Edward Heelas Edward.heelas@bbsrc.ac.uk

1. 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. University of East London8th May 2013 • Edward Heelas • Edward.heelas@bbsrc.ac.uk http://www.ukro.ac.uk

2. Outline of this session • 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 Agenda

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

4. Background to Horizon 2020 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

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 • February 2011Communication on Common Strategic Framework for Research and Innovation • Feb - April 2011Stakeholder consultation • 30 November 2011Adoption 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 July 2012: Last FP7 Work Programmes published Spring 2013: Most FP7 Calls closed by now Dec

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) • 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 EC Horizon 2020 proposal: 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. 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) Horizon 2020 Overview • 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)

14. Horizon 2020 – three priorities Horizon 2020 Overview Sept June NB: All budget figures are given throughout in ‘current 2011 prices’ as on p85 of the draft Horizon 2020 proposal.

15. Impact of Horizon 2020 for R&I Key Features • Economic growth • €1 invested in Horizon 2020 produces €10 extra GDP per annum Horizon 2020 Projects financed on the basis of excellence • 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 Projects selected through intense pan-European competition Societal Impact and Contribution to Europe 2020 • More high-tech Jobs • >800,000 in the medium term Ambitious collaborative projects with critical mass • Competitiveness • Exports increase by 1,4% and imports decrease by 0,2% in the medium term Projects not achievable without EU support (additionality) • 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 Projects leveraging additional private and public resources Seamless support from idea to market Easy access for all participants including SMEs

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 Horizon 2020 – Excellent Science Sept June Dec

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: • Fostering new skills by means of excellent initial training of researchers • Nurturing excellence by means of cross-border and cross-sector mobility • Stimulating innovation by means of cross-fertilisation of knowledge • 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 Horizon 2020 – Industrial Leadership Sept June Dec

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 Horizon 2020 – Societal Challenges Sept June Dec

30. Societal Challenges – Key Objectives Horizon 2020 – Societal Challenges Sept June Dec

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

32. 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 Horizon 2020 – Cross-cutting aspects

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) • 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. 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!) 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?

39. For Reference: Latest News on the Legislative Process - Council of the EU

40. H2020 Latest: Council of the EUPartial 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 12/10/12http://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

41. H2020 Latest: Council of the EUPartial 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 10/10/2012http://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

42. H2020 Latest: Council of the EUPartial General Approach on H2020 Specific Programme • Council of the EU’s Partial General Approach (PGA) to the H2020 Specific Programme was agreed on 11/12/12http://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

43. H2020 Latest: Council of the EUPartial 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 2/10/12http://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 11/12/12http://register.consilium.europa.eu/pdf/en/12/st17/st17621.en12.pdf Council

44. For Reference: Latest News on the Legislative Process - Members of European Parliament (MEPs)

45. 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). MEPs

46. H2020 Links

47. 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 • Draft proposal: http://tinyurl.com/894jahl • UKRO subscriber article with summary of proposals: 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 • UKRO webpages on Europe 2020 Policy:http://www.ukro.ac.uk/subscriber/eu_policy/Pages/index.aspx • Innovation Union website:http://ec.europa.eu/research/innovation-union Horizon 2020 – Links