REGULATION (EU) No 1291/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 11 December 2013
establishing Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) and repealing Decision No 1982/2006/EC
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Articles 173(3) and 182(1) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
Having regard to the opinion of the Committee of the Regions (2),
Acting in accordance with the ordinary legislative procedure (3),
Whereas:
(1)
It is the Union's objective to strengthen its scientific and technological bases by achieving a European Research Area ("ERA") in which researchers, scientific knowledge and technology circulate freely, and by encouraging the Union to advance towards a knowledge society and to become a more competitive and sustainable economy in respect of its industry. To pursue that objective the Union should carry out activities to implement research, technological development, demonstration and innovation, promote international cooperation, disseminate and optimise results and stimulate training and mobility.
(2)
It is also the Union's objective to ensure that the conditions necessary for the competitiveness of Union industry exist. For this purpose, action should be aimed at fostering better exploitation of the industrial potential of policies of innovation, research and technological development.
(3)
The Union is committed to achieving the Europe 2020 strategy which set the objectives of smart, sustainable and inclusive growth, highlighting the role of research and innovation as key drivers of social and economic prosperity and of environmental sustainability and setting itself the goal of increasing spending on research and development in order to attract private investment of up to two thirds of total investments, thereby reaching an accumulative total of 3 % of gross domestic product (GDP) by 2020 while developing an innovation intensity indicator. The general budget of the Union should mirror this ambitious goal by making a shift towards funding future-oriented investments, such as research, development and innovation. In this context, the flagship initiative 'Innovation Union' of the Europe 2020 strategy sets out a strategic and integrated approach to research and innovation, setting the framework and objectives to which future Union research and innovation funding should contribute. Research and innovation are also key factors for other flagship initiatives of the Europe 2020 strategy, notably 'Resource-efficient Europe', 'An industrial policy for the globalisation era', and 'Digital Agenda for Europe', and other policy objectives, such as climate and energy policy. Moreover, for achieving the objectives of the Europe 2020 strategy relating to research and innovation, cohesion policy has a key role to play through capacity-building and providing a stairway to excellence.
(4)
The Commission Communication of 19 October 2010 entitled "The EU Budget Review" put forward key principles which should underpin the future general budget of the Union, namely focusing on instruments with proven Union added value, becoming more results-driven and leveraging other public and private sources of funding. It also proposed to bring the full range of Union instruments for research and innovation together in a common strategic framework.
(5)
The European Parliament called for the radical simplification of Union research and innovation funding in its resolution of 11 November 2010 (4), highlighted the importance of the Innovation Union to transform Europe for the post-crisis world in its resolution of12 May 2011 (5), drew attention to important lessons to be learned following the interim evaluation of the Seventh Framework Programme in its resolution of 8 June 2011 (6) and supported the concept of a common strategic framework for research and innovation funding in its resolution of 27 September 2011 (7).
(6)
On 26 November 2010, the Council called for future Union funding programmes to focus more on Europe 2020 priorities, address societal challenges and key technologies, facilitate collaborative and industry-driven research, streamline the instruments, radically simplify access, reduce time to market and further strengthen excellence.
(7)
At its meeting of 4 February 2011, the European Council supported the concept of the common strategic framework for Union research and innovation funding to improve the efficiency of such funding at national and Union level and called on the Union to rapidly address remaining obstacles to attracting talent and investment in order to complete the ERA by 2014 and to achieve a genuine single market for knowledge, research and innovation.
(8)
The Commission Green Paper of 9 February 2011 entitled 'From Challenges to Opportunities: Towards a Common Strategic Framework for EU Research and Innovation funding' identified key questions on how to achieve the ambitious objectives set in the Commission Communication of 19 October 2010 and launched a broad consultation, in the course of which stakeholders and Union institutions largely agreed with the ideas presented therein.
(9)
The importance of a coherent strategic approach was also underlined in opinions delivered by the European Research Area and Innovation Committee (ERAC) on 3 June 2011, the Committee of the Regions on 30 June 2011 (8), and the European Economic and Social Committee on 13 July 2011 (9).
