Horizon 2020

Report
The new programme of EU funding
Edward Heelas
Birkbeck, University of London
[email protected]
11/10/2013
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Introduction

The European Union’s funding instrument for research
and innovation from 2014-2020
• Budget of EUR 70,2 billion
• From research to innovation – from basic research to bringing
ideas to the market
• Focus on societal challenges EU society is facing (e.g. health,
clean energy, food security, integrated transport)
• Promise of simplified access for all
Excellent
Science
Industrial
Leadership
Societal
Challenges
Health and Wellbeing
European Research
Council (ERC)
Leadership in Enabling
and Industrial
Technologies (LEIT) ICT, KETs, Space
Future and Emerging
Technologies (FET)
Food security
Transport
Energy
Marie Skłodowska-Curie
Actions (MSCA)
Climate action
Access to Risk Finance
Research Infrastructures
Societies
Security
Innovation in SMEs
Widening Participation; Science with and for Society
European Institute of Innovation
and Technology (EIT)
EURATOM
Joint Research Centre (JRC)

Clear distinction between funding for bottom-up, excellencebased research (Pillar 1: Excellent Science) and research
addressing specific challenges (Pillar 3: Societal Challenges)

Dedicated part of the programme targeted primarily at industry,
in particular Small and Medium-Sized Enterprises (SMEs) (Pillar
2: Industrial Leadership)

Programme integrates funding for research and innovation
projects
funding for innovation projects within all 3 pillars
FP7
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Framework Programme
Research themes
SME participation important
Growing importance of
innovation
Range of funding rates,
complex rules
Horizon 2020
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Integrates FP, EIT, CIP
Societal Challenges
Strong industry focus
overall
Covering the entire cycle
from basic idea to market
Single reimbursement
rate for all

As at July 2013:
• UK-based organisations have been awarded €5.2 billion of FP7 funding,
(the second highest share by country, after Germany), equivalent to 15%
of the programme’s overall budget
• Academic organisations were awarded 62% of this share (thus 10.9% of
the entire FP7 budget went to UK academia), and around 17% to SMEs
• UK organisations were involved in around 8100 funded projects (the
highest number by country)
• The highest number of European Research Council grants went to the UK,
with around 800 grants based at over 75 different host institutions

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Basic model for research projects
• 100% direct costs +
• 25% indirect costs (overhead)
Basic model for “innovation” projects
• 70% direct costs +
• 25% indirect costs
For Universities involved in innovation projects: 100% direct costs
Some calls different – e.g. prizes

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28 EU Member States (Croatia as of 2013)
Associate Countries (similar list to FP7 expected)
• Still under negotiation
• Some might not sign agreement in time for Horizon 2020 start
but can still apply as long as the agreement is signed in time
for grant signature.

Third countries (funding will depend on GDP)
• BRIC no longer eligible for automatic funding
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Two-year work programmes for 2014-15
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Harmonised structure across all EC Directorate-Generals
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Strategic Programme defines overall focus areas

Topics structure: “Specific challenge”, “Scope”,
“Expected Impact”, “Type of action”
CP: Collaborative Project
CSA: Coordination and Support Action
SME Instrument
cPPP: contractual Public/Private partnership
ERANET
Prizes
PCP: Pre-contractual procurement
PPI: Public procurement of innovative solutions
“Traditional” multi-national, multi-partner
collaborative projects
100% - predominantly research
70% - largely closer to market “innovation
projects”
“Traditional” multi-national, multi-partner
support actions
100% or 70%
SMEs only – research can be subcontracted
to HEIs
Vehicle to pursue specific technological
roadmap. Part funded by industry. EU
funding element from Horizon 2020. Issue
research calls – same funding regime as
Horizon 2020
Research programmes run by network of
national funders in specific field part
funded by EU from Horizon 2020. Issue
research calls on their own funding
regimes
All or nothing specific competitive calls –
content varies
Non-competitive actions
Non-competitive actions
Pillar 1 – Excellent Science
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Total budget = €21.6 billion
Overall objective: “to strengthen the excellence of
European research”
European Research Council

The ERC seeks to fund the best ‘frontier research’ proposals
submitted by excellent researchers, with excellence as the single
peer review criterion.

Will fund projects led by a Principal Investigator, if necessary
supported by a team (no need for pan-European collaboration).
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Will operate on a ‘bottom-up’ basis, without pre-determined
research priorities. 25 panels in 3 domains which proposals can be
submitted to:
 Physical Sciences and Engineering
 Life Sciences
 Social Sciences and Humanities
Starting Grants
Consolidator Grants
Advanced Grants
Synergy Grants
Proof of Concept
Please see the ERC’s April 2013 statement on the timing of the 2014 calls:
http://erc.europa.eu/update-ERC-calls-proposals-2014
Marie Skłodowska-Curie
Actions

Operates in a ‘bottom-up’ basis, open to all research
and innovation areas
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Mobility is a key requirement
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Key areas supported:
•
•
•
•
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
FP7
ITN
Horizon 2020
ITN
Innovative Training Networks
(Early Stage Researchers)
IEF
IOF
IIF
IF
Individual Fellowships
(Experienced Researchers)
CIG
IAPP
IRSES
COFUND
RISE
COFUND
Research and Innovation Staff
Exchange
(Exchange of Staff)
Cofunding or regional, national and
international programmes
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2 strands in IF scheme:
• Outgoing Fellowship - (MS/AC to third country), with
mandatory return phase
• European Fellowship - (any country to MS/AC)

2 main changes to FP7:
• Optional intersectoral secondment in a MS/AC during the
fellowship
• ICPC return phase could be removed
European Training Networks (minimum of three participants)
Joint Doctorates (at least three academic participants who can deliver a doctoral
degree)
European Industrial Doctorates (one academic participant and one non-academic
participant)
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Participants defined as ‘academic’ and ‘non-academic’

Early stage researchers (ESRs) only
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The Innovative Doctoral Programme strand will move to the
COFUND scheme.

Focused on exchange of staff

Amalgamation of IAPP and IRSES with 7 main changes
• Project to be based on new or existing ‘joint research project’
• Participants - ‘academic’ / ‘non-academic’ NOT ‘public sector’ /‘private
sector’
• Minimum 3 participants - 3 different countries (2 MS/AC)
• If all participants MS/AC, minimum 1 academic +1 non-academic
participant from different countries
• Secondment period - 1 to 12 months- doesn’t need to be continuous
• One simplified funding system- ‘unit cost’ with country co-efficient
factors
• Projects between 50-500 research months

Supports 2 programmes:
• Doctoral programmes (Innovative Doctoral Programmes)
• Fellowship programmes

Funding model in COFUND will differ from FP7
• Standard ‘unit costs’- fixed amounts per researcher /year
• Maximum EU contribution to single legal entity/ year
• Programmes up to 60 months
• Shorter time to grant
• All researchers should be covered by full social security
• Principles of the Charter and Code should set out
provisions for ESRs
Future Emerging Technologies
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Expanded from ICT and Energy to be used as cross-cutting funding scheme
Supports frontier research: alternative ideas, concepts or paradigms of risky or
non-conventional nature
Open, light and agile
FET Open
•‘Fostering novel ideas’
Roadmap based research
FET Proactive
FET Flagships
•Individual research projects
•‘Nurturing emerging themes
and communities’
•Early ideas
•Open research clusters
•‘Tackling grand
Interdisciplinary science and
technology challenges’
•Coordination and support
activities
•Global Systems Science (GSS);
•Common research agendas
•Knowing, doing being:
cognition beyond problem
solving
•Graphene
•Future generations of highperformance computing
•Human Brain
•Support to Flagships
Research Infrastructures
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ESFRI Roadmap – identifies new pan-European RIs
or major upgrades to existing ones
ERIC – legal instrument at EU level to facilitate the
joint establishment and operation of RI of European
interest
Background information at:
• http://ec.europa.eu/research/infrastructures
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Developing the European Research Infrastructures (RI) for
2020 and beyond:
 Developing new world class RIs
 Integrating and opening national RIs of pan-European
interest
 Development, deployment and operation ICT based eInfrastructures
Foster innovation potential of RI and their human capital
Reinforcing European RI policy and international co-operation
Pillar 2 – Industrial Leadership
Total budget €15 bn
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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
Emphasis on combining enabling technologies to find
solutions for societal challenges – particularly energy
efficiency targets, sustainability and climate change objectives

