Legal provisions of COM(2018)436 - Establishing the specific programme implementing Horizon Europe - the Framework Programme for Research and Innovation

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dossier COM(2018)436 - Establishing the specific programme implementing Horizon Europe - the Framework Programme for Research and Innovation.
document COM(2018)436 EN
date May 10, 2021

Contents

CHAPTER I - General provisions


Article 1

Subject matter

This Decision establishes the Specific Programme implementing Horizon Europe – the Framework Programme for Research and Innovation (the Specific Programme), as set out in point (a) of Article 1(2) of Regulation (EU) 2021/695.

This Decision lays down the operational objectives of the Specific Programme, the budget for the period 2021-2027, the rules for implementation of the Specific Programme and the activities to be carried out under the Specific Programme.

Article 2

Operational objectives

1. The Specific Programme shall contribute to the general and specific objectives set out in Article 3 of Regulation (EU) 2021/695.

2. The operational objectives of the Specific Programme are the following:

(a)to strengthen excellent basic and frontier research; to reinforce and spread excellence, including by fostering wider participation throughout the Union;

(b)to reinforce the link between research, innovation, and, where appropriate, education and other policies, including complementarities with national, regional and Union R&I policies and activities;

(c)to support the implementation of Union policy priorities including in particular the SDGs and the Paris Agreement;

(d)to promote responsible R&I, taking into account the precautionary principle;

(e)to strengthen the gender dimension across the Specific Programme;

(f)to increase collaboration links in European R&I and across sectors and disciplines, including social sciences and humanities (SSH);

(g)to strengthen international cooperation;

(h)to connect to and develop research infrastructures across the European Research Area (ERA) and to provide transnational access;

(i)to attract talent, to train and retain researchers and innovators in the ERA, including through mobility;

(j)to foster open science and ensure visibility to the public and open access to scientific publications and research data, including appropriate exceptions;

(k)to encourage exploitation of R&I results and actively disseminate and exploit results, in particular for leveraging private investments and policy development;

(l)to deliver, through R&I missions, on ambitious goals within a set timeframe;

(m)to improve the relationship and interaction between science and society, including the visibility of science in society and science communication, and to promote the involvement of citizens and end-users in co-design and co-creation processes;

(n)to accelerate industrial transformation, including through improved skills for innovation;

(o)to stimulate R&I activities in SMEs and the creation and scale-up of innovative companies, in particular start-ups, SMEs, and in exceptional cases small mid-caps;

(p)to improve access to risk finance, including through synergies with the InvestEU Programme established by Regulation (EU) 2021/523 of the European Parliament and of the Council (11), in particular where the market does not provide viable financing.

3. In pursuing the objectives referred to in paragraph 2, account may be taken of new and unforeseen needs that arise during the period of implementation of the Specific Programme. That may, if duly justified, include responses to emerging opportunities, crises and threats, as well as responses to needs relating to the development of new Union policies.

Article 3

Structure

1. Under Article 4(1) of Regulation (EU) 2021/695, the Specific Programme consists of the following parts:

(a)Pillar I Excellent Science, with the following components:

(i)the European Research Council (ERC), as described in Annex I, Pillar I, section 1;

(ii)Marie Skłodowska-Curie Actions (MSCA), as described in Annex I, Pillar I, section 2;

(iii)'Research Infrastructures', as described in Annex I, Pillar I, section 3;

(b)Pillar II Global Challenges and European Industrial Competitiveness, with the following components:

(i)cluster Health, as described in Annex I, Pillar II, section 1;

(ii)cluster Culture, Creativity and Inclusive Society, as described in Annex I, Pillar II, section 2;

(iii)cluster Civil Security for Society, as described in Annex I, Pillar II, section 3;

(iv)cluster Digital, Industry and Space, as described in Annex I, Pillar II, section 4;

(v)cluster Climate, Energy and Mobility, as described in Annex I, Pillar II, section 5;

(vi)cluster Food, Bioeconomy, Natural Resources, Agriculture and Environment, as described in Annex I, Pillar II, section 6;

(vii)non-nuclear direct actions of the JRC, as described in Annex I, Pillar II, section 7;

(c)Pillar III Innovative Europe, with the following components:

(i)the European Innovation Council (EIC), as described in Annex I, Pillar III, section 1;

(ii)European innovation ecosystems, as described in Annex I, Pillar III, section 2;

(d)Part Widening Participation and Strengthening the ERA with the following components:

(i)widening participation and spreading excellence, as described in Annex I, Part Strengthening the ERA, section 1;

(ii)reforming and enhancing the European R&I system, as described in Annex I, Part Strengthening the ERA, section 2.