(10)
In its Communication of 29 June 2011 entitled 'A Budget for Europe 2020', the Commission proposed to address with a single common strategic framework for research and innovation the areas covered by the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013) ('the Seventh Framework Programme') adopted by Decision No 1982/2006/EC of the European Parliament and of the Council (10), and the innovation part of the Competitiveness and Innovation Framework Programme (2007 to 2013) established by Decision No 1639/2006/EC of the European Parliament and of the Council (11), as well as the European Institute of Innovation and Technology (the 'EIT') established by Regulation (EC) No 294/2008 of the European Parliament and of the Council (12), in order to contribute to attaining the Europe 2020 strategy target of raising spending on research and development to 3 % of GDP by 2020. In that Communication, the Commission also committed to mainstream climate change into Union spending programmes and to direct at least 20 % of the general budget of the Union to climate-related objectives.
Climate action and resource efficiency are mutually reinforcing objectives for achieving sustainable development. The specific objectives relating to both should be complemented through the other specific objectives of Horizon 2020 - the Framework Programme for Research and Innovation 2014-2020 ('Horizon 2020'), established by this Regulation. As a result it is expected that at least 60 % of the overall Horizon 2020 budget should be related to sustainable development. It is also expected that climate-related expenditure should exceed 35 % of the overall Horizon 2020 budget, including mutually compatible measures improving resource efficiency. The Commission should provide information on the scale and results of support to climate change objectives. Climate-related expenditure under Horizon 2020 should be tracked in accordance with the methodology stated in that Communication.
(11)
Horizon 2020 focuses on three priorities, namely generating excellent science in order to strengthen the Union's world-class excellence in science, fostering industrial leadership to support business, including micro, small and medium-sized enterprises (SMEs) and innovation, and tackling societal challenges, in order to respond directly to the challenges identified in the Europe 2020 strategy by supporting activities covering the entire spectrum from research to market. Horizon 2020 should support all stages in the research and innovation chain, including non-technological and social innovation and activities that are closer to the market, with innovation and research actions having a different funding rate based on the principle that the closer to the market the supported activity is, the larger the additional funding from other sources should be. Activities closer to the market include innovative financial instruments, and they aim to satisfy the needs of a broad spectrum of Union policies by placing emphasis on the widest possible use of knowledge generated by the supported activities up to the commercial exploitation of that knowledge. The priorities of Horizon 2020 should also be supported through a programme on nuclear research and training established by Council Regulation (Euratom) No 1314/2013 (13).
(12)
Horizon 2020 should be open to new participants with a view to ensuring extensive and excellent cooperation with partners throughout the Union and with a view to ensuring an integrated ERA.
(13)
The Joint Research Centre (JRC) should provide customer-driven scientific and technical support to Union policies while flexibly responding to new policy demands.
(14)
In the context of the knowledge triangle of research, innovation and education, the Knowledge and Innovation Communities (KICs) under the EIT should strongly contribute to addressing the objectives of Horizon 2020, including the societal challenges, notably by integrating research, innovation and education. The EIT should foster entrepreneurship in its higher education, research and innovation activities. In particular, it should promote excellent entrepreneurial education and support the creation of start-ups and spin-offs.
(15)
In accordance with Article 182(1) of the Treaty on the Functioning of the European Union (TFEU), Horizon 2020 fixes the maximum overall amount and lays down the detailed rules for Union financial participation therein and the respective shares in each of the activities provided for.
(16)
This Regulation lays down a financial envelope for the entire duration of Horizon 2020 which is to constitute the prime reference amount, within the meaning of point 17 of the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management (14), for the European Parliament and the Council during the annual budgetary procedure.
(17)
An appropriate proportion of the budget for research infrastructures should be devoted to e-infrastructures.
(18)
Activities within the specific objective 'Future and Emerging Technologies (FET)' should be complementary to the activities within the other parts of Horizon 2020 and, where possible, synergies should be sought.
