1. HORIZON 2020
The New EU Framework Programme for Research and Innovation
John Tuckwell Research, Innovation and Education Adviser Delegation of the European Union to Australia E: T:

2. Scope of the presentation
Importance of international collaboration and of EU-Australia collaboration
Summary of Horizon 2020
Opportunities for Australian researchers and some practicalities of collaborating under Horizon 2020
Overview of the opportunities under Erasmus+

3. Importance of international collaboration and of EU- Australia collaboration

4. International cooperation
Crucial to address many Horizon 2020 objectives
Principle of general openness: the most open research funding programme in the world
Entities from industrialised countries and emerging economies are treated on equal footing with EU partners (same IPR)
Funding available for participants in low and medium income countries. Industrialised and emerging economies will normally bring own funds to the projects through co- investment
Targeted actions to be implemented taking a strategic approach to international cooperation

5. S&T cooperation with Australia is a priority for the European Union
We have been working together since 1994!
Goal:
To increase overall scale, scope and strategic character of EU-Australia research cooperation under H2020
Globally, we want to double the amount of international collaboration under H2020, compared to FP7
H2020 presents a tremendous opportunity for research collaboration
… but not for funding

6. International Cooperation
Benefits of International research
improve research quality
higher global profile
sharing expertise
new and extended networks
Higher citation rates
large project experience
open up markets
Access to excellence
funding leverage
access to knowledge
science diplomacy
Why participate in international research collaboration?
International Cooperation

7. Why collaborate with the European Union?
… because the EU is a world leader in Research and Innovation:
24% of global expenditure on research
32% of high impact publications,
32% of patent applications
Some of the best universities in the world (25 in top 100)
Some of the most innovative companies (1/4 of world's top R&D investors)
… and the world's largest trading bloc:
Over 500 million mainly affluent people in 28 countries

8. Australian participation in Framework Programmes
Collaborative projects and coordination actions
Programme Signed contracts AU participants
FP4 ( )
FP5 (1998–02)
FP6 (2002–06)
FP7 (2007–13)
+ many 'informal' collaborations
Marie Curie actions
FP6 (2002–06) 70 (32 incoming to EU / 34 outgoing / 4 other)
FP7 ( ) 157 IF (76 incoming to EU / 81 outgoing)
71 IRSES projects (257 incoming / 538 outgoing)
European Research Council
FP7 ( ) 23 PIs (19 Starter & 4 Advanced)
Under FP7, Australia is ranked:
9th overall in terms of the EU's collaboration with 'non-EU' countries
2nd only to the US for High Income Countries 'non-EU' countries (ie other countries which fund their own participation)

9. What is Horizon 2020?

10. What is Horizon 2020?
The EU’s €80 billion (~$A115bn ) research and innovation funding programme ( )
A core part of Europe 2020, Innovation Union & European Research Area:
Responding to the economic crisis to invest in future jobs and growth through smart investments in research and innovation
Addressing people’s concerns about their livelihoods, safety and environment
Strengthening the EU’s global position in research, innovation and technology

11. What's new in Horizon 2020?
A single programme: bringing together three separate programmes/initiatives*
Focus on societal challenges: facing EU society, e.g. health, clean energy and transport
Coupling research to innovation: from research to retail, all forms of innovation
Simplified access: for all companies, universities, institutes in all EU countries and beyond
Stronger challenge-based approach: giving applicants considerable freedom to come up with innovative solutions
Topics are framed in a more general way: less prescriptive, broader topics with emphasis on expected impact
The 7th Research Framework Programme (FP7), innovation aspects of Competitiveness and Innovation Framework Programme (CIP), EU contribution to the European Institute of Innovation and Technology (EIT)

12. Horizon 2020 organised around three priorities
Excellent science
€24bn (~$A36bn)
Industrial leadership
€17bn (~$A26bn)
Societal challenges
€30bn (~$A45bn)

13. Excellent Science Funding (€24,441 million, 2014-2020)
European Research Council (ERC)
Frontier research by the best individual teams
13,095
Future and Emerging Technologies
Collaborative research to open new fields of innovation
2,696
Marie Skłodowska-Curie actions (MSCA)
Opportunities for training and career development
6,162
Research infrastructures (including e-infrastructure)
Ensuring access to world-class facilities
2,488

14. 'Access to risk finance' with strong SME focus
Industrial leadership funding (€17,016 million, )
Leadership in enabling and industrial technologies (LEITs)
(ICT, nanotechnologies, materials, biotechnology, manufacturing, space)
13,557
Access to risk finance
Leveraging private finance and venture capital for research and innovation
2,842
Innovation in SMEs
Fostering all forms of innovation in all types of SMEs
616 + complemented by a 20% minimum of the budget for societal challenges + LEITs and
'Access to risk finance' with strong SME focus

15. Societal challenges funding (€29,679 million, 2014-2020)
Health, demographic change and wellbeing
7,472
Food security, sustainable agriculture and forestry, marine and maritime and inland water research, and the bioeconomy
3,851
Secure, clean and efficient energy*
5,931
Smart, green and integrated transport
6,339
Climate action, environment, resource efficiency and raw materials
3,081
Inclusive, innovative and reflective societies
1,310
Secure societies
1,695
Science with and for society
462
Spreading excellence and widening participation
817
Additional funding for nuclear safety and security from the Euratom Treaty activities ( )

16. Opportunities for Australian Researhers

17. Possibilities for Australian participation in H2020:
There are four main ways an Australian can participate in Horizon 2020:
as a partner in a collaborative research and innovation project or coordination action (EU funding only in exceptional circumstances)
as a participant in a Marie Skłodowska-Curie Action (MSCA):
individual Marie Skłodowska-Curie fellowships – receiving or sending post-docs (with EU funding);
as a partner (without EU funding) in a Research and Innovation Staff Exchanges (RISE); and
as a partner in a joint PhD action (without EU funding) under the Innovative Training Networks (ITN)
as a European Research Council (ERC) grantee (with EU funding)
by becoming a registered Expert (with EU funding)

18. Possibilities for Australian participation in H2020: 1
Possibilities for Australian participation in H2020: 1. Collaborative project participants
Opportunities in the ‘Societal Challenges’ and ‘Industrial Leadership’ pillars
Generally Australian researchers are NOT eligible for funding from H2020 for Collaborative Projects (same as other industrialised and emerging economies)
Exceptions are when their participation is deemed essential for carrying out the action, because it provides:
outstanding competence/expertise
access to research infrastructure
access to particular geographical environments
access to data
Usually significant investment in time and resources
Greater rewards when participation is part of a strategic engagement with Europe

19. Current Funding Situation in Australia
Possibilities for Australian participation in H2020 Programme-level cooperation
Examples:
Targeted opening (where inclusion of Australian partners are encouraged/required)
Joint calls (joint evaluation and selection)
Coordinated/synchronized calls
Twinning projects
Current Funding Situation in Australia
NHMRC – European Union Collaborative Research Grants - acceptance of EU peer assessment, with national interest tests
Encouraging Australian government to consider other funding for EU collaboration
ARC is considering "options for framework arrangements in specific areas where Australian priorities match those of Horizon This would take advantage of EU peer assessment where possible"
Not an easy task to achieve

20. Some practical information
Simplification: summary
Single set of simpler and more coherent participation rules
New balance between trust and control - fewer, better targeted controls and audits
Moving from several funding rates for different beneficiaries and activities to just two (100% for research and 70% for innovation)
Replacing the four methods to calculate overhead or ‘indirect costs’ with a single flat rate of 25% of eligible direct costs
Successful applicants to get working more quickly: time-to-grant of 8 months; exceptions for the ERC and in duly justified cases
No negotiation of the grant agreement: what is submitted will be evaluated - potential participants must be aware of this.

21. Some practical information
Calls for Proposals
Horizon 2020 is implemented through open and competitive Calls for Proposals
Calls are in pairs of years
11 December 2013: publication of 64 separate calls for proposals for years 2014 and 2015 (~$A23bn)
Calls closing from April 2014 through to August 2015
Work programmes updated during process
Some calls have a two-step evaluation process
Currently working on scope of 2016 & 2017 calls
Calls opening late September 2015

22. Some practical information
Consortium in collaborative projects
Consortium must have at least 3 different organisations from 3 different EU Member States or Associated States
Most projects are much bigger (10-20 is normal)
Different actors in the consortium brings different competences, facilities, networks and experience
Diversity is an advantage (country, sector, gender, experience)
One partner is the coordinator (or project manager) – should be experienced
Selected other partners can be scientific leaders
“Third Party” Option – do not sign the Grant Agreement, but have a private Agreement with one or more of the full participants

23. Some practical information
Proposals
These are large projects … hence many technical requirements for the proposal
However, your European partners (especially the coordinator) will do most of the work
Projects are structured into work packages to help manage the projects via deliverables and milestones
You need to know how much your involvement will cost (regardless of whether you receive EU funding or not)
Important to sort out your own robust funding plan for your involvement – otherwise could jeopardise the proposal
Be clear on IPR issues (Background IP / Project IP)

24. Some practical information How to Apply?
Use the Horizon 2020 Participants Portal
Identify a relevant Call for Proposals
Find partners (where necessary - passive or proactive?) Partner services ( Speak with your European colleagues - they may not have thought of you
Register your organisation in the Participants Portal
Develop the proposal Let your European colleagues do most of the work – they have teams of experienced staff
Submit a proposal in the Participants Portal

25. Possibilities for Australian participation in H2020: 2
Possibilities for Australian participation in H2020: 2. Marie Skłodowska-Curie Actions (MSCA)
Individual fellowships (IF)
Supports experienced researchers (>4 years) undertake mobility within and beyond Europe, as well as attracting the best foreign researchers to the EU
European Fellows (EF - Australians can apply) and Global Fellows (GF - Europeans visit Australian institutions)
Grant usually covers up to 2 years' salary for EF and up to 3 years salary for GF, plus a mobility allowance, research costs and overheads for the host institution
Fellows can spend part of the fellowship elsewhere in Europe if this would boost impact, and those restarting their career in Europe benefit from special eligibility conditions
Research and Innovation Staff Exchanges (RISE)
Supports short-term mobility of research and innovation staff at all career levels, from the most junior (post-graduate) to the most senior (management), including also administrative and technical staff
Innovative Training Networks (ITN)
Support competitively selected joint research training and/or doctoral programmes
Implemented by partnerships of universities, research institutions, and non- academic organisations

26. Possibilities for Australian participation in H2020: 3
Possibilities for Australian participation in H2020: 3. ERC Grant Schemes
Starting Grants
starters
(2-7 years after PhD) up to €2.0mn
for 5 years
Consolidator Grants
consolidators
(7-12 years after PhD) up to €2.75mn
for 5 years
Advanced Grants
track-record of
significant research
achievements in the
last 10 years
up to €3.5mn
for 5 years
Proof-of-Concept
bridging gap between research - earliest stage of marketable innovation up to €150,000 for ERC grant holders

27. Possibilities for Australian participation in H2020 ERC Grants: attractive to researchers from outside Europe
Offers independence, recognition & visibility:
Work on a research topic of own choice, with a team of own choice
Gain true financial autonomy for 5 years
Attract additional funding and gain recognition - ERC is a quality label
Flexibility:
Additional ‘start-up’ funding for scientists moving to Europe (€ for Starting and €1mn for Advanced grantees)
Grantee can keep affiliation with home institute outside Europe (‘significant part’ of work time in Europe, at least 50%)
Team members can be based outside Europe
Grantee can move within Europe with the grant

28. Possibilities for Australian participation in H2020 4
Possibilities for Australian participation in H Become an Evaluator
How to?
Easy online registration (simply complete your profile)
Must have high-level of expertise in the relevant fields
Do not need to be a tenured professor … many postdocs have been evaluators
What is involved?
About two working weeks of your time (some remote, some in Brussels)
Costs fully covered (€450 per day plus all travel and subsistence costs)
Benefits
See cutting edge proposals in your own field
Network with similar researchers
Good introduction to participating in a later H2020 call ….

29. Some source of information on Horizon 2020

30. Useful H2020 documents Horizon 2020 Online Manual Specific Programme
guide/index_en.htm
Specific Programme
_basis/sp/h2020-sp_en.pdf
Rules for Participation
_basis/rules_participation/h2020-rules-participation_en.pdf
Work Programme for your areas of interest
Calls for Proposals for your areas of interest

31. Some sources of information
General information:
Community Research and Development Information Service (CORDIS):
Connecting Australian European Science & Innovation Excellence (CAESIE):
European Institute of Innovation and Technology:
Euratom:
Destination Europe: destinationEurope
EURAXESS European Researchers Mobility Portal:

32. EURAXESS European Researchers Mobility Portal

33. Connecting Australian European Science & Innovation Excellence (CAESIE)

34. International opportunities for Higher Education under
John Tuckwell Senior Adviser (Research, Innovation and Education) Delegation of the European Union to Australia

35. Towards a single integrated system
1 Learning Mobility
2 Cooperation
3 Policy support
+ Specific activities Jean Monnet Sport
Erasmus+
Erasmus
Grundtvig
Leonardo
Comenius
Youth in Action
Erasmus Mundus
Tempus
Alfa
Edulink
Towards a single integrated system
The Erasmus+ Programme builds on the achievements of more than 25 years of European programmes in the fields of education, training and youth, covering both an intra-European as well as an international cooperation dimension.
Erasmus+ brings together 9 previous programmes into one overarching programme and will provide € 14.7 billion or $A21bn over seven years to strengthen education, training, youth and sport in Europe.
The Erasmus+ Programme aims to contribute to the achievement of a range of objectives, including the broader objectives of the Europe 2020 Strategy, the EU's recovery strategy from the GFC and for example the target of increasing the share of the population aged having completed tertiary education from 31% to at least 40% in 2020.

36. International credit mobility
STUDYING AND LEARNING ABROAD
International credit mobility
Degree mobility/ joint Master degrees
… in other words
Education and Culture 36 36

37. All levels: Bachelor, Master, PhD + all disciplines
3 to 12 months for studies
Up to 2 months staff mobility
Credit Mobility
Go through slide
Students will receive an EU grant as a contribution to their costs for travel and subsistence during the period of study or traineeship abroad. These amounts will be defined by the National Agencies in agreement with National
Authorities, and/or the higher education institutions on the basis of objective and transparent criteria and will depend on the cost of living in the country concerned and normally range from € ($A200-70) per month.
Travel allowances: depend on the distance - for distances of 8000 KM or more: €1100 ($A1600) per participant.
Staff will receive between € ($A70-225)per day per diem, depending on the cost of living.
Organisational Support: €350 ($A500) per person for the first 100 and then €200 ($A280) thereafter
Special needs support: 100% of eligible costs
Students and staff may receive, on top of the EU grant, or in replacement of the EU grant regional, national or any other type of grant, which are not subject to the Erasmus+ rules.

38. Mobility based on bilateral agreements between HEIs
Credit Mobility
5,500 student & staff exchanges with Industralised Asian Partner countries
Mobility based on bilateral agreements between HEIs
Partner country HEI apply through institutions in Europe

39. 115 joint Masters & 29 joint PhDs in 2015
Degree mobility & joint degrees
115 joint Masters & 29 joint PhDs in 2015
New joint Masters added every year
Fully funded scholarships scheme

40. Taking part in joint degrees as an institution
Degree mobility & joint degrees
Taking part in joint degrees as an institution
Minimum 3 HEIs from 3 European countries
Funding for 1 preparatory year + 3 intakes
New Joint PhDs funded by Marie-Skłodowska Curie

41. JMD scholarships include a travel & installation allowance (variable)
Degree mobility & joint degrees
JMD scholarships include
a travel & installation allowance (variable)
monthly subsistence allowance
student participation costs
JMD scholarship applicants
Have a first higher education degree or equivalent
Sign a student agreement

42. Share of funding requested
Credit Mobility Applications from First Call for Proposals for Industrialised Asia
Share of funding requested

43. Share of number of European Universities
Credit Mobility Applications from First Call for Proposals involving Australia as a partner
Share of number of European Universities
Share of funding
requested

44. Jean Monnet Actions for European integration studies
Jean Monnet will support 400 teaching posts and 600 short courses globally
Over 100 Centres of Excellence around
the world
Jean Monnet Actions for European integration studies

45. Second call (October 2015) to include:
international credit mobility
Degree mobility
Jean Monet
Selection (European) Spring 2016
Next Call for Proposals