2. The activities to be carried out under the parts referred to in paragraph 1 are described in Annex I.

Article 4

Budget

1. In accordance with Article 12(1) of Regulation (EU) 2021/695, the financial envelope for the implementation of the Specific Programme for the period from 1 January 2021 to 31 December 2027 shall be EUR 83 397 000 000 in current prices.

2. As a result of the programme specific adjustment provided for in Article 5 of Council Regulation (EU, Euratom) 2020/2093 (12) and in Annex II to Regulation (EU, Euratom) 2020/2093, the amount referred to in paragraph 1 shall be increased by an additional allocation of EUR 2 790 000 000 in constant 2018 prices for the Specific Programme.

3. The amount referred to in paragraph 1 of this Article shall be distributed among the components set out in Article 3(1) of this Decision in accordance with Article 12(2) of Regulation (EU) 2021/695. The amount referred to in paragraph 2 of this Article shall be distributed among the components set out in Article 3(1) of this Decision in accordance with Article 12(4) of Regulation (EU) 2021/695. The arrangements set out in Article 12(5) to (9) of Regulation (EU) 2021/695 shall apply.

Article 5

Resources from the European Union Recovery Instrument

1. In accordance with Article 13 of Regulation (EU) 2021/695 the measures referred to in Article 1(2) of Council Regulation (EU) 2020/2094 (13) shall be implemented under this Specific Programme through amounts referred to in point (a)(iv) of Article 2(2) of that Regulation, subject to its Article 3(3), (4), (7) and (9). Those additional amounts shall exclusively be allocated to actions for R&I directed at addressing the consequences of the COVID-19, in particular its economic, social and societal consequences. Priority shall be given to innovative SMEs and special attention shall be paid to their integration in collaborative projects under Pillar II Global Challenges and European Industrial Competitiveness.

2. The indicative distribution of the amount referred to in paragraph 1 shall be:

(a)25 % to cluster Health;

(b)25 % to cluster Digital, Industry and Space;

(c)25 % to cluster Climate, Energy and Mobility;

(d)25 % to the EIC.

CHAPTER II - Implementation and programming


Article 6

Strategic Plan

1. Under Article 6(6) of Regulation (EU) 2021/695, the implementation of the Specific Programme shall be facilitated by a multiannual Strategic Plan of R&I activities, also promoting consistency between the work programmes, EU priorities and national priorities. The result of the strategic planning shall be set out in a multiannual Strategic Plan, for preparing the content in the work programmes, as referred to in Article 13 of this Decision. The Strategic Plan shall cover a maximum period of four years, while retaining sufficient flexibility so that the Union can respond rapidly to new and emerging challenges, unexpected opportunities and crises.

2. The strategic planning shall focus in particular on the pillar Global Challenges and European Industrial Competitiveness and cover also relevant activities in other pillars and in the part Widening Participation and Strengthening the ERA.

The Commission shall ensure early involvement and extensive exchanges with the Member States, and extensive exchanges with the European Parliament. The Commission shall also ensure that this is complemented by consultation with stakeholders and the general public. That will contribute to a stronger engagement with citizens and civil society.

Member States may also support the strategic planning by providing an overview of national consultations and citizens' contributions that feed into the Strategic Plan.

3. The Commission shall adopt the Strategic Plan by means of an implementing act in accordance with the examination procedure referred to in Article 14(4). That Strategic Plan shall correspond to the objectives and activities described in Annex I. That implementing act shall contain the following elements, relating to the period covered:

(a)key strategic orientations for R&I support, including a description of expected impacts, cross-cluster issues and intervention areas covered;

(b)identification of European Partnerships according to points (a) and (b) of Article 10(1) of Regulation (EU) 2021/695;

(c)identification of missions according to Article 7 of this Decision and Article 8 and Annex VI of Regulation (EU) 2021/695;

(d)areas for international cooperation, actions to be aligned with R&I activities of other nations and regions of the world at major scale, or actions to be carried out in cooperation with organisations in third countries;

(e)specific issues, such as: the balance between research and innovation; the integration of SSH; the role of key enabling technologies and strategic value chains; gender equality, including the integration of gender dimension in the R&I content; adherence to the highest ethics and integrity standards, and priorities for dissemination and exploitation.

4. The Strategic Plan shall take into account an analysis, conducted by the Commission, covering at least the following elements:

(a)political, socio-economic and environmental drivers which are relevant for the Union and Member States' policy priorities;

(b)the contribution of R&I to the realisation of Union policy objectives, while capitalising on studies, other scientific evidence and relevant initiatives at Union and national level, including Institutionalised European Partnerships according to point (c) of Article 10(1) of Regulation (EU) 2021/695;

(c)evidence resulting from foresight activities, science and technology indicators, innovation indicators, international developments such as the implementation of the SDGs and feedback from implementation, including monitoring the implementation of specific measures with regard to widening participation and spreading excellence and participation of SMEs;

(d)priorities with the potential to be implemented in synergy with other Union programmes;

(e)a description of the various approaches for stakeholder consultation and citizen engagement as part of the work to develop work programmes;

(f)complementarity and synergies with planning of the Knowledge and Innovation Communities (KICs) of the European Institute of Innovation and Technology (EIT) in accordance with Regulation (EC) No 294/2008 of the European Parliament and of the Council (14).

5. The strategic planning shall be complemented by a strategic coordinating process for European Partnerships, with the participation of Member States and the Commission on an equal footing. It shall function as an entry point for foresight analysis, analysis and advice on the portfolio development, possible setup, implementation, monitoring and phasing out of R&I partnerships and be guided by a comprehensive criteria framework, based on Annex III of Regulation (EU) 2021/695.

Article 7

Missions

1. R&I missions may be established in the mission areas identified in Annex VI of Regulation (EU) 2021/695.

2. A mission board shall be established for each mission area, unless existing advisory structures can be used, in which case the Programme Committee referred to in Article 14 shall be informed in advance.

Each mission board shall be composed of a maximum of 15 independent high-level individuals with broad expertise, including where appropriate SSH experts, from across Europe and beyond, including relevant end-users' representatives. The mission board members shall be appointed by the Commission, following a transparent identification procedure which shall include an open call for expressions of interest. The Programme Committee shall be consulted in a timely manner on the identification and selection procedures, including the criteria used. The term of office of mission board members shall be up to five years, renewable once.

3. Mission boards shall not have decision-making powers. They shall advise the Commission on the following:

(a)the identification and design of one or more missions in the respective mission area according to the provisions and criteria set out in Article 8 of Regulation (EU) 2021/695;

(b)the content of work programmes and their revision as needed for achieving the mission objectives, with input from stakeholders and, where relevant, the general public;

(c)the characteristics of project portfolios for missions;

(d)adjustment actions, or termination, if appropriate, based on implementation assessments according to the defined objectives of the mission;

(e)the selection of independent external experts in accordance with Article 49 of Regulation (EU) 2021/695, briefing of these independent external experts and evaluation criteria and their weighting;

(f)framework conditions which help achieve the objectives of the mission;

(g)communication, including on the performance and the achievements of the mission;

(h)policy coordination between relevant actors at different levels, in particular regarding synergies with other Union policies;

(i)key performance indicators.

The advice of the mission boards shall be made public.

4. For each Mission area, the Programme Committee shall be involved in the preparation and life cycle of the missions, taking into account relevant issues from the national context and opportunities to enhance alignment with activities on national level. Interactions with the mission boards shall take place in a timely and comprehensive manner.

5. The work programme provided for in Article 13 shall, for each mission identified in the Strategic Plan, include the design, the characteristics of their project portfolios and specific provisions to enable an efficient portfolio approach.

Article 8

European Research Council

1. The Commission shall establish a European Research Council (the ERC) to implement the actions under Pillar I Excellent Science which relate to the ERC. The ERC shall succeed the European Research Council set up by Commission Decision of 12 December 2013 (15).

2. The ERC shall be composed of the independent ERC Scientific Council provided for in Article 9 and the ERC dedicated implementation structure provided for in Article 10.

3. The ERC shall have a President who shall be chosen from among senior and internationally respected scientists.

The ERC President shall be appointed by the Commission following a transparent recruitment process involving an independent dedicated search committee. The recruitment process and the candidate selected shall have the approval of the ERC Scientific Council. The term of office of the ERC President shall be limited to four years, renewable once.

The ERC President shall chair the ERC Scientific Council. The ERC President shall ensure the leadership of the ERC Scientific Council and its liaison with the ERC dedicated implementation structure and shall represent the ERC Scientific Council in the world of science.

4. The ERC shall operate according to its core principles which are scientific excellence, open science, autonomy, efficiency, effectiveness, transparency, accountability and research integrity. It shall ensure continuity with ERC actions conducted under Decision of 12 December 2013.

5. Through its activities, the ERC shall support, in a bottom-up manner, frontier research carried out across all fields by principal investigators and their teams in competition at European level, including early-stage career researchers.

6. The Commission shall act as the guarantor of the autonomy and integrity of the ERC and shall ensure the proper execution of the tasks entrusted to it.

The Commission shall ensure that the implementation of ERC actions is in accordance with the principles set out in paragraph 4 of this Article as well as with the overall strategy for the ERC, referred to in point (a) of Article 9(2), established by the ERC Scientific Council.

Article 9

ERC Scientific Council

1. The ERC Scientific Council shall be composed of independent scientists, engineers and scholars of the highest repute and with the appropriate expertise, including both women and men in different age groups, and ensuring a diversity of research areas and a variety of geographical origins. They shall act in their personal capacity, independent of extraneous interests. The members of the ERC Scientific Council shall be appointed by the Commission, following an independent and transparent procedure for their identification agreed with the ERC Scientific Council, including an open consultation of the scientific community and a report to the European Parliament and the Council.

The term of office of the members of the ERC Scientific Council shall be limited to four years, renewable once, on the basis of a rotating system which shall ensure the continuity of the work of the ERC Scientific Council.

2. The ERC Scientific Council shall establish:

(a)the overall strategy for the ERC;

(b)the work programme for the implementation of the ERC activities;

(c)the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined;

(d)its position on any matter which from a scientific perspective may enhance the achievements and impact of the ERC and the quality of the research carried out;

(e)a code of conduct addressing, among other things, the avoidance of conflicts of interest.

The Commission shall depart from the positions established by the ERC Scientific Council in accordance with points (a), (c), (d) and (e) of the first subparagraph only if it considers that this Decision has not been respected. In that case, the Commission shall adopt measures to maintain continuity in the implementation of the Specific Programme and the achievements of its objectives, setting out and duly motivating the points of departure from the ERC Scientific Council positions.

3. The ERC Scientific Council shall act in accordance with the mandate set out in Annex I, Pillar I, section 1.

4. The ERC Scientific Council shall act exclusively in the interest of the ERC, according to the principles set out in Article 8. It shall act with integrity and probity and carry out its work efficiently and with the greatest possible transparency.

Article 10

ERC dedicated implementation structure

1. The ERC dedicated implementation structure shall be responsible for the administrative implementation and execution of this component of the Specific Programme, as described in Annex I, Pillar I, section 1.3.2. It shall support the ERC Scientific Council in the conduct of all of its tasks.

2. The Commission shall ensure that the ERC dedicated implementation structure follows strictly, efficiently and with the necessary flexibility the objectives and requirements of the ERC alone.

Article 11

European Innovation Council

1. The EIC, as established under Article 9 of Regulation (EU) 2021/695 shall include the High Level Board (the EIC Board) referred to in Article 12 of this Decision.