(19)
It is appropriate to ensure a correct closure of Horizon 2020 and its predecessor programmes, in particular regarding the continuation of multi-annual arrangements for their management, such as the financing of technical and administrative assistance.
(20)
Simplification is a central aim of Horizon 2020 which should be fully reflected in its design, rules, financial management and implementation. Horizon 2020 should aim to attract the strong participation of universities, research centres, industry and specifically SMEs and be open to new participants, as it brings together the full range of research and innovation support in one common strategic framework, including a streamlined set of forms of support, and uses rules for participation with principles applicable to all actions under Horizon 2020. Simpler funding rules should reduce the administrative costs for participation and contribute to the prevention and reduction of financial errors.
(21)
Horizon 2020 should contribute to the aims of the European Innovation Partnerships in line with the flagship initiative 'Innovation Union', bringing together all relevant actors across the whole research and innovation chain with a view to streamlining, simplifying and better coordinating instruments and initiatives.
(22)
With the aim of deepening the relationship between science and society and reinforcing public confidence in science, Horizon 2020 should foster the informed engagement of citizens and civil society in research and innovation matters by promoting science education, by making scientific knowledge more accessible, by developing responsible research and innovation agendas that meet citizens' and civil society's concerns and expectations and by facilitating their participation in Horizon 2020 activities. The engagement of citizens and civil society should be coupled with public outreach activities to generate and sustain public support for Horizon 2020.
(23)
There should be an appropriate balance between small and large projects within the priority 'Societal challenges' and the specific objective 'Leadership in enabling and industrial technologies'.
(24)
The implementation of Horizon 2020 should respond to the evolving opportunities and needs of science and technology, industry, policies and society. As such, the agendas should be set in close liaison with stakeholders from all sectors concerned, and sufficient flexibility should be allowed for new developments. External advice should be sought on a continuous basis for the duration of Horizon 2020, also making use of relevant structures such as European Technology Platforms, Joint Programming Initiatives, the European Innovation Partnerships as well as advice from scientific panels, such as the Scientific Panel for Health.
(25)
The activities developed under Horizon 2020 should promote equality between women and men in research and innovation, by addressing in particular the underlying causes of gender imbalance, by exploiting the full potential of both female and male researchers, and by integrating the gender dimension into the research and innovation content as well as by paying particular attention to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in other relevant advisory and expert bodies in order to improve the quality of research and to stimulate innovation. Activities should also aim at implementation of principles relating to equality between women and men as laid down in Articles 2 and 3 of the Treaty on European Union and in Article 8 TFEU.
(26)
Horizon 2020 should contribute to the attractiveness of the research profession in the Union. Adequate attention should be paid to the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers, as set out in the Commission Recommendation of 11 March 2005 (15), together with other relevant reference frameworks defined in the context of the ERA, while respecting their voluntary nature.
(27)
In order to be able to compete globally, to effectively address major societal challenges, and to achieve the objectives of the Europe 2020 strategy, the Union should make full use of its human resources. In that context, Horizon 2020 should contribute to achieving the ERA, encouraging the development of framework conditions to help European researchers to remain in or to return to Europe, attract researchers from around the world and make Europe a more attractive destination for the best researchers.
(28)
To increase the circulation and exploitation of knowledge, open access to scientific publications should be ensured. Furthermore, open access to research data resulting from publicly funded research under Horizon 2020 should be promoted, taking into account constraints pertaining to privacy, national security and intellectual property rights.
(29)
Research and innovation activities supported by Horizon 2020 should respect fundamental ethical principles. The opinions of the European Group on Ethics in Science and New Technologies should be taken into account. Article 13 TFEU should also be taken into account in research activities, and the use of animals in research and testing should be reduced, with a view ultimately to replacing their use. All activities should be carried out ensuring a high level of human health protection in accordance with Article 168 TFEU.
(30)
Horizon 2020 should have due consideration for equal treatment and non-discrimination in research and innovation content throughout all stages of the research cycle.
