1. http://www.ukro.ac.uk Joanna Frost Jo.Frost@bbsrc.ac.uk Overview of Horizon 2020 The new EU research and innovation programme 2014-2020 Please note that this information is based on the European Commission proposals and is subject to change. Staffordshire University 13 February 2013

2. Horizon 2020 background: Europe 2020 and the Innovation Union The development of Horizon 2020 Horizon 2020 overview Excellent Science Industrial Leadership Societal Challenges Cross-cutting aspects and Rules of Participation Getting prepared for, and influencing, Horizon 2020 For reference Links Separate handout with further information on Horizon 2020 Agenda Outline of this session

3. Horizon 2020 Background: Europe 2020 and the Innovation Union

4. EU 2020 Strategy 10 year strategy to make the EU more dynamic and competitive Three key drivers: Smart, sustainable and inclusive growth Targets include 3% of the EU's GDP should be invested in R&D 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 Europe 2020 Strategy Background to Horizon 2020

5. Innovation Union and Horizon 2020 Horizon 2020 is key in delivering Europe 2020, Innovation Union and the European Research Area in terms of: Responding to the economic crisis to invest in future jobs and growth; Addressing people’s concerns about their livelihoods, safety and environment; and Strengthening the EU’s global position in research, innovation & technology. Europe 2020 Strategy – Innovation Union

6. The Development of Horizon 2020

7. How was the proposal developed? FP7 Interim Evaluation by an Expert Group Public consultation Name consultation Also input from: EU Presidencies; European Parliament Reports; stakeholder workshops run by Commission Commission published Horizon 2020 Proposal on 30 November 2011 for an 80 billion euro research and innovation funding programme (2014-20) Development of Horizon 2020

8. UKRO work towards Horizon 2020 BIS/UKRO workshops in Spring/Summer 2010 For Academics (May) For European Liaison Officers (July) UKRO facilitating RCUK discussions New ‘Development of next Framework Programme’ pages on UKRO website Sign up for the UKRO information services to keep up to date with opportunities to feed in Development of Horizon 2020

9. Estimated Horizon 2020 Timetable Dec February 2011 Communication on Common Strategic Framework for Research and Innovation Feb - April 2011 Stakeholder consultation 30 November 2011 Adoption of Commission Proposal for Horizon 2020 2012 - 2013 Legislative Procedure (‘co-decision’): European Parliament readings and Council Common positions Q3 2013 Conciliation and adoption of Horizon 2020 1 January 2014 Start of Horizon 2020 Development of Horizon 2020 Spring 2013: Most FP7 Calls closed by now July 2012: Last FP7 Work Programmes published

10. Horizon 2020 - Overview

11. What is Horizon 2020? Commission proposal published on 30 November 2011 for an €80 billion research and innovation funding programme (2014-20) The follow on programme to FP7, EIT and parts of CIP Forms part of the proposals for the next EU budget, complementing proposals for Structural Funds, education (Erasmus for All), etc. EC Horizon 2020 website: http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=home http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=home EC Horizon 2020 proposal: http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020- documents http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020- documents Horizon 2020 Overview

12. What’s new? A single programme bringing together three separate programmes/initiatives Framework Programme 7 (FP7) Competitiveness and Innovation Programme (CIP) European Institute of Innovation and Technology (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 Overview

13. European Institute of Innovation and Technology (EIT) 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 Joint Research Centre (JRC)Euratom (2014-2018) Horizon 2020 Overview

14. Horizon 2020 – three priorities June Sept Excellent Science €27,818m Industrial Leadership €20,280m Societal Challenges €35,888m NB: All budget figures are given throughout in ‘current 2011 prices’ as on p85 of the draft Horizon 2020 proposal. Horizon 2020 Overview

