ANNEX IV to the Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing Horizon Europe - the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination - Presidency compromise text - Main contents

Document date	07-10-2019
Publication date	08-10-2019
Reference	12588/1/19 REV 1
From	General Secretariat of the Council
External link	original article
Original document in PDF

Council of the European Union Brussels, 7 October 2019 (OR. en)

12588/1/19

Interinstitutional File: REV 1

2018/0224(COD) i LIMITE

RECH 445 CODEC 1429 COMPET 650 MARE 20 IND 242 DIGIT 147 MI 678 EMPL 486 EDUC 391 CYBER 268 TELECOM 312 CLIMA 262 ENER 450 ESPACE 70 ENV 812 ATO 82 REGIO 194 RELEX 879 AGRI 464 JAI 1002 TRANS 463 CSDP/PSDC 443 SAN 409 ECO 102 CADREFIN 330

NOTE

From: General Secretariat of the Council

To: Delegations

No. Cion doc.: 9865/18 ADD 1

Subject: ANNEX IV to the Proposal for a REGULATION OF THE EUROPEAN

PARLIAMENT AND OF THE COUNCIL establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination - Presidency compromise text

Following the Research Working Party meeting of 7 October 2019, delegations will find, in Annex, a revised Presidency compromise text on Annex IV to the above-mentioned proposal.

Changes in comparison to doc. 9865/18 ADD 1 are indicated in strikeout and bold underlined, while changes in comparison to doc. 12588/19 are indicated in double-strikethrough and bold double underline.

ANNEX

PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE

COUNCIL ESTABLISHING HORIZON EUROPE – THE FRAMEWORK PROGRAMME

FOR RESEARCH AND INNOVATION, LAYING DOWN ITS RULES FOR

PARTICIPATION AND DISSEMINATION

ANNEX IV

SYNERGIES WITH OTHER PROGRAMMES

In order to maximise the impact of research and innovation on society, environment and economy at large and to contribute to the achievement of the Union's objectives, Union funding programmes must be coherent and work in synergy.

Synergies are based on complementarity between programme design and objectives and on compatibility of financing rules and processes at implementation level.

The Strategic Planning process shall ensure the alignment of priorities for the different

Union funding programmes and ensure coherent funding options at different stages of the research and innovation cycle. In particularAmongst others, missions and partnerships shall benefit from synergies with other Union funding programmes and policies.

The deployment of research results and innovative solutions developed in the Framework

Programme shall be encouraged facilitated with the support of other Union funding programmes, in particular through dissemination and exploitation strategies, transfer of knowledge, complementary and cumulative funding sources, and accompanying policy measures.

Funding for research and innovation activities in different Union programmes shall profit from harmonised rules that are designed to ensure EU added value, and to seek maximum efficiency and administrative simplification.

The paragraphs below set out in more detail how these synergies shall apply between the

Framework Programme and the different Union programmes.

• 1. 

  Synergies with the European Agricultural Guarantee Fund (EAGF) and the European

  Agricultural Fund for Rural Development (EAFRD) (Common Agricultural Policy-CAP) will

  shall ensure that:

  (a) the research and innovation needs of the agricultural sector and rural areas within the

  EU are identified notably for example within the European Innovation Partnership

  "agricultural productivity and sustainability" 1 and taken into consideration in both the

  Framework Programme's strategic research and innovation planning process and the

  work programmes;

  (b) the CAP makes the best use of research and innovation results and promotes the use,

  implementation and deployment of innovative solutions, including those stemming

  from projects funded by the Framework Programmes for research and innovation and

  from the European Innovation Partnership "agricultural productivity and sustainability";

  (c) the EAFRD supports the uptake and dissemination of knowledge and solutions stemming from the Framework Programme's results leading to a more dynamic farming sector and new openings for the development of rural areas.

• 2. 

  Synergies with the European Maritime and Fisheries Fund (EMFF) will shall ensure that:

  (a) the Framework Programme and the EMFF are largely closely interlinked as EU

  research and innovation needs in the field of marine and maritime policy will be

  translated through the Framework Programme's strategic research and innovation

  planning process;

1 Communication from the Commission to the European Parliament and the Council on the

European Innovation Partnership 'Agricultural Productivity and Sustainability' (COM(2012) 79 final i).

(b) the EMFF supports the rolling out of novel technologies and innovative products,

processes and services, in particular those resulting from the Framework Programme in

the fields of marine and maritime policy; the EMFF also promotes ground data

collection, and data processing and monitoring and disseminates relevant actions

supported under the Framework Programme, which in turn contributes to the

implementation of the Common Fisheries Policy, the EU Maritime Policy and

International Ocean Governance.

• 3. 

  Synergies with the European Regional Development Fund (ERDF) will shall ensure that:

  (a) arrangements for combined complementary and cumulative funding from ERDF and the Framework Programme are can be used to support activities that provideing a

  bridge between smart specialisations strategies and international excellence in research and innovation, including joint trans-regional/trans-national programmes and pan European Research Infrastructures , with the aim of strengthening the European Research Area;

  (b) the ERDF focuses amongst others on the development and strengthening of regional and local research and innovation ecosystems and industrial transformation, including both support to building research and innovation capacities and to the take-up of results

  and the rolling out of novel technologies and innovative and, climate-friendly solutions from the Framework Programmes for research and innovation through the ERDF.

• 4. 

  Synergies with the European Social Fund Plus (ESF+) will shall ensure that:

  (a) the ESF+ can mainstream and scale up innovative curricula supported by the Framework Programme, through national or regional programmes, in order to equip people with the skills and competences needed for evolving demands of the labour marketthe jobs of the future;

  (b) arrangements for complementary funding from ESF+ can be used to support activities promoting human capital development in research and innovation with the aim of

  strengthening the European Research Area;

  (c) the Health strand of the European Social FundESF+ mainstreams innovative technologies and new business models and solutions, in particular those resulting from the Framework Programmes, so to contribute to innovative, efficient and sustainable health systems of the Member States and facilitate access to better and safer healthcare for European citizens.

• 5. 

  Synergies with the Connecting Europe Facility (CEF) will shall ensure that:

  (a) the research and innovation needs in the areas of transport, energy and in the digital

  sector within the EU are identified and established during the Framework Programme's

  strategic research and innovation planning process;

  (b) the CEF supports the large-scale roll-out and deployment of innovative new technologies and solutions in the fields of transport, energy and digital physical infrastructures, in particular those resulting from the Framework Programmes for research and innovation;

(c) the exchange of information and data between the Framework Programme and CEF

projects will be facilitated, for example by highlighting technologies from the

Framework Programme with a high market readiness that could be further deployed

through the CEF.

• 6. 

  Synergies with the Digital Europe Programme (DEP) will shall ensure that:

(a) whereas several thematic areas addressed by the Framework Programme and DEP

converge, the type of actions to be supported, their expected outputs and their

intervention logic are different and complementary;

(b) the research and innovation needs related to digital aspects are identified and established in during the Framework Programme's strategic planning process research and innovation plans; this includes research and innovation for High Performance Computing, Artificial Intelligence, Cybersecurity, combining digital with other enabling technologies and non-technological innovations; support for the scale-up of companies introducing breakthrough innovations (many of which will combine digital and physical technologies); the integration of digital across all the pillar 'Global Challenges and European Industrial Competitiveness'; and the support to digital research infrastructures;

(c) DEP focuses on large-scale digital capacity and infrastructure building in High Performance Computing, Artificial Intelligence, Cybersecurity and advanced digital skills aiming at wide uptake and deployment across Europe of critical existing or tested innovative digital solutions within an EU framework in areas of public interest (such as health, public administration, justice and education) or market failure (such as the digitisation of businesses, notably small and medium enterprises); DEP is mainly implemented through coordinated and strategic investments with Member States, notably through joint public procurement, in digital capacities to be shared across Europe and in EU-wide actions that support interoperability and standardisation as part of developing thea Digital Single Market;