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Strong focus on industrial involvement and applied
research
Developing industrial capacity in focus areas:
• Key Enabling Technologies (KETs)
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Micro- and nano-electronics,
Photonics
Nanotechnologies
Advanced Materials
Biotechnology
Advanced Manufacturing and Processing
KETs -
Combining several key enabling
technologies for advanced products
New generation of
components and
systems
Content
technologies and
information
management
Advanced
Computing
Future Internet
Robotics
Micro- and
nano-electronic
technologies/
Photonics
Cross-cutting and horizontal activities and International
Co-operation
Future Internet
Public Private
Partnership

To foster a cost-effective competitive and innovative space
industry and research community to develop and exploit space
infrastructure to meet future Union policy and societal needs
• Develop innovative space technology from idea to demonstration in
space
• Use space data for scientific, public and commercial purposes
• Work with Member States’ and European Space Agency research
activities
• Boost Space industry competitiveness and capacity for innovation
• Use European space infrastructure to full capacity
• International cooperation in space science and exploitation

Note that infrastructure development of Galileo and GMES (now
Copernicus) funded outwith Horizon 2020
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Factories for the Future: FoF
Energy Efficient Buildings: EeB
Photonics
Sustainable Process Industries through Resource and
Energy Efficiency: SPIRE
Expected to show continuity from NMP theme under
FP7
Roadmaps all in the public domain
“The specific objective is to stimulate growth by means of increasing the levels of
innovation in SMEs, covering their different innovation needs over the whole
innovation cycle for all types of innovation, thereby creating more fast-growing,
internationally active SMEs.”

Replaces Research for SMEs instrument (R4SME)
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Dedicated SME instrument
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Target highly innovative SMEs looking to develop and grow in
international environment
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Single company or collaborative
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Allows for out-sourcing of research
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Three stage support through innovation cycle
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One project can access all three in order

One application per year, in all fields across LEIT and Pillar 3

Stage 1: Feasibility
• 6-9 month project
• €50k lump sum funding
• to assess technological / commercial potential of project

Stage 2: Innovation Activity
• 12 – 24 month duration
• €1m - €3m funding
• Emphasis on demonstration and market replication

Stage 3: Commercialisation phase
• No direct funding
• Simplified access to debt and equity financial instruments
• Assistance with IPR protection

Funding for single beneficiaries for investment in research and
innovation projects. Two types of funding will be provided:

Debt funding: loans and guarantees for investment in a project
Equity funding: investment of capital in a project
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Funding is mainly designed for early stage SMEs, or in some
cases at the expansion stage

Some risk financing for a basic or applied research project by
a public organisation (university, research institute) is also
planned, under the new ‘Risk-Sharing Finance Facility’

Funds will be managed by the European Investment Bank
Pillar 3 – Societal Challenges
Challenge
Objectives
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

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 policy priorities without predetermining technologies
or types of solutions to be developed

Total budget €26.2 bn
2014-2015 Calls divided into 8 specific activity areas:
• Understanding health, aging and diseases
• Effective health promotion, diseases prevention, preparedness and
screening
• Improving diagnosis
• Innovative treatments and technologies
• Advancing active and healthy aging
• Integrated, sustainable, citizen-centred care
• Improving health information, data exploitation and providing an
evidence base for health policies and regulation
• Co-ordination activities e.g. AHA EIP; More years, Better Lives;
Global Alliance for Chronic Diseases
Horizon 2020 Health - Context
EIP Active and Healthy Ageing
Health for Growth
Health, Demographic
Change and Wellbeing
Ambient
Assisted
Living
Research
Innovation
Structural
Funds
Deployment
2014-2015 Calls divided into 3 specific activity areas:
1. Sustainable food security
• Sustainable food production systems
• Safe food and sustainable consumption
• Global drivers of food security
2. Blue Growth: Unlocking the potential of the Oceans
• Sustainably exploiting the diversity of marine life
• New offshore challenges
• Ocean observation technologies/systems
• Horizontal aspects, socio-economic sciences, innovation,
engagement with society and ocean governance
3. Innovative, sustainable and inclusive bioeconomy
• Sustainable agriculture and forestry
• Sustainable and competitive bio-based industries
• Cross-cutting actions covering all activities
+ Contributions to other focus areas: Waste
2014-2015 Calls divided into 3 specific activity areas:
1. Energy efficiency

Bring to mass market technologies and services for a smart and efficient energy
use

Unlock the potential of efficient and renewable heating-cooling systems

Foster uptake of energy efficiency technologies in industry

Innovative finance for sustainable energy
2. Low-cost, low-carbon energy

Accelerating the development of transformative energy technologies

Renewable electricity and heating/cooling

Modernising the single European electricity grid

Enhanced energy storage technologies

Sustainable biofuels and alternative fuels for transport

Sustainable use of fossil fuels

Social, environmental and economic aspects of the energy system
3. Smart Cities and Communities

Commercial-scale solutions with a high market potential, integrating energy,
transport and ICT sectors
Aviation
Draft Work
Programme 2014-15
Rail
Mode of transport
Road
1) Mobility for
Growth
Waterborne
2) Green vehicles
3) Blue growth
4) Small Business
Urban mobility
Transport
integration
Logistics
Intelligent transport
systems
Infrastructures
Fighting and adapting to
climate change
Protecting the
environment, sustainably
managing natural
resources and ecosystems
Sustainable supply of nonenergy and nonagricultural raw materials
To achieve: Transition to a green economy through eco-innovation
+ Global environmental
observation and
information systems
Contributing
to focus areas
Waste: a resource to recycle, reuse
and recover raw materials
Water innovation: boosting its value
for Europe
1. Waste: A resource to recycle, reuse and recover raw materials
• Addressing whole production and consumption cycle – waste
prevention, design of processes and products for recyclability, reuse,
waste management
2. Water innovation: Boosting its value for Europe
• Integrated approaches to water and climate change
• Bringing innovative water solutions to the market
3. Fighting and adapting to climate change
• Better understanding of climate change and reliable projections
• Innovative adaption and risk prevention measures
• Climate change mitigation policies
4. Sustainably managing natural resources and ecosystems
• Functioning of ecosystems, interactions with social systems and their
role in sustaining economy and human beings
• Support for decision making and public engagement
5. Ensuring the sustainable supply of non-energy and nonagricultural raw materials
• Better knowledge on availability
• Promotion of sustainable supply (exploration, extraction, processing,
recycling and recovery)
• Alternatives for critical raw materials
• Improve social awareness
6. Enabling the transition towards a green economy through ecoinnovation
• Strengthen eco-innovation and market uptake
• Innovative policies and societal changes
• Resource efficiency through digital systems
7. Developing comprehensive and sustained global
environmental observation and information systems
Overcoming the
crisis: new ideas,
strategies and
governance
structures
Young generation in
an innovative,
inclusive and
sustainable Europe
Reflective societies:
cultural heritage
and European
identities
To achieve: inclusive and innovative European societies in a context
of unprecedented transformations and growing global
interdependencies
Europe as a global
actor
New forms of
innovation
1. Overcoming the crisis: new ideas, strategies and governance
structures for Europe
• The reform of the EU economic governance structure to better
secure financial and economic stability
• The social, political and cultural consequences of and responses to
the crisis
• Understanding the evolution of the crisis
• The impacts of broader global trends on the EU’s economy
2. Young generation in an innovative, inclusive and sustainable
Europe
• The situation of young people, their capabilities, prospects and
needs – from the economic, social and individual perspective
• How to ensure the full participation of young people in an innovative,
inclusive and sustainable Europe?
3. Reflective societies: cultural heritage and European identities
• European diversities, cultural heritage and identity formation - ‘Unity
in diversity’
• Intellectual, artistic and historical legacy of the EU
• Digital technologies for European cultural heritage
4. Europe as a global actor
• International cooperation in research and innovation
• Research to support Europe’s role as a global actor
5. New forms of innovation
• Social and public sector innovation, new business models
• Modernisation of public administration, incl. ICT-enabled open
government
• Uptake of technologies in education, training and inclusion
Specific Activities
Fight crime, illegal trafficking & terrorism
Protect critical infrastructures, supply chains and transport modes
Strengthen security through border management
Improve cyber security
Increase Europe’s resilience to crises and disasters
Ensure privacy and freedom & enhancing societal understanding
Enhance standardisation & interoperability of systems
Joint Technology Initiatives
JTIs
• Bio-Based Industries
• Clean Sky
• Electronic Components and Systems
• Fuel Cells and Hydrogen
• Innovative Medicines

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Funded through societal challenges
Currently going through political process
• At the proposal stage (published in July 2013)
• Agreement needed between Council of the EU and the
European Parliament
• ITRE committee expected to appoint a rapporteur for each JTI