15. Policy Research and Innovation Research and Innovation Research and innovation outputs of Horizon 2020 Improved R&D capabilities Scientific publications New tools and techniques Models and simulations Prototypes, demonstrators, pilots Patents New products, processes, services Spin-offs Key Features Societal Impact and Contribution to Europe 2020 Horizon 2020 Seamless support from idea to market Easy access for all participants including SMEs Projects financed on the basis of excellence Ambitious collaborative projects with critical mass Inclusive & sustainable growth Better health & more well- being A more secure society Sustainable agriculture Clean & efficient energy Smart, green, integrated transport Reduced greenhouse gas emissions Efficient use of natural resources Competitiveness Exports increase by 1,4% and imports decrease by 0,2% in the medium term More high-tech Jobs >800,000 in the medium term Economic growth €1 invested in Horizon 2020 produces €10 extra GDP per annum Projects selected through intense pan-European competition Projects not achievable without EU support (additionality) Projects leveraging additional private and public resources Impact of Horizon 2020 for R&I

16. Horizon 2020 – Excellent Science

17. 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

18. Priority 1: Excellent Science June Sept Dec Total Budget for Programme (2014-20, €m)27,818 European Research Council: ‘Frontier research by the best individual teams’15,008 Future and Emerging Technologies: ‘Collaborative research to open new fields of innovation’ 3,505 Marie Curie actions: ‘Opportunities for training and career development’6,503 Research infrastructures (inc. e-infrastructures): ‘Ensuring access to world-class facilities’ 2,802 Horizon 2020 – Excellent Science

19. Excellent Science – ERC Continuity with FP7. Will continue to: operate autonomously led by a Scientific Council operate on a ‘bottom-up basis have ‘research excellence’ as sole criterion fund ‘individual teams’ provide funding for starting researchers to make transition to independence support new ways of working with potential to create breakthrough results New for Horizon 2020: Reinforced budget (77% increase) Scope for continuation of 4 current schemes and flexibility to ‘develop the mix of support measures to respond to emerging needs’ Improved governance Horizon 2020 – Excellent Science

20. Excellent Science – FET Expanded from ICT and Energy 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

21. Excellent Science – Marie Curie Goes from 9 actions to 4 broader lines of activity: 1.Fostering new skills by means of excellent initial training of researchers 2.Nurturing excellence by means of cross-border and cross-sector mobility 3.Stimulating innovation by means of cross-fertilisation of knowledge 4.Co-funding of activities across other three strands 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

22. 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 – Excellent Science

23. Horizon 2020 – Industrial Leadership

24. 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 – Industrial Leadership

25. Priority 2: Industrial Leadership June Sept Dec Total Budget for Programme (2014-20, €m)20,280 Leadership in enabling and industrial technologies: (ICT, nanotechnologies, material, biotechnology, manufacturing, space) 15,580 Access to Risk Finance: ‘Leveraging private finance and venture capital for research and innovation’ 4,000 Innovation in SMEs: ‘Fostering all forms of innovation in all types of SMEs’700 Horizon 2020 – Industrial Leadership

26. 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 Horizon 2020 – Industrial Leadership

27. Horizon 2020 – Societal Challenges

28. Priority 3: Societal challenges - rationale Concerns of citizens and society/EU policy objectives Breakthrough solutions come from multi-disciplinary collaborations, including social-sciences and humanities Addressing challenges requires full research innovation cycle, from research to market: focus on innovation-related activities (e.g. piloting, demonstration, demand side policies – public procurement, standards…) Focus on policy priorities without predetermining technologies or types of solutions to be developed emphasis could be on projects that solve specified challenges, NOT prescribing the specific topics, research fields, disciples, technologies or sectors to be addressed Horizon 2020 – Societal Challenges

29. Priority 3: Societal Challenges June Sept Dec Total Budget for Programme (2014-20, €m)35,888 Health, demographic change and wellbeing9,077 Food security, sustainable agriculture, marine and maritime research & the bioeconomy 4,694 Secure, clean and efficient energy6,537 Smart, green and integrated transport7,690 Climate action, resource efficiency and raw materials3,573 Inclusive, innovative and secure societies4,317 Horizon 2020 – Societal Challenges

30. Societal Challenges – Key Objectives June Sept Dec ChallengeObjectives Health Improve lifelong health and wellbeing Food security Secure sufficient supplies of safe and high quality food and other bio-based products Energy Transition to a reliable, sustainable and competitive energy system Transport Resource-efficient, environmentally friendly, safe, seamless, and performing transport system for the benefit of all citizens, the economy and society. Climate and resources Resource efficient and climate change resilient economy and a sustainable supply of raw materials Societies Foster inclusive, innovative and secure European societies Horizon 2020 – Societal Challenges