(31)
The Commission does not explicitly solicit the use of human embryonic stem cells. The use, if any, of human stem cells, be they adult or embryonic, depends on the judgment of the scientists in view of the objectives they want to achieve and is subject to stringent ethics review. No project involving the use of human embryonic stem cells should be funded that does not obtain the necessary approvals from the Member States. No activity should be funded that is forbidden in all Member States. No activity should be funded in a Member State where such activity is forbidden.
(32)
To achieve maximum impact, Horizon 2020 should develop close synergies with other Union programmes in areas such as education, space, environment, energy, agriculture and fisheries, competitiveness and SMEs, internal security, culture and media.
(33)
Both Horizon 2020 and the cohesion policy seek a more comprehensive alignment with the objectives of the Europe 2020 strategy. This approach calls for increased synergies between Horizon 2020 and the cohesion policy. Therefore Horizon 2020 should also develop close interactions with the European Structural and Investment Funds, which can specifically help to strengthen local, regional and national research and innovation capabilities, particularly in the context of smart specialisation strategies.
(34)
SMEs constitute a significant source of innovation, growth and jobs in Europe. Therefore the strong participation of SMEs, as defined in Commission Recommendation 2003/361/EC (16), is needed in Horizon 2020. This should support the aims of the Small Business Act, as set out in the Commission Communication of 25 June 2008 entitled ""Think Small First" - A "Small Business Act" for Europe". Horizon 2020 should provide a range of means to support the research and innovation activities and capacities of SMEs throughout the different stages of the innovation cycle.
(35)
The Commission should carry out evaluations and record the rate of participation by SMEs in Horizon 2020. If the target of 20 % of the total combined budget for the specific objective "Leadership in enabling and industrial technologies" and the priority "Societal challenges" going to SMEs is not achieved, the Commission should examine the reasons for this situation and should propose, without delay, adequate new measures for allowing SMEs to increase their participation.
(36)
The implementation of Horizon 2020 may give rise to supplementary programmes involving the participation of certain Member States only, the participation of the Union in programmes undertaken by several Member States, or the setting up of joint undertakings or other arrangements within the meaning of Articles 184, 185 and 187 TFEU. Such supplementary programmes should be identified and implemented in an open, transparent and efficient way.
(37)
In order to reduce the time from idea to market, using a bottom-up approach, and to increase the participation of industry, SMEs and first-time applicants in Horizon 2020, the Fast Track to Innovation (FTI) pilot should be implemented within the specific objective "Leadership in enabling and industrial technologies" and within the priority "Societal challenges". It should stimulate private sector investment in research and innovation, promote research and innovation with a focus on value creation and accelerate the development of technologies into innovative products, processes and services.
(38)
The implementation of Horizon 2020 should recognise the unique role that universities play within the scientific and technological base of the Union as institutions of excellence in higher education, research and innovation, with an essential role in linking the European Higher Education Area and the ERA.
(39)
With the aim of achieving the greatest possible impact of Union funding, Horizon 2020 should develop closer synergies, which may also take the form of public-public partnerships, with international, national and regional programmes that support research and innovation. In this context, Horizon 2020 should encourage the optimal use of resources and avoid unnecessary duplication.
(40)
A greater impact should also be achieved by combining Horizon 2020 and private sector funds within public-private partnerships in key areas where research and innovation could contribute to Europe's wider competitiveness goals, leverage private investment and help tackle societal challenges. Those partnerships should be based on a long-term commitment, including a balanced contribution from all partners, be accountable for the achievement of their targets and be aligned with the Union's strategic goals relating to research, development and innovation. The governance and functioning of those partnerships should be open, transparent, effective and efficient and give the opportunity to a wide range of stakeholders active in their specific areas to participate. The public-private partnerships in the form of Joint Technology Initiatives (JTIs) launched under the Seventh Framework Programme may be continued using structures better suited to their purpose.
(41)
Horizon 2020 should promote cooperation with third countries based on common interest and mutual benefit. International cooperation in science, technology and innovation should be targeted to contribute to achieving the objectives of the Europe 2020 strategy to strengthen competitiveness, contribute to tackling societal challenges and support Union external and development policies, including by developing synergies with external programmes and contributing to the Union's international commitments, such as the achievement of the United Nations' Millennium Development Goals. International cooperation activities should be maintained at least at the level of the Seventh Framework Programme.
(42)
In order to maintain a level playing field for all undertakings active in the internal market, funding from Horizon 2020 should be designed in accordance with State aid rules so as to ensure the effectiveness of public spending and to prevent market distortions, such as crowding-out of private funding, creating ineffective market structures or preserving inefficient businesses.
(43)
The European Council of 4 February 2011 recognised the need for a new approach to control and risk management in Union research funding, calling for a new balance between trust and control and between risk-taking and risk avoidance. The European Parliament, in its resolution of 11 November 2010 on simplifying the implementation of the Research Framework Programmes, called for a pragmatic shift towards administrative and financial simplification and stated that the management of European research funding should be more trust-based and risk-tolerant towards participants. The interim evaluation report of the Seventh Framework Programme concludes that a more radical approach is needed to attain a quantum leap in simplification and that the risk-trust balance needs to be redressed.
(44)
The financial interests of the Union should be protected through proportionate measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, the imposition of penalties. A revised control strategy, shifting focus from minimisation of error rates towards risk-based control and fraud detection, should reduce the control burden for participants.
(45)
It is important to ensure sound financial management of Horizon 2020 and its implementation in the most effective and user-friendly manner possible, while also ensuring legal certainty and the accessibility of Horizon 2020 to all participants. It is necessary to ensure compliance with Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council (17) and with the requirements of simplification and better regulation.
(46)
Effective performance management, including evaluation and monitoring, requires development of specific performance indicators which can be measured over time, which are realistic and reflect the logic of the intervention, and which are relevant to the appropriate hierarchy of objectives and activities. Appropriate coordination mechanisms should be put in place between the implementation and monitoring of Horizon 2020 and the monitoring of progress, achievements and functioning of the ERA.
(47)
By the end of 2017, as part of the Horizon 2020 interim evaluation, both existing and new public-private partnerships, including the JTIs, should be subject to an in-depth assessment, which should include, inter alia, an analysis of their openness, transparency and effectiveness. That assessment should take into consideration the evaluation of the EIT as outlined in Regulation (EC) No 294/2008 so as to allow for an assessment based on common principles.
(48)
Since the objectives of this Regulation, namely strengthening the overall research and innovation framework and coordinating efforts across the Union, cannot be sufficiently achieved by the Member States but can rather, by reason of avoiding duplication, retaining critical mass in key areas and ensuring that public financing is used in an optimal way, be better achieved at the level of the Union, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives.
(49)
For reasons of legal certainty and clarity, Decision No 1982/2006/EC should be repealed,
HAVE ADOPTED THIS REGULATION:
TITLE I
GENERAL PROVISIONS
Article 1
Subject matter
This Regulation establishes Horizon 2020 - the Framework Programme for Research and Innovation (2014-2020) ("Horizon 2020") and determines the framework governing Union support to research and innovation activities, thereby strengthening the European scientific and technological base and fostering benefits for society as well as better exploitation of the economic and industrial potential of policies of innovation, research and technological development.
Article 2
Definitions
For the purposes of this Regulation the following definitions apply:
(1)
'research and innovation activities' mean the whole spectrum of activities of research, technological development, demonstration and innovation, including the promotion of cooperation with third countries and international organisations, the dissemination and optimisation of results and the stimulation of high quality training and mobility of researchers in the Union;
(2)
'direct actions' mean research and innovation activities undertaken by the Commission through its Joint Research Centre (JRC);
(3)
'indirect actions' mean research and innovation activities to which the Union provides financial support and which are undertaken by participants;
(4)
'public-private partnership' means a partnership where private sector partners, the Union and, where appropriate, other partners, such as public sector bodies, commit to jointly support the development and implementation of a research and innovation programme or activities;
(5)
'public-public partnership' means a partnership where public sector bodies or bodies with a public service mission at local, regional, national or international level commit with the Union to jointly support the development and implementation of a research and innovation programme or activities;
(6)
'research infrastructures' mean facilities, resources and services that are used by the research communities to conduct research and foster innovation in their fields. Where relevant, they may be used beyond research, for example for education or public services. They include major scientific equipment or sets of instruments; knowledge-based resources such as collections, archives or scientific data; e-infrastructures such as data and computing systems and communication networks; and any other infrastructure of a unique nature essential to achieving excellence in research and innovation. Such infrastructures may be 'single-sited', 'virtual' or 'distributed';
(7)
'smart specialisation strategy' has the same meaning as smart specialisation strategy as defined in point (3) of Article 2 of Regulation (EU) No 1303/2013 of the European Parliament and of the Council (18).
Article 3
Establishment of Horizon 2020
Horizon 2020 is hereby established for the period from 1 January 2014 to 31 December 2020.
Article 4
Union added value
Horizon 2020 shall maximise Union added value and impact, focusing on objectives and activities that cannot be efficiently realised by Member States acting alone. Horizon 2020 shall play a central role in the delivery of the Europe 2020 strategy for smart, sustainable and inclusive growth ("Europe 2020 strategy") by providing a common strategic framework for the Union's funding of excellent research and innovation, thus acting as a vehicle for leveraging private and public investment, creating new job opportunities and ensuring Europe's long-term sustainability, growth, economic development, social inclusion and industrial competitiveness, as well as addressing societal challenges across the Union.
Article 5
General objective, priorities and specific objectives
1. The general objective of Horizon 2020 is to contribute to building a society and an economy based on knowledge and innovation across the Union by leveraging additional research, development and innovation funding and by contributing to attaining research and development targets, including the target of 3 % of GDP for research and development across the Union by 2020. It shall thereby support the implementation of the Europe 2020 strategy and other Union policies, as well as the achievement and functioning of the European Research Area (ERA). The first set of relevant performance indicators for assessing progress against the general objective is set out in the introduction of Annex I.
2. The general objective set out in paragraph 1 shall be pursued through three mutually reinforcing priorities dedicated to:
(a)
Excellent science;
(b)
Industrial leadership;
(c)
Societal challenges.
The specific objectives corresponding to each of those three priorities are set out in Parts I to III of Annex I, together with the broad lines of activities.
3. The general objective set out in paragraph 1 shall also be pursued through the specific objectives 'Spreading excellence and widening participation' and 'Science with and for society' set out in Parts IV and V of Annex I respectively, together with the broad lines of activities.
4. The JRC shall contribute to the general objective and the priorities set out in paragraphs 1 and 2 respectively by providing scientific and technical support to Union policies in collaboration with relevant national and regional research stakeholders, where appropriate, for example on the development of smart specialisation strategies. The specific objective and the broad lines of activities are set out in Part VI of Annex I.
5. The European Institute of Innovation and Technology (EIT) shall contribute to the general objective and the priorities set out in paragraphs 1 and 2 respectively, with the specific objective of integrating the knowledge triangle of higher education, research and innovation. The relevant performance indicators for the EIT are set out in the introduction of Annex I and the specific objective together with the broad lines of activities are set out in Part VII of Annex I.
6. Within the priorities, specific objectives and broad lines of activities referred to in paragraphs 2 and 3, account may be taken of new and unforeseen needs that arise during the period of implementation of Horizon 2020. This 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 6
Budget
1. The financial envelope for the implementation of Horizon 2020 is set at EUR 77 028,3 million in current prices, of which a maximum of EUR 74 316,9 million shall be allocated to activities under Title XIX TFEU.
The annual appropriations shall be authorised by the European Parliament and by the Council within the limits of the multiannual financial framework.
2. The amount for activities under Title XIX TFEU shall be distributed among the priorities set out in Article 5(2) of this Regulation as follows:
(a)
Excellent science, EUR 24 441,1 million in current prices;
(b)
Industrial leadership, EUR 17 015,5 million in current prices;
(c)
Societal challenges, EUR 29 679 million in current prices.
The maximum overall amount for the Union financial contribution from Horizon 2020 to the specific objectives set out in Article 5(3) and to the non-nuclear direct actions of the JRC shall be as follows:
(i)
Spreading excellence and widening participation, EUR 816,5 million in current prices;
(ii)
Science with and for society, EUR 462,2 million in current prices;
(iii)
Non-nuclear direct actions of the JRC, EUR 1 902,6 million in current prices.
The indicative breakdown for the priorities and specific objectives set out in Article 5(2) and (3) is set out in Annex II.
3. The EIT shall be financed through a maximum contribution from Horizon 2020 of EUR 2 711,4 million in current prices as set out in Annex II.
4. The financial envelope of Horizon 2020 may cover expenses pertaining to preparatory, monitoring, control, audit and evaluation activities which are required for the management of Horizon 2020 and the achievement of its objectives, in particular studies and meetings of experts, in so far as they are related to the objectives of Horizon 2020, expenses linked to information technology networks focusing on information processing and exchange, together with all other technical and administrative assistance expenses incurred by the Commission for the management of Horizon 2020.
Where necessary and duly justified, appropriations may be entered in the Horizon 2020 budget beyond 2020 to cover technical and administrative assistance expenses, in order to enable the management of actions not yet completed by 31 December 2020. Horizon 2020 shall fund neither the construction nor the operation of the Galileo programme, the Copernicus programme or the European Joint Undertaking for ITER.
5. In order to respond to unforeseen situations or to new developments and needs the Commission may, following the interim evaluation of Horizon 2020 as referred to in Article 32(3) and the results of the review of the EIT referred to in Article 32(2), within the annual budgetary procedure review the amounts set out for the priorities and the specific objectives 'Spreading excellence and widening participation' and 'Science with and for society' in paragraph 2 of this Article and the indicative breakdown by specific objectives within these priorities set out in Annex II and the contribution to the EIT in paragraph 3 of this Article. The Commission may also, subject to the same conditions, transfer appropriations between the priorities and specific objectives as well as the EIT up to a maximum of 7,5 % of the total initial allocation of each priority and the specific objectives 'Spreading excellence and widening participation' and 'Science with and for society', and up to a maximum of 7,5 % of the initial indicative breakdown of each specific objective and up to a maximum of 7,5 % of the contribution to the EIT. No such transfer shall be allowed in respect of the amount set out for the direct actions of the JRC in paragraph 2 of this Article.
Article 7
Association of third countries
1. Horizon 2020 shall be open to the association of:
(a)
acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and decisions of association councils or similar agreements;
(b)
European Free Trade Association (EFTA) members, or countries or territories covered by the European Neighbourhood Policy that fulfil all of the following criteria:
(i)
a good capacity in science, technology and innovation;
(ii)
a good track record of participation in Union research and innovation programmes;
(iii)
fair and equitable dealing with intellectual property rights;
(c)
countries or territories associated to the Seventh Framework Programme.
2. Specific terms and conditions regarding the participation of associated countries in Horizon 2020, including the financial contribution based on the GDP of the associated country, shall be determined by international agreements between the Union and the associated countries.
The terms and conditions regarding the association of the EFTA States that are party to the Agreement on the European Economic Area (EEA) shall be in accordance with the provisions of that Agreement.
TITLE II
IMPLEMENTATION
CHAPTER I
Implementation, management and forms of support
Article 8
Implementation by means of a specific programme and the contribution to the EIT
Horizon 2020 shall be implemented through the consolidated specific programme established by Council Decision 2013/743/EU (19), which shall specify the objectives and the detailed rules for implementation, and through a financial contribution to the EIT.
The specific programme shall set out one Part for each of the three priorities set out in Article 5(2), one Part for each of the specific objectives referred to in Article 5(3) and one Part for the non-nuclear direct actions of the JRC.
There shall be effective coordination between the three priorities of Horizon 2020.
Article 9
Management
1. Horizon 2020 shall be implemented by the Commission in accordance with Regulation (EU, Euratom) No 966/2012.
2. The Commission may also entrust part of the implementation of Horizon 2020 to the funding bodies referred to in point (c) of Article 58(1) of Regulation (EU, Euratom) No 966/2012.
Article 10
Forms of Union support
1. Horizon 2020 shall support indirect actions through one or several of the forms of funding provided for by Regulation (EU, Euratom) No 966/2012, in particular grants, prizes, procurement and financial instruments. Financial instruments shall be the main form of funding for activities close to market that are supported under Horizon 2020.
2. Horizon 2020 shall also support direct actions undertaken by the JRC.
3. Where the direct actions undertaken by the JRC contribute to initiatives established under Article 185 or Article 187 TFEU, this contribution shall not be considered as part of the financial contribution allocated to those initiatives.
Article 11
Rules for participation and dissemination of results
The rules for participation and dissemination of results laid down in Regulation (EU) No 1290/2013 of the European Parliament and of the Council (20) shall apply to indirect actions.
CHAPTER II
Programming
Section I
General principles
Article 12
External advice and societal engagement
1. For the implementation of Horizon 2020, account shall be taken of advice and inputs provided by independent advisory groups of high level experts set up by the Commission from a broad constituency of stakeholders, including research, industry and civil society, to provide the necessary inter-disciplinary and cross-sectoral perspectives, taking account of relevant existing initiatives at Union, national and regional level. Other inputs will be provided from dialogue structures created under international science and technology agreements; forward-looking activities; targeted public consultations, including, where appropriate, consultations of national and regional authorities or stakeholders; and transparent and interactive processes that ensure that responsible research and innovation is supported.
Advice on the identification and design of strategic priorities by the European Research Area and Innovation Committee (ERAC), other ERA-related groups and the Enterprise Policy Group (EPG) shall, where appropriate, also be taken into consideration.
2. Full account shall also be taken of relevant aspects of the research and innovation agendas established by, inter alia, the EIT, European Technology Platforms and European Innovation Partnerships, as well as of advice from scientific panels such as the Scientific Panel for Health.
Article 13
Synergies with national programmes and joint programming
1. For the implementation of Horizon 2020, account shall be taken of the need to build appropriate synergies and complementarities between national and European research and innovation programmes, for example in areas where coordination efforts are made through the Joint Programming Initiatives.
2. Union support to Joint Programming Initiatives may be considered with any support to be delivered through the instruments referred to in Article 26, subject to the conditions and criteria laid down for such instruments.
Article 14
Cross-cutting issues
1. Linkages and interfaces shall be implemented across and within the priorities of Horizon 2020. Particular attention shall be paid in this respect to:
(a)
the development and application of key enabling and industrial technologies as well as future and emerging technologies;
(b)
areas relating to bridging from discovery to market application;
(c)
interdisciplinary and cross-sectoral research and innovation;
(d)
social and economic sciences and humanities;
(e)
climate change and sustainable development;
(f)
fostering the functioning and achievement of the ERA and of the flagship initiative 'Innovation Union';
(g)
framework conditions in support of the flagship initiative "Innovation Union";
(h)
contributing to all relevant Europe 2020 flagship initiatives (including the Digital Agenda for Europe);
(i)
widening participation across the Union in research and innovation and helping to close the research and innovation divide in Europe;
(j)
international networks for excellent researchers and innovators such as European Cooperation in Science and Technology (COST);
(k)
cooperation with third countries;
(l)
responsible research and innovation including gender;
(m)
SME involvement in research and innovation and broader private sector participation;
(n)
enhancing the attractiveness of the research profession; and
(o)
facilitating cross-border and cross-sector mobility of researchers.
2. Where an indirect action is supported which is of high relevance to several of the priorities or specific objectives referred to in Article 5(2) and (3), the financial amount for that action may be combined from the amounts allocated to each priority or specific objective concerned.
Article 15
Evolving nature of science, technology, innovation, economies and society
Horizon 2020 shall be implemented in a manner ensuring that the priorities and actions supported are relevant to changing needs and take account of the evolving nature of science, technