Explanatory Memorandum to 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.
source COM(2018)436 EN
date 07-06-2018


1. CONTEXT OF THE PROPOSAL


• Reasons and objectives

The ‘Horizon Europe’ proposal is fully in line with the Commission's proposal on the next long-term Union budget for 2021 to 2027, as well as the Commission’s priorities, as set out in its Agenda for Jobs, Growth, Fairness and Democratic Change and global policy priorities (the Sustainable Development Goals). It supports the agenda of the Union post-2020 as agreed in the Rome Declaration of 25 March 2017.

The proposal is framed by the premise that research and innovation (R&I) delivers on citizens’ priorities, boosts the Union’s productivity and competitiveness, and is crucial for sustaining our socio-economic model and values, and enabling solutions that address challenges in a more systemic way.

As per Article 182 of the Treaty on the Functioning of the European Union (‘TFEU’) the framework programme shall be implemented through specific programmes that set out detailed rules for implementing it, fix its duration and provide for the means deemed necessary. The programme Horizon Europe will be implemented through the specific programme established by this Decision and the specific programme on defence research.

The specific programme established by this Decision is based both on Article 182 TFEU and, due to its strong support for innovation, on Article 173 TFEU.

For more on the overall Horizon Europe proposal, see the explanatory memorandum for the underlying act (proposal for a regulation establishing 'Horizon Europe – the Framework Programme for Research and Innovation and laying down its rules for participation and dissemination').

This proposal provides for a date of application as of 1 January 2021 and is presented for a Union of 27 Member States, in line with the notification by the United Kingdom of its intention to withdraw from the European Union and Euratom based on Article 50 of the Treaty on European Union received by the European Council on 29 March 2017.The following section details the specific points in this proposal.

2. OTHER ELEMENTS


• Detailed explanation of the specific provisions of the proposal

The proposal for the Framework Programme (a Framework Programme for Research and Innovation entitled ‘Horizon Europe’, including laying down its rules for participation and dissemination), sets out the general and specific objective of Horizon Europe, the structure and the broad lines activities to be carried out, while this Decision should define the operational objectives and the activities which are specific to parts of Horizon Europe.

Contents

1.

This legal act sets out specific implementation and programming provisions for the framework programme, especially for


·Missions (under the Global Challenges and Industrial Competitiveness pillar);

·the European Research Council (ERC);

·the European Innovation Council (EIC);

·work programmes;

·committee procedure.

2.

Strategic planning


The implementation of Horizon Europe will be steered by an inclusive and transparent strategic planning process of the research and innovation activities the programme will fund. This will follow extensive consultations and exchanges with Member States, the European Parliament as appropriate, and with various stakeholders, including civil society organisations, about priorities (including missions, under the Global Challenges and Industrial Competitiveness pillar), and the suitable types of action and forms of implementation, in particular European partnerships.

The strategic planning exercise will lay out a multiannual strategy for the development of work programme content (as set out in Article 11), though it will remain sufficiently flexible to respond rapidly to unexpected needs and crises, as well as the policy priorities set out in the Commission’s Work Programme cycle. It will take the second pillar – Global Challenges and Industrial Competitiveness - as the centre of gravity for this planning.

The priorities of Horizon Europe will be very closely aligned with the Union’s general strategic priorities and its policies. The strategic planning will be based on foresight activities, studies and other scientific evidence and take account of relevant existing initiatives at Union and national level. It will incorporate inter-disciplinary and cross-sectoral perspectives and ensure that all activities under Horizon Europe are coordinated in an effective manner.

3.

It will also be aligned tightly with other Union programmes, not least to promote faster dissemination and uptake of results from investments in research and innovation.


The Commission proposal for the 2021-2027 Multiannual Financial Framework set a more ambitious goal for climate mainstreaming across all EU programmes, with an overall target of 25% of EU expenditure contributing to climate objectives. The contribution of this programme to the achievement of this overall target will be tracked through an EU climate marker system at an appropriate level of disaggregation, including the use of more precise methodologies where these are available. The Commission will continue to present the information annually in terms of commitment appropriations in the context of the annual draft budget.

To support the full utilisation of the potential of the programme to contribute to climate objectives, the Commission will seek to identify relevant actions throughout the programme preparation, implementation, review and evaluation processes.

4.

Pillars


Horizon Europe will consist of 3 strands, or ‘pillars’:

I. ‘Open Science’;

II.‘Global Challenges and Industrial Competiveness’;

III.‘Open Innovation’.

Pillar I – ‘Open Science’

This pillar builds on the success of the European Research Council, the Marie Skłodowska-Curie Actions and the Research Infrastructures component in the current framework programme. For the specific rules on the European Research Council see Articles 6 to 8.


Pillar II – ‘Global Challenges and Industrial Competiveness’

This pillar includes five thematic clusters that address the full spectrum of global challenges through top-down collaborative R&I activities.

·‘ Health’;

·‘Inclusive and Secure Society’;

·‘Digital and Industry’;

·‘Climate, Energy and Mobility’;

·‘Food and Natural Resources’..

The clusters – supported by areas of intervention – cut across typical boundaries between disciplines, sectors and policy areas and will lead to more collaboration and increased impact in what concerns Union and global policy priorities.

The entire pillar is designed to be more impact-oriented.

5.

Missions


A small number of missions with specific goals will be launched from within the pillar, establishing a comprehensive portfolio of projects, but also drawing on relevant activities and outputs from other parts of the programme. The specific provisions on missions are set out in Article 5.

Missions will be decided and co-designed as part of the Horizon Europe strategic planning process, which will include a collaborative effort by relevant Commission departments, Member States, the European Parliament and relevant stakeholders.

There will not be a separate budget for missions, though missions will have a budget assigned through the work programme. Missions are normally expected to be cross-cutting in nature and so receive their budget from more than one cluster.

The first few missions will be introduced in the first strategic planning exercise. Based on the first two years' experience, the number and scale of missions could be increased in subsequent work programmes. Whilst the duration of the Union support to missions would not be expected to exceed 10 years and will be subject to regular review (through the work programme cycle), the timeframe for expected impact of missions could spread out beyond this timeframe.

For co-designing the missions and steering their implementation, the Commission may set up mission boards. They will advise on potential high-impact missions and rely in doing so on a design process that involves stakeholders and includes public outreach. The mission boards will be composed of stakeholders, including end-users to ensure their engagement, and Commission departments to ensure links to Union policies. The members of the mission boards will normally be appointed by the Commission, following an open call for expression of interests, and taking into account the need for balance in expertise, gender, age and geographical distribution. However, if appropriate, existing governance structures could also be used as mission boards.

Mission managers may be recruited by the Commission to ensure that the best available expertise is used to implement and achieve the stated objectives.

The implementation provisions will allow a ‘portfolio approach’, whereby proposals will be evaluated and selected, and projects managed within a portfolio of actions, rather than individually.

The evaluation of proposals will be done with the help of independent evaluators who will be responsible for proposing a portfolio of projects that collectively address a given mission.

The applicable evaluation and selection criteria, along with the evaluation method for missions (e.g. ensuring a portfolio approach), will be set out in the work programme. The aim is will be to assess excellence and impact at the collective level.

Other relevant projects which may contribute to the success of the missions may be incorporated in the portfolio approach, and a broad range of actors, such as foundations, may also be able to contribute.

The Future and Emerging Technologies (FET) flagships of Horizon 2020 have similar features to the mission's concept. For this reason, and also to simplify the funding landscape, any FET flagships planned under Horizon Europe will be set up as missions, in accordance with the mission criteria and implemented using the same modalities.

Pillar III – ‘Open Innovation’

This pillar will essentially focus on:

–scaling up breakthrough and market-creating innovation through a new European Innovation Council (EIC – see articles 9 to 10); and

–activities aiming at enhancing and developing the overall European innovation landscape, including support to the European Institute of Innovation and Technology (EIT).

To implement the EIC, the Commission will establish a high level board (the EIC Board) that will advise, inter alia, on the overall strategy, objectives, activities, evaluation criteria and selection of experts. The work programme for the implementation of the EIC actions will be prepared by the Commission on the basis of the advice of the EIC Board.

The European Innovation Council will be the sole channel for the Union support to breakthrough market-creating innovation. It will govern relevant activities previously carried out in Horizon 2020, such as Innovation in SMEs and Future and Emerging Technologies (FET Open and FET Proactive), and Access to Risk Finance (now aligned with the InvestEU Fund Regulation).

The Commission may recruit programme managers, following an open and transparent selection procedure, for the implementation of the EIC.

The EIC will provide direct tailor-made support to innovators through two main funding instruments – the Pathfinder and the Accelerator – which will both focus through a mainly bottom-up, high-risk approach on breakthrough innovation; on innovator needs and be pro-actively managed.

The Pathfinder for Advanced Research will provide grants from the early technology stage (including proof-of-concept, technology validation) to the early commercial stage (early demonstration, developing a business case and strategy).

The Accelerator will support the further development and market deployment of breakthrough and market-creating innovations, to a stage where it can be financed under normal commercial terms by investors (e.g. from demonstration, user testing, pre-commercial production, including scale-up). It will provide EIC blended finance (i.e. grants combining direct equity and access to financial guarantees).

The Accelerator will place a particular emphasis on innovation generated within the Pathfinder, though it will also fund projects from other parts of Horizon Europe such as the European Research Council or the European Institute of Innovation and Technology's Knowledge and Innovation Communities.

Another feature of the Open Innovation pillar is an increased cooperation with innovation ecosystems aimed at improving the environment within which innovation can flourish, in particular but not exclusively via the EIT, which will promote sustainable innovation ecosystems and develop entrepreneurial and innovation skills in priority areas through its Knowledge and Innovation Communities.

Part ‘Strengthening the European Research Area’

The main components of this particular part are: ‘sharing excellence’; and ‘reforming and enhancing the European R&I system’, covering the next generation Policy Support Facility.

This part will also include activities on: foresight activities; monitoring and evaluating the Framework Programme and disseminating and exploiting results; modernising European universities; supporting enhanced international cooperation; and science, society and citizens.

6.

Implementation


In implementing Horizon Europe, the Commission will be assisted by a Committee (see Article 12) within the meaning of Regulation (EU) No 182/2011. It would meet in different configurations (see Annex II of this Decision), depending on the subject matter to be discussed.

7.

Programme Activities


See Annex I of this proposal for more detail on the areas funded under each of the pillars and on programme activities. This includes implementation arrangements and general principles with a specific focus on strategic planning, dissemination and communication, exploitation and market uptake, support for policy-making and international cooperation.