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The New EU Framework Programme for Research and Innovation
2014-2020
HORIZON 2020
John TuckwellResearch and Innovation AdviserDelegation of the European Union to Australia
Scope of the presentation
1. Importance of international collaboration and of EU-Australia collaboration
2. Summary of Horizon 2020
3. Some practical information on participating in Horizon 2020
International cooperation
• Crucial to address many Horizon 2020 objectives
• Principle of general openness: the most open reseach 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
• Targeted actions to be implemented taking a strategic approach to international cooperation
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
−Overall 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
International CooperationWhy participate in international research collaboration?
Australian participation in Framework Programmes
Framework Signed AU participantsProgramme contractsFP5 (1998–02) 53 58FP6 (2002–06) 89 107FP7 (2007–13) 165 so far 190 + many 'informal' collaborations
Marie Curie actionsFP6 (2002–06) 70 (32 incoming / 34 outgoing / 4 other)FP7 (2007-13) 174 so far
(155 fellows /19 principal investigators)
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)
What is Horizon 2020?
• The EU’s €79 billion (~$A120bn ) research and innovation funding programme (2014-2020)
• A core part of Europe 2020, Innovation Union & European Research Area:
− Responding to the economic crisis to invest in future jobs and growth
− Addressing people’s concerns about their livelihoods, safety and environment
− Strengthening the EU’s global position in research, innovation and technology
What's new in Horizon 2020?
• A single programme: bringing together three separate programmes/initiatives*
• Focus on societal challenges: facing EU society, e.g. health,clean energy and transport
• Coupling research to innovation: from research to retail, all forms of innovation
• Simplified access: for all companies, universities, institutes inall EU countries and beyond
The 7th Research Framework Programme (FP7), innovation aspects of Competitiveness and Innovation Framework Programme (CIP), EU contribution to the European Institute of Innovation and Technology (EIT)
Three priorities
Excellent Excellent sciencescience
€€24bn 24bn (~$A36bn)(~$A36bn)
Industrial Industrial leadershipleadership
€€17bn 17bn (~$A26bn)(~$A26bn)
Societal Societal challengeschallenges
€€30bn 30bn (~$A45bn)(~$A45bn)
European Research Council (ERC)Frontier research by the best individual teams 13,095
Future and Emerging TechnologiesCollaborative 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
Excellent Science Funding (€24,441 million, 2014-2020)
Leadership in enabling and industrial technologies (LEITs)(ICT, nanotechnologies, materials, biotechnology, manufacturing, space)
13,557
Access to risk financeLeveraging private finance and venture capital for research and innovation
2,842
Innovation in SMEsFostering 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
Industrial leadership funding (€17,016 million, 2014-2020)
Societal challenges funding (€29,679 million, 2014-2020)
Additional funding for nuclear safety and security from the Euratom Treaty activities (2014-2018)
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
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
• Replacing the four methods to calculate overhead or ‘indirect costs’ with a single flat rate
• 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 in future: what is submitted will be evaluated - potential participants must be aware of this.
Possibilities for Australian participation in H2020:1. Collaborative project participants• Opportunities in the ‘Societal Challenges’ and ‘Industrial Leadership’
pillars12 topics are specifically encouraging cooperation with Australia in the Work
Programmes for 2014-15
• Generally Australian researchers are NOT eligible for funding from H2020 for Collaborative Projects(same as other industrialised and emerging economies)
• Funding therefore needs to come from Australian sources
• 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
Possibilities for Australian participation in H2020:2. Individually
• Opportunities in the ‘Excellent Science’ pillar:European Research Council Grantees (ERC)
Further Information: http://erc.europa.eu/
Marie Skłodowska-Curie Action Fellows (MSCA)
Further Information: http://ec.europa.eu/programmes/horizon2020/en/h2020-section/marie-sklodowska-curie-actions
• Funding is available for Australian researchers
Starting Grants
starters (2-7 years after PhD)
up to €2.0mnfor 5 years
Advanced Grants track-record of
significant researchachievements in the
last 10 yearsup to €3.5mn
for 5 years
Synergy Grants2–4 Principal Investigatorsup to €15.0mn for 6 years
Proof-of-Concept bridging gap between research - earliest
stage of marketable innovation up to €150,000 for ERC grant holders
ERC Grant Schemes
Consolidator Grants
consolidators (7-12 years after PhD)
up to €2.75mnfor 5 years
ERC 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
(€500 000 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
Attractive features for researchers from outside Europe
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 •Grant usually covers two years' salary, 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
Possibilities for Australian participation in H20203. Programme-level cooperation
• Cooperation with government departments and agencies:Targeted opening (where inclusion of Australian partners are
encouraged/required)
Joint calls (joint evaluation and selection)
Coordinated/synchronized calls
Acceptance of EU peer assessment, with national interest tests (NHMRC – European Union Collaborative Research Grants)
Twinning projects
• Not an easy task to achieve
Possibilities for Australian participation in H2020 4. Become an Evaluatorhttp://ec.europa.eu/research/participants/portal/desktop/en/experts/index.html
• 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 ….
Some practical information
Calls for Proposals
•Horizon 2020 is implemented through open and competitive Calls for Proposals
•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
•Detailed calls for 2014 with indicative calls for 2015
•Some calls have a two-step evaluation process
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
Some practical informationProposals• 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 jeopardies the proposal
• Be clear on IPR issues (Background IP / Project IP)
1. Use the Horizon 2020 Participants Portalhttp://ec.europa.eu/research/participants/portal/desktop/en/home.html
2. Identify a relevant Call for Proposalshttp://ec.europa.eu/programmes/horizon2020/find-your-area
3. Find partners (where necessary - passive or proactive?)Speak with your European colleagues, they may not have thought of you
4. Register your organisationin the Participants Portal
5. Develop the proposalLet your European colleagues do most of the work – they have teams of experienced staff
6. Submit a proposalin the Participants Portal
Some practical information How to Apply?
Some practical informationEvaluation Criteria
Useful H2020 documents
Horizon 2020 Online Manualhttp://ec.europa.eu/research/participants/docs/h2020-funding-guide/index_en.htm
Specific Programmehttp://ec.europa.eu/research/participants/data/ref/h2020/legal_basis/sp/h2020-sp_en.pdf
Rules for Participationhttp://ec.europa.eu/research/participants/data/ref/h2020/legal_basis/rules_participation/h2020-rules-participation_en.pdf
Work Programme for your areas of interesthttp://ec.europa.eu/programmes/horizon2020/en/h2020-sections
Calls for Proposals for your areas of interesthttp://ec.europa.eu/programmes/horizon2020/find-your-area
Some sources of information• General information: www.ec.europa.eu/horizon2020
• Community Research and Development Information Service (CORDIS): http://cordis.europa.eu/
• Connecting Australian European Science & Innovation Excellence (CAESIE): http://www.caesie.org
• European Institute of Innovation and Technology: http://eit.europa.eu/
• Euratom: http://www.euratom.org/
• Destination Europe:http://ec.europa.eu/research/iscp/index.cfm?lg=en&pg=destinationEurope
• EURAXESS European Researchers Mobility Portal:http://ec.europa.eu/euraxess