2. The Commission shall ensure that the implementation of the EIC:

(a)is in accordance with the principles set out in Article 9(1) of Regulation (EU) 2021/695, taking due account of the opinion of the EIC Board on the overall strategy for the EIC, referred to in point (a) of Article 12(1);

(b)does not lead to distortions of competition contrary to the common interest.

3. For the purpose of managing EIC blended finance, the Commission shall make use of indirect management. If that is not possible, the Commission may establish a special purpose vehicle (the EIC Fund), to be managed in accordance with the applicable accountability rules.

When the Commission establishes a special purpose vehicle under the first subparagraph, it shall seek to ensure the participation of other public and private investors. If that is not possible at the initial set up, the Commission shall structure the EIC special purpose vehicle in such a way that it can attract other public or private investors in order to increase the leverage effect of the Union contribution.

4. The Commission shall ensure effective complementarities between the EIC, the EIT and the InvestEU Programme.

Article 12

The EIC Board

1. The EIC Board shall advise the Commission on:

(a)the overall strategy for the EIC component under Pillar III Innovative Europe;

(b)the work programme for the implementation of the EIC actions;

(c)the criteria for assessment of the innovativeness and risk profile of the proposals and the appropriate balance of grants, equity and other forms of financing for the Accelerator;

(d)the identification of strategic portfolios of projects;

(e)the profile of programme managers.

2. The EIC Board may upon request address recommendations to the Commission on:

(a)any matter which from an innovation perspective may enhance and foster innovation eco-systems across Europe, the achievements and impact of the objectives of the EIC component and the capacity of innovative firms to roll out their solutions;

(b)identifying in cooperation with relevant Commission services and, where appropriate, national and regional authorities and other relevant entities, such as the EIT Governing Board, possible regulatory barriers faced by entrepreneurs, in particular those awarded support under the EIC component;

(c)emerging technology trends from EIC's portfolios, to inform the programming in other parts of the Specific Programme;

(d)identifying specific issues where advice from the EIC Board is needed.

The EIC Board shall act in the interest of achieving the objectives of the EIC. It shall act with integrity and probity and carry out its work efficiently and with transparency. The EIC Board shall act in accordance with its mandate set out in Annex I, Pillar III, section 1.

3. The EIC Board shall be composed of 15 to 20 independent high-level individuals drawn from various parts of Europe's innovation ecosystem, including entrepreneurs, corporate leaders, investors, public administration experts and researchers, including academic experts on innovation. The EIC Board shall contribute to outreach actions and its members shall strive to enhance the prestige of the EIC brand.

The members of the EIC Board shall be appointed by the Commission, following an open call for nominations or for expressions of interest, or both, whichever the Commission finds more appropriate, and taking into account the need for balance in expertise, gender, age and geographical distribution.

Their term of office shall be limited to two years, renewable twice, with a rolling appointments system so that members are appointed every two years.

4. The EIC Board shall have a President who shall be a high-profile public figure linked to the world of innovation, with a solid understanding of research and development (R&D).

The EIC Board President shall be appointed by the Commission following a transparent recruitment process. The term of office of the EIC Board President shall be limited to four years, renewable once.

The EIC Board President shall chair the EIC Board, prepare its meetings, assign tasks to members and may establish dedicated sub-groups, in particular to identify emerging technology trends from the EIC's portfolios. The EIC Board President shall represent the EIC in the world of innovation. The EIC Board President shall also promote the EIC and act as an interlocutor with the Commission and, through the relevant programme committees, with Member States. The Commission shall provide for administrative support for the EIC Board President.

5. The Commission shall establish a code of conduct addressing, among other things, the avoidance of conflicts of interest and breach of confidentiality. Members of the EIC Board shall agree to abide by the code of conduct upon assuming office.

Article 13

Work programmes

1. The Specific Programme shall be implemented by the work programmes referred to in paragraph 2 of this Article in accordance with Article 110 of Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council (16) (the Financial Regulation). Those work programmes shall set out the expected impact and shall be prepared following the strategic planning as described in Article 6 and in Annex I to this Decision. The Commission shall regularly and from an early stage inform the Committee referred to in Article 14 of the overall progress of the implementation of the indirect actions of the Specific Programme, including missions, also to allow that Committee to provide early appropriate input in the course of the strategic planning and on the preparation of the work programmes, especially on missions.