31. Horizon 2020 - Cross-cutting Aspects - Rules for Participation

32. Cross-cutting aspects Horizon 2020 – Cross-cutting aspects Aim to widen participation across whole programme to ensure excellence prevails wherever it exists Simplification as a crucial element More bottom-up elements to allow for novel ideas Package of measures to close innovation divide Links to Cohesion policy = building regional research & innovation capacity Boosting support to European Research Area (ERA) priorities – mobility, researcher careers, infrastructures, partnering, knowledge transfer, policy learning Taking account of gender, ethical issues and open access to results

33. Horizon 2020 - Rules for Participation Single set of rules: for everyone (academia & industry) One Project – One Funding Rate Maximum of 100% of direct costs for all types of partners (except for actions close to market, where a 70% max) Indirect eligible costs: a flat rate of 20% of direct eligible costs No real indirect cost option Simple Evaluation Criteria: excellence, implementation, impact New Forms of funding for innovation: including dedicated SME funding instrument Improved rules on Intellectual Property: including new emphasis on Open Access Simplification: including no time-sheets for personnel working full time on a grant Fewer, more targeted controls and audits: audit strategy focused on risk and fraud prevention Horizon 2020 – Rules of Participation

34. International co-operation Instruments: Targeted actions on basis of common interest and mutual benefit Horizontal activities to promote strategy development of international co-operation (‘Inclusive, innovative & secure societies’) Who is likely to receive funding? Industrialised and emerging economies: x Enlargement and neighbourhood countries: Developing countries:   Horizon 2020 – Cross-cutting aspects

35. Preparing for Horizon 2020 Influencing Horizon 2020?

36. What can you do to prepare? Check the H2020 proposals Do they cover your research area? (or are you interested in the bottom-up parts?) If not, or if you have suggestions on the current text, consider feeding this in? Don’t forget to keep an eye out for later versions (and consider feeding in again?) Sign up for UKRO Portal, and choose ‘policy’ category Preparing for Horizon 2020

37. What can you do to prepare? Think about networking and building links with potential partners now Who are key players? Who has been involved in previous projects / stakeholder groups? How can you meet them? Attending events Joining the EU evaluators database (http://ec.europa.eu/research/participants/portal/page/experts)http://ec.europa.eu/research/participants/portal/page/experts Apply for FP7 IRSES? (Call deadline 16 January 2013) Joining European Technology Platforms or other relevant stakeholder groups Position yourself as a key partner. Some areas, such as Marie Curie and the ERC, are bottom-up so you could start early thinking about potential proposal ideas for H2020. Get yourself known by European Commission staff,and UK Programme Committee representatives? Positioned on stakeholder groups? Preparing for Horizon 2020

38. European Technology Platforms Industry-led stakeholder forums on Europe’s key research challenges http://cordis.europa.eu/technology-platforms Industrial Safety (IndustrialSafety) Integral Satcom Initiative (ISI) Mobile and Wireless Communications (eMobility) Nanotechnologies for Medical Applications (NanoMedicine) Networked and Electronic Media (NEM) Networked European Software and Services Initiative (NESSI) Photonics21 (Photonics) Photovoltaics (Photovoltaics) Plants for the Future (Plants) Renewable Heating and Cooling (RHC) Robotics (EUROP) Sustainable Nuclear Energy (SNETP) Sustainable Chemistry (SusChem) Water Supply and Sanitation Technology Platform (WSSTP) Waterborne (Waterborne) Zero Emission Fossil Fuel Power Plants (ZEP) Finished ETPs Innovative Medicines for Europe (IME) Hydrogen and Fuel Cell (HFP) ETPs Under Development: Geological Disposal (In Nuclear Energy) European Technology Platforms cover research on: (as at Oct 2008) Advanced Engineering Materials and Technologies (EuMaT) Aeronautics (ACARE) Embedded Computing Systems (ARTEMIS) Biofuels (Biofuels) Construction (ECTP) Nanoelectronics (ENIAC) Rail Transport (ERRAC) Road Transport (ERTRAC) Space Technology (ESTP) Steel (ESTEP) Electricity Networks of the Future (SmartGrids) Wind Energy (TPWind) Smart Systems Integration (EPoSS) Sustainable Mineral Resources (ETP SMR) Farm Animal Breeding and Reproduction Technology (FABRE TP) Food for Life (Food) Forestry based sector (Forestry) Future Manufacturing Technologies (MANUFUTURE) Future Textiles and Clothing (FTC) Global Animal Health (GAH) Agree Common Vision Define Strategic Agenda Implement Strategic Agenda

