Explanatory Memorandum to COM(2011)810 - Participation and dissemination in 'Horizon 2020 – the Framework Programme for Research and Innovation (2014-2020)' - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2011)810 - Participation and dissemination in 'Horizon 2020 – the Framework Programme for Research and Innovation (2014-2020)'. |
|---|---|
| source | COM(2011)810  |
| date | 30-11-2011 |
The set of proposals for 'Horizon 2020' fully supports the Europe 2020 strategy, which identified research and innovation as central to achieving the objectives of smart, sustainable and inclusive growth. They consist of proposals for a Framework Programme 'Horizon 2020', a single set of Rules for Participation and Dissemination, a single Specific Programme to implement 'Horizon 2020', as well as a separate proposal for the parts of 'Horizon 2020' corresponding to the Euratom Treaty.
Designed to support the Europe 2020 Flagship Initiative 'Innovation Union'[1], the basic principle of 'Horizon 2020' and these rules is to adopt a much more strategic approach to research and innovation. All policy instruments and measures are designed to contribute to research and innovation and to further develop the European Research Area whereby knowledge, researchers and technology circulate freely, and to accelerate the commercialisation and diffusion of innovation across the Single Market.
The rules proposed were drawn up with the twofold aim of:
– Ensuring a single and sufficiently flexible regulatory framework which will render participation easier, create a more coherent set of instruments covering both research and innovation and increase the scientific and economic impact while avoiding duplication and fragmentation.
– Simplifying the terms and procedures from the perspective of the participants to ensure the most efficient implementation, taking into account the need for easy access for all participants.
The following new features have been introduced into the rules for participation and dissemination in order to apply the above principles and to bring the rules into line with the characteristics and objectives of the new framework programme:
– The rules will apply to all components of 'Horizon 2020', including initiatives under Articles 185 and 187 TFEU, actions currently falling within the scope of the Competitiveness and Innovation Programme as well as the EIT activities. The necessary flexibility corresponding to the different nature of the research and innovation actions is ensured by appropriate derogations and by allowing to set out specific participation details in the work programmes;
– The rules for participation relating to the Union funding are based on the revised Regulation of the European Parliament and the Council on the financial rules applicable to the annual budget of the Union[2] which has streamlined and rendered more efficient the way in which Union policies can be implemented.
– The financial provisions relating to the Union funding in the form of grants have been clarified and simplified. Thus, they are now establishing a single funding rate depending for each type of action funded under 'Horizon 2020' with no differentiation among participants. Enhanced use of lump sums, flat rates and scale of unit costs is also proposed.
– For direct costs, these rules provide for a broad acceptance of the usual accounting practices of grant beneficiaries, subject to a minimum number of boundary conditions. The grant agreement will include further simplification provisions allowing beneficiaries to gain legal certainty on the eligibility of the costs charged to actions under 'Horizon 2020'. Those simplification provisions will include, among others, a clear definition of the time recording requirements and objective references regarding the annual productive hours.
– For indirect costs, the calculation is radically simplified; the reimbursement foresees a flat rate based on total direct eligible costs of participants with a possibility to declare costs actually incurred which is limited to non-profit legal entities.
– Rules applying to the new forms of funding allow for more flexibility, such as those related to prizes to be awarded for the achievement of pre-specified targets or those related to public pre-commercial procurement and procurement of innovative solutions as well as those related to the financial instruments.
– Given its demonstrated efficiency as a safeguard mechanism, the participants' Guarantee Fund set up under the Seventh Framework Programme will be renewed for the entire duration of 'Horizon 2020' with clearer rules and the possibility to extend it to cover risks undertaken in actions under the EURATOM Framework Programme.
– The rules regarding intellectual property, exploitation and dissemination have been modelled on the widely acknowledged Seventh Framework Programme provisions with further improvements and clarifications. Specific new emphasis has been put on open access to research publications and an opening was made for experiments with open access to other results. The enlarged scope and new forms of funding as well as the need for flexibility in this area of the rules has been taken into account by the possibility to lay down additional or specific provisions where appropriate. Access rights for the European Union, and in the field of security research also for Member States, have been foreseen.
Furthermore, the participation of legal entities established in third countries and of international organisations in actions under 'Horizon 2020' will be streamlined and stimulated, in line with the objectives of international cooperation set out in the Treaty, based on mutual benefits and taking into account the conditions for the participation of European Union entities to third countries’ programmes.
Within the clear and stable framework, participants will enjoy further flexibility to determine the most appropriate internal arrangements for the implementation of their actions. This should encourage and facilitate the participation of all research stakeholders, including small research units, particularly SMEs.
Contents
The preparation of the proposal took full account of the responses to an extensive public consultation based on a Green Paper, 'From challenges to opportunities: towards a common strategic framework for Union research and innovation funding', COM(2011)48. Views were expressed by the European Council, Member States and a wide range of stakeholders from industry, academia and civil society.
The consultations carried out have identified the following obstacles:
– The most important one from the participant's perspective is the complexity of administrative procedures along with the administrative burden.
– Participants also find very burdensome to apply different sets of rules depending on the Union research and innovation programme and called for a greater consistency of rules between instruments.
– The last issue is the need to introduce a risk/trust balance. Currently too many procedures, in particular regarding financial controls, appear to be designed exclusively to ensure a very low risk of errors, but also result in control mechanisms perceived as rigid and excessive.
The basic principles established by these rules have been reviewed through a formal Impact Assessment.
1.1. Legal base
Horizon 2020 legislative package integrates research and innovation activities in a seamless way in order to achieve the policy objectives.
The Rules for Participation and dissemination will be based on the TFEU Titles 'Industry' and 'Research and technological development and space' (Articles 173, 183 and 188).
1.2. Subsidiarity and proportionality principles
The Horizon 2020 package has been designed to maximise EU added value and impact, focusing on objectives and activities that cannot be efficiently realised by Member States acting alone. The Rules for participation and dissemination are intended to facilitate the implementation of Horizon 2020 proposal and therefore the subsidiary analysis presented with therein applies.
The principle of proportionality is satisfied inasmuch as the proposed simplification and rationalisation ensure that EU action would not go beyond the minimum necessary to achieve the objectives of ensuring the implementation of the Horizon 2020.