Work programmes shall set out, where applicable, the overall amount reserved for blending operations.

2. The Commission shall adopt separate work programmes, by means of implementing acts, for the implementation of actions under the following components, as set out in Article 3(1):

(a)the ERC, for which the work programme shall be established by the ERC Scientific Council under point (b) of Article 9(2), in accordance with the advisory procedure referred to in Article 14(3); the Commission shall depart from the work programme established by the ERC Scientific Council only when it considers that it is not in accordance with this Decision; in that case, the Commission shall adopt the work programme by means of an implementing act in accordance with the examination procedure referred to in Article 14(4); the Commission shall duly motivate that;

(b)all clusters under the pillar Global Challenges and European Industrial Competitiveness, MSCA, research infrastructures, European innovation ecosystems, widening participation and spreading excellence, and reforming and enhancing the European R&I System, in accordance with the examination procedure referred to in Article 14(4);

(c)the EIC, for which the work programme shall be prepared following the advice of the EIC Board under point (b) of Article 12(1), in accordance with the examination procedure referred to in Article 14(4);

(d)the JRC, for which the multi-annual work programme shall take into account the opinion provided by the Board of Governors of the JRC referred to in Commission Decision 96/282/Euratom.

3. In addition to the requirements under Article 110 of the Financial Regulation, the work programmes referred to in paragraph 2 of this Article shall, as appropriate, contain:

(a)an indication of the amount allocated to each action and mission and an indicative implementation timetable;

(b)in relation to grants, the priorities, the selection and award criteria, and the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs;

(c)the amount allocated to blended finance in accordance with Articles 45 to 48 of Regulation (EU) 2021/695;

(d)any additional obligations for beneficiaries, in accordance with Articles 39 and 41 Regulation (EU) 2021/695.

4. The Commission shall adopt, by means of implementing acts the following measures:

(a)the decision on the approval of the funding of indirect actions, where the estimated amount of the Union contribution under the Specific Programme is equal to or more than EUR 2,5 million, with the exception of actions under the ERC; the decision on the approval of the funding of indirect actions in cluster Culture, Creativity and Inclusive Society , where the estimated amount of the Union contribution under the Specific Programme is equal to or more than EUR 1 million;

(b)the decision on the approval of the funding of actions involving the use of human embryos and human embryonic stem cells and of actions under the cluster Civil Security for Society referred to in point (b)(iii) of Article 3(1).

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 14(4).

Article 14

Committee procedure

1. The Commission shall be assisted by a committee (17). That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2. The committee shall meet in different configurations as set out in Annex II, having regard to the subject matter to be discussed.

3. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.

4. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

5. Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.

6. In the case of the implementing acts to be adopted under Article 6(3) where the Committee delivers no opinion, the Commission shall not adopt the draft implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.

7. The Commission shall regularly inform the Committee of the overall progress of the implementation of the Specific Programme and shall provide it with timely information on all actions and components proposed or funded under Regulation (EU) 2021/695 and its externalised parts, as specified in Annex III of this Decision, including detailed information and analysis of the statistics of the individual calls.

CHAPTER III - Transitional and final provisions


Article 15

Repeal

Decision 2013/743/EU is repealed with effect from 1 January 2021.

Article 16

Transitional provisions

1. This Decision shall not affect the continuation or modification of the actions concerned under Decision 2013/743/EU, which shall continue to apply to those actions until their closure.

Where necessary, any remaining tasks of the Committee established by Decision 2013/743/EU shall be undertaken by the Committee referred to in Article 14 of this Decision.

2. The financial envelope for the Specific Programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the Specific Programme and the measures adopted under its predecessor Decision 2013/743/EU.

Article 17

Entry into force

This Decision shall enter into force on the day of its publication in the Official Journal of the European Union.

It shall apply from 1 January 2021.

This Decision is addressed to the Member States.