39. Building your consortium.. How do I find partners? Existing contacts FP6/FP7 Projects http://cordis.europa.eu/fp6/projects.htm http://cordis.europa.eu/fp7/projects_en.html EU conferences (including events on the calls) and project evaluation Networks of Excellence European Technology Platforms http://cordis.europa.eu/technology- platformshttp://cordis.europa.eu/technology- platforms Evaluating? Partner searches: UKRO can distribute partner profiles NCPs CORDIS IDEAL-IST (ICT research) and SINAPSE (SSH platform) Enterprise Europe Network Social Media? (Linked-in etc) Note! Use partner searches with caution; Check out track record; Understand motives for getting involved Preparing for Horizon 2020

41. EU Research Programmes Horizon 2020 (H2020) Framework Programme for Research & Innovation H2020 will run from 2014-2020 EUR 80 billion funding? (tbc) The underlying H2020 legislation is currently under discussion. The European Commission published its proposals for H2020 In November 2011: Horizon 2020 (Regulation of the European Parliament and Council ) setting out the general objectives, rationale, budget information and details on how Horizon 2020 might be monitored and evaluated. Specific Programme implementing Horizon 2020 (Council Decision ) a single specific programme, which provides detailed information about the structure and broad scope of the activities to be funded under Horizon 2020 Rules for the Participation and Dissemination in H2020 (Regulation of the European Parliament and Council) Euratom Proposal 2014-18 (Council Regulation) Accompanied by a proposal for the revision to the European Institute of Innovation and Technology (EIT) Regulation and its Specific Innovation Agenda Influencing Horizon 2020?

42. EU Research Programmes Horizon 2020 (H2020) Framework Programme for Research & Innovation cont’d These proposals are currently being discussed by MEPs and Council. First reading Revised draft H2020 proposals Second reading? Final H2020 proposals published (by the end of 2013, hopefully!) The overall EU budget and its allocation to all the EU programmes (including H2020) is also currently under discussion) Once H2020 underlying H2020 legislation is approved Annual ‘Work Programmes’ containing calls will be published? These annual Work Programmes must fit within the scope outlined in the underlying H2020 legislation European Commission hope to launch first H2020 calls in January 2014 Influencing Horizon 2020?

43. Who to Contact to Influence Horizon 2020 European Commission consultations; Department of Business Innovation and Skills (BIS); Members of European Parliament (MEPs) UK representative on the relevant FP7 Programme Committee; Research Councils; UUK: Let UKRO know your opinions too! 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. Influencing Horizon 2020?

44. Latest News on the Legislative Process - Council of the EU

45. H2020 Latest: Council of the EU Partial General Approach on H2020 Council of the EU’s Partial General Approach (PGA) to the H2020 Framework Regulation was published on 31/05/12 and updated 12/10/12 http://register.consilium.europa.eu/pdf/en/12/st14/st14846.en12.pdf http://register.consilium.europa.eu/pdf/en/12/st14/st14846.en12.pdf The Council’s suggested changes to Commission’s H2020 Proposal included: Splitting of the Commission’s proposed “Inclusive, Innovative and secure societies” into two Europe in a Changing World: Inclusive, Innovative and Reflective Societies; and Secure Societies: Protecting Freedom of Europe and its Citizens Council

46. H2020 Latest: Council of the EU Partial General Approach on H2020 Rules of Participation Council of the EU’s Partial General Approach (PGA) to the H2020 Rules of Participation was agreed on 10/10/2012 http://register.consilium.europa.eu/pdf/en/12/st14/st14846.en12.pdf http://register.consilium.europa.eu/pdf/en/12/st14/st14846.en12.pdf Main changes: Reimbursement rates and cost model a flat rate for indirect costs of 25% (compared to 20% proposed by the European Commission initially); and the possibility of up to 100% reimbursement of direct costs for non for profit entities for close to market activities (compared to 70% as per Commission proposal). Embryonic stem cells Council

47. H2020 Latest: Council of the EU Partial General Approach on H2020 Specific Programme Council of the EU’s Partial General Approach (PGA) to the H2020 Specific Programme was agreed on 11/12/12 http://register.consilium.europa.eu/pdf/en/12/st17/st17633.en12.pdf http://register.consilium.europa.eu/pdf/en/12/st17/st17633.en12.pdf Main changes: Creation of a seventh Societal Challenge The Council’s PGA excludes: Budgetary aspects H2020 Programme Committee structure (between 4 and 17, configurations tbc) Council

48. H2020 Latest: Council of the EU Partial General Approach on the EIT The Council of the EU’s Partial General Approach (PGA) to the European Institute of Innovation and Technology (EIT) was agreed on 2/10/12 http://register.consilium.europa.eu/pdf/en/12/st14/st14021.en12.pdf http://register.consilium.europa.eu/pdf/en/12/st14/st14021.en12.pdf The Council of the EU’s Partial General Approach (PGA) to the European Institute of Innovation and Technology (EIT) Specific Innovation Agenda (SIA) was agreed on 11/12/12 http://register.consilium.europa.eu/pdf/en/12/st17/st17621.en12.pdf http://register.consilium.europa.eu/pdf/en/12/st17/st17621.en12.pdf Council

49. Latest News on the Legislative Process - Members of European Parliament (MEPs)

50. H2020 Latest: MEPs ITRE voted on all six components of the H2020 package on 29/11/12 Main suggested changes were within the Rules of Participation: a single project type across Horizon 2020 called "Research and Development and Experimental development"; 100% reimbursement of direct costs for universities, research institutions and small and medium-sized enterprises (SMEs) for all projects (research and close to market) and 70% for industry partners; a single indirect cost flat rate for all beneficiaries of 20% (the Council proposes 25%); the option of a reimbursement based on full costs based on a certificate on the methodology (for this option the overall reimbursement rate for universities, research institutions and SMEs would be 70%); and common rules for funding across Horizon 2020, including for Joint Technology Initiatives (JTIs) and Public Private Partnerships (PPPs). The Plenary vote is expected to take place in early 2013 MEPs

51. UKRO webpages on H2020 (Don’t forget to sign up for our email updates and select the ‘policy’ category too)

52. UKRO webpages on Horizon 2020 UKRO webpages on Horizon 2020 and other new proposals: http://www.ukro.ac.uk/subscriber/future_funding/Pages/index.aspx http://www.ukro.ac.uk/subscriber/future_funding/Pages/index.aspx Horizon 2020

53. H2020 Links

54. Useful Links Stay up to date by signing up for UKRO Portal and emails Horizon 2020 website: http://ec.europa.eu/research/horizon2020/index_en.cfm http://ec.europa.eu/research/horizon2020/index_en.cfm Draft proposal: http://tinyurl.com/894jahl http://tinyurl.com/894jahl UKRO subscriber article with summary of proposals: http://www.ukro.ac.uk/subscriber/Pages/111209_horizon2020.aspx http://www.ukro.ac.uk/subscriber/Pages/111209_horizon2020.aspx New UKRO webpages on Horizon 2020 and other future programmes: http://www.ukro.ac.uk/subscriber/future_funding/Pages/index.aspx http://www.ukro.ac.uk/subscriber/future_funding/Pages/index.aspx UKRO webpages on Europe 2020 Policy: http://www.ukro.ac.uk/subscriber/eu_policy/Pages/index.aspx http://www.ukro.ac.uk/subscriber/eu_policy/Pages/index.aspx Innovation Union website: http://ec.europa.eu/research/innovation-union http://ec.europa.eu/research/innovation-union Horizon 2020 – Links