(d) DEP capacities and infrastructures are made available to the research and innovation

community, including for activities supported through the Framework Programme

including testing, experimentation and demonstration across all sectors and disciplines;

(e) novel digital technologies developed through the Framework Programme, are to be

progressively be taken up and deployed by DEP;

(f) the Framework Programme's initiatives for the development of skills and competencies curricula, including those delivered at the co-location centres of the European Institute

of Innovation and Technology's KIC-Digital, are complemented by Digital Europesupported capacity-building in advanced digital skills;

(g) strong coordination mechanisms for strategic programming and operating procedures

for both programmes are alignedexist, and their governance structures involve the

respective Commission services, Member States representatives as well as others

concerned by the different parts of the respective programmes, including Member

States representatives.

• 7. 

  Synergies with the Single Market Programme will shall ensure that:

  (a) the Single Market Programme addresses the market failures which affect all SMEs, and

  will promote entrepreneurship and the creation and growth of companies. Full

  cComplementarity exists between the Single Market Programme and the actions of the

  future European Innovation Council (EIC) for innovative companies, as well as in the

  area of support services for SMEs, in particular where the market does not provide

  viable financing;

  (b) the Enterprise Europe Network may serve, as in addition to other existing SME support structures (e.g. National Contact Points, Innovation Agencies), to deliver support

  services under the European Innovation Council.

• 8. 

  Synergies with the LIFE - Programme for Environment and Climate Action (LIFE) will shall ensure that:

  The rResearch and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during the Framework Programme’s strategic research and innovation planning process. LIFE will continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from the Framework Programme and help deploying them at national and (inter-)regional scale where it can help address environmental, climate or clean energy transition issues. In particular LIFE will continue to incentivise synergies with the Framework Programme through the award of a bonus during the evaluation for proposals which feature the uptake of results from the Framework Programme. LIFE standard action projects will support the development, testing or demonstration of suitable technologies or methodologies for implementation of EU environment and climate policy, which can subsequently be deployed at large scale, funded by other sources, including by the Framework Programme. The Framework Programme’s European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects.

• 9. 

  Synergies with the Erasmus Programme will shall ensure that:

  (a) combined resources from the Framework Programme, including from the European Institute of Innovation and Technology, and the Erasmus Programme are used to

  support activities dedicated to strengthening and modernising European higher education institutions. The Framework Programme will complement the Erasmus programme's support for the European Universities initiative, in particular its research dimension. This is as part of developing new joint and integrated long- term and sustainable strategies on education, research and innovation based on trans-disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, thereby providing impetus to economic sustainable growth;

  (b) the Framework Programme and the Erasmus Programme foster the integration of

  education and research through facilitating higher education institutions to formulate

  and set up common education, research and innovation strategies and networks, to

  inform teaching with the latest findings and practices of research to offer active research

  experience to all students and higher education staff and in particular researchers, and to

  support other activities that integrate higher education, research and innovation.

• 10. 

  Synergies with the European Space Programme will shall ensure that:

  (a) the research and innovation needs of the space upstream and downstream sector within the EU, as well as in the fieldto the benefit of the European Space

  PolicyProgramme, within the EU are identified and established as part of the Framework Programme's strategic research and innovation planning process; space research actions implemented through Horizon Europe will be implemented with regard to procurement and eligibility of entities in line with the provisions of the Space Programme, where appropriate;

  (b) space data and services made available as a public good by the European Space

  Programme are used to develop breakthrough solutions through research and

  innovation, including in the Framework Programme, in particular for sustainable food

  and natural resources, climate monitoring, atmosphere, land, coastal and marine

  environment, smart cities, connected and automated vehiclesmobility, security and

  disaster management;

  (c) the Copernicus Data and Information Access Services contribute to the European Open Science Cloud and thus facilitate access to Copernicus data for researchers, and

  scientists and innovators; research infrastructures, in particular in situ observing networks will constitute essential elements of the in situ observation infrastructure enabling the Copernicus services, and in turn, they benefit from information produced by Copernicus services.