Aim is to launch the first calls in Spring 2014
Cross-cutting aspects: Science with and for Society,
Social Sciences and Humanities, International
Cooperation, ICT

Objective is to “build effective cooperation between science
and society, recruit new talent for science and pair scientific
excellence with social awareness and responsibility”

Better alignment of the research and innovation process and
its outcomes with the values, needs and expectations of
European society = Responsible Research and Innovation

Cross-cutting issue in Horizon 2020 + dedicated work
programme to further develop, disseminate and support good
RRI practices all across Europe
“Social sciences and humanities (SSH) research will be fully integrated
into each of the general objectives of Horizon 2020”
Excellent
Science
Base
• SSH fully supported under the ERC, MCSA and
research infrastructures
• FET calls for “intense collaboration across
disciplines…cognitive sciences, social sciences or
economics…and with the arts and humanities”
• “Societal engagement on responsible
nanotechnology”
Industrial
Leadership
• “Innovative materials for creative industries”
• “Developing smart factories that are attractive to
workers”
• “Human-centric digital age”
“SSH will be mainstreamed as an essential element of the activities needed to tackle
each of the societal challenges”
Health
Food security
• “Individual
empowerment for selfmanagement of health”
• “A systems approach
for the reduction,
recycling and reuse of
food waste”
• “Promoting integrated
care”
• “Optimising the
efficiency and
effectiveness of health
care systems and
reducing inequalities”
• “Unlocking the growth
potential of rural areas
through enhanced
governance and social
innovation”
• “Tackling malnutrition
in the elderly”
Energy
• “Socio-economic
research on energy
efficiency”
• “The human factor in
the energy system”
• “Consumer
engagement for
sustainable energy”
Transport
• “Mobility for growth:
Socio-economic and
behavioural research
and forward looking
activities for policy
making”
• “Transport societal
drivers”
Climate action
• “More effective
ecosystem restoration
in the EU”
• “The economics of
climate change and
linkages with
sustainable
development”
Security
• “The role of new
social media
networks in national
security”
• “Better understanding
the links between
culture and disaster”
• “Impact of climate
change in 3rd
countries on Europe’s
security”
Inclusive, innovative and reflective societies
“European societies after the “The cultural heritage of war
crisis”
in contemporary Europe”
“The young as a driver of
socio-ecological transition”
“Cultural opposition in the
former socialist countries”
“European regional policies
and the perceptions of
Europe”
“Towards a new geopolitical
order in the South and East
Mediterranean”
“European cultural
diplomacy: exploiting the
potential of culture in the
EU’s external relations”
“Advanced 3D modelling for
accessing and
understanding European
cultural assets”

No specific programme for international co-operation, but collaborating
with third countries is highlighted across Horizon 2020

Pillar 1 (open to researchers from third countries)
• European Research Council
• Marie Skłodowska-Curie Actions
• Research Infrastructures

Pillar 2 (international collaborations strongly encouraged)
• Key Enabling Technologies

Pillar 3 (numerous topics recommending international
collaborations)
• All Societal Challenges
Excellent Science
ICT in bottom up
schemes: ERC,
MSCA, FET, and eInfrastructures
Industrial
Leadership
Societal
Challenges
ICT in LEIT – micronano-electronics
KET and photonics
KET
ICT embedded in
Societal Challenges
Practical aspects of Horizon
2020

Official programme launch 1 January 2014
Before then:
 First Calls for Proposals expected on 11.12.2013
 Draft Work Programmes available
 Watch out for info days, brokerage events

European Commission Participant Portal: to
become the main entry point for EU research and
innovation funding
• calls will be deposited here
• Proposal submission via Participant Portal
• Will also be used for negotiations, project management,
evaluators, documentation…
Use also:
 UKRO Portal email alerts
 UKRO Portal factsheets
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Check the Horizon 2020 proposals - do they cover your research area?
Think about networking and building links with potential partners now
Who are the 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
• Call for Expert Advisory Groups:
(http://ec.europa.eu/research/horizon2020/index_en.cfm?pg=h2020experts)
Some areas, such as Marie Curie and the ERC, are bottom-up so you could
start early thinking about potential proposal ideas for H2020
Sign up for UKRO Portal, and choose ‘policy’ category
The new programme of EU funding
Edward Heelas
Birkbeck, University of London
[email protected]
11/10/2013

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