Priority 1: Excellent Science - rationale
World class science is the foundation of tomorrow’s technologies, jobs and wellbeing Europe needs to develop, attract and retain research talent Researchers need access to the best infrastructures Horizon 2020

Excellent Science - breakdown
Total Budget for Programme ( , €m) 24,418 European Research Council: ‘Frontier research by the best individual teams’ 13, 268 Future and Emerging Technologies: ‘Collaborative research to open new fields of innovation’ 3,100 Marie Curie actions: ‘Opportunities for training and career development’ 5,572 Research infrastructures (inc. e-infrastructure): ‘Ensuring access to world-class facilities 2,478 Horizon 2020 Sept June Dec

Excellent Science - ERC
Continuity with FP7. 77% increase in funding. Will continue: 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

By 2020, ERC aims to demonstrate: That the best researchers are participating in the ERC’s competitions 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 scientists Horizon 2020

New for Horizon 2020 Reinforced budget to build on success of FP7 grant schemes 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 Horizon 2020

Excellent Science - FET
Expanded from ICT to be used as cross-cutting instrument Supports frontier research: alternative ideas, concepts or paradigms of risky or non-conventional nature Supported under three strands: FET Open: fostering novel ideas FET Pro-Active: nurturing emerging themes and communities FET Flagships: tackling grand interdisciplinary science and technology challenges Horizon 2020

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: 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

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 knowledge Staff exchange – international cross-border and/or inter-sectoral 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” 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 Horizon 2020

Excellent Science – Research Infrastructures
Three main objectives: Developing the European research infrastructures for 2020 and beyond Fostering the innovation potential of research infrastructures and their human capital Reinforcing the European research infrastructure policy and international co-operation Horizon 2020

Horizon 2020 – Industrial Leadership

Priority 2: Industrial Leadership- rationale
Strategic investments in key technologies (e.g. advanced manufacturing, micro-electronics) underpin innovation across existing and emerging sectors Europe needs to attract more private investment in research and innovation Europe needs more innovative SMEs to create growth and jobs Horizon 2020

Priority 2: Industrial Leadership- aims
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: 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 Horizon 2020

Priority 2: Industrial Leadership-
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 piloting Both agenda-driven activities and more open areas Integration in solutions for societal challenges will be supported together with the societal challenges (e.g., through cross-cutting actions) Horizon 2020

Industrial Leadership- breakdown
Total Budget for Programme ( , €m) 17,938 Leadership in enabling and industrial technologies: (ICT, nanotechnologies, material, biotechnology, manufacturing, space) 13,781 Access to Risk Finance: ‘Leveraging private finance and venture capital for research and innovation’ 3,538 Innovation in SMEs: ‘Fostering all forms of innovation in all types of SMEs’ 619 Horizon 2020 Sept June Dec

Industrial Leadership – Key Enabling Technologies
Collaborative research and innovation projects Strong focus on industrial involvement and applied research Key Enabling Technologies encompasses: Information & Communication Technologies (ICT) Nanotechnologies Advanced Materials Biotechnology Advanced Manufacturing and Processing Space

ICT: 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

Nanotechnologies: 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 nanotechnologies Developing the societal dimension of nanotechnology Efficient synthesis & manufacturing of nanomaterials, components and systems Developing capacity-enhancing techniques, measuring methods and equipment

Advanced Materials: Objective to achieve innovation “in all industrial sectors, particularly for high value markets” Includes: 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 control; Optimisation on the use of materials

Biotechnology: Funded under three areas: Boosting cutting-edge biotechnologies as future innovation drivers 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

Space: GMES not funded Galileo funded under Space in Horizon 2020 Likely to be more emphasis on industrial and SME participation 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, counter-guarantees Demand-driven component: first come, first served Policy-driven component: focusing on key sectoral policies of the Union 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 SMES” 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

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 innovation 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

Support for research intensive SMEs Target research-intensive SMEs in high-tech sectors Should show capability to commercially exploit project results Implemented by Article 185 initiative building on ‘Eurostars’ Enhancing the innovation capacity of SMES Activities across Horizon 2020 Supporting market-driven innovation

Horizon 2020 – Societal Challenges

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 addressed 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 worldwide Europe’s performance and trends in the related domains 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. Horizon 2020

Societal Challenges - breakdown
Total Budget for Programme ( , €m) 31,748 Health, demographic change and wellbeing 8,033 Food security, sustainable agriculture, marine and maritime research & the bioeconomy 4,152 Secure, clean and efficient energy 5,782 Smart, green and integrated transport 6,802 Climate action, resource efficiency and raw materials 3,160 Inclusive, innovative and secure societies 3,819 Horizon 2020 Sept June Dec

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 infrastructures Supporting and developing appropriate tools and technologies Development of research findings into practical & marketable products and services, including regulation Horizon 2020

Societal Challenges – Food Security, Sustainable Agricultures, Marine & Maritime Research and the Bio-based Economy 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 environment Better mobility, less congestion, more safety and security Global leadership for the European transport industry Horizon 2020

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: 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 eco-innovation Developing comprehensive and sustained global environmental observation & information systems Horizon 2020

Societal Challenges – Inclusive, Innovative and Secure Societies
Objective: to foster inclusive, innovative and secure European societies Three lines of activity: 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 Horizon 2020

Innovative Societies Strengthening the evidence base & support for Innovation Union Exploring new forms of innovation, inc. social innovation & creativity Ensuring societal engagement in research & innovation Promoting coherent & effective co-operation with third countries Horizon 2020

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

Horizon 2020 – Rules for Participation

Rules for Participation (1)
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 costs No real indirect cost option 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 Horizon 2020

Simplification Broader acceptance of participants’ accounting practices for direct costs Flat rate for indirect costs No time-sheets for personnel working full-time on a project 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

Horizon 2020 – How to Influence?

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. Development of Horizon 2020 Previous opportunities for influencing Horizon 2020: European Commission and BIS Consultation processes; European Commission workshops; UKRO/BIS workshops.

Horizon 2020 Overview University of Bristol 24 May Emma Carey

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