• 11. 

  Synergies with the Neighbourhood, Development and International Cooperation Instrument (the 'External Instrument'NDICI) and the Instrument for Pre-accession Assistance ('IPA III') will shall ensure that:

  (a) the research and innovation needs in the areas of NDICI and IPA III are identified and established during the Framework Programme's strategic planning process, in line with the Sustainable Development Goals;

  (b) the Framework Programme's research and innovation activities, with the participation of Third Countries and targeted international cooperation actions, seek alignment and

  coherence with parallel market uptake and capacity-building actions strands under the NDICI and IPA III External Instrument, based on joint definition of needs and areas of intervention commonly defined during the Programme's strategic research and innovation planning process;.

• 12. 

  Synergies with the Internal Security Fund and the instrument for border management as part of the Integrated Border Management Fund will shall ensure that:

  (a) the research and innovation needs in the areas of security and integrated border management are identified and established during the Framework Programme's strategic research and innovation planning process;

  (b) the Internal Security Fund and the Integrated Border Management Fund may support

  the deployment of innovative new technologies and solutions, in particular those

  resulting from the Framework Programmes for research and innovation in the field of

  security research.

• 13. 

  Synergies with the InvestEU Fund will shall ensure that:

  (a) the Framework Programme provides out of its own budget Horizon Europe and EIC blended finance for innovators, characterised by a high level of risk and for which the market does not provide when relevant sufficient and viable and sustainable financing., and a At the same time, the Framework Programme will provide for appropriate

  coordination in support of the effective delivery and management of the private finance part of the blended finance through funds and intermediaries supported by InvestEU and others;

  (b) financial instruments for research and innovation and SMEs are grouped together under the InvestEU Fund, in particular through a dedicated R&I thematic window, and

  through products deployed under the SME window targeting innovative companies, therebyin this way also helping to deliver the objectives of boththe Programmes.

  (c) the Framework Programme provides appropriate support to help the reorientation of projects not suitable for EIC funding towards InvestEU, when relevant

• 14. 

  Synergies with the Innovation Fund under the Emission Trading Scheme (the 'Innovation

  Fund') will shall ensure that:

  (a) the Innovation Fund will specifically target innovation in low-carbon technologies and processes, including environmentally safe carbon capture and utilisation that contributes substantially to mitigate climate change, as well as products substituting carbon

  intensive ones, and to help stimulate the construction and operation of projects that aim at the environmentally safe capture and geological storage of CO2 as well as innovative renewable energy and energy storage technologies;

  (b) the Framework Programme will fund the development and demonstration of

  technologies that can deliver on EU decarbonisation, energy and industrial

  transformation objectives, especially through in its Pillar 2 activities;

  (c) the Innovation Fund may, subject to fulfilment of its selection and award criteria,

  support the demonstration phase of eligible projects that may have received the support

  from the Framework Programmes for research and innovation .

• 15. 

  Synergies with the Euratom Research and Training Programme will shall ensure that:

  (a) the Framework Programme and the Euratom Research and Training Programme

  develop comprehensive actions supporting education and training (including Marie

  Skłodowska-Curie Actions) with the aim of maintaining and developing relevant skills

  in Europe;

  (b) the Framework Programme and the Euratom Research and Training Programme

  develop joint research actions focussing on cross-cutting aspects of the safe and secure

  use of non-power applications of ionising radiation in sectors such as medicine,

  industry, agriculture, space, climate change, security and emergency preparedness and

  contribution of nuclear science.

• 16. 

  Synergies with the European Defence Fund will shall benefit civil and defence research,. although activities carried out under the Framework Programme shall have an exclusive focus on civil applications. Unnecessary duplication will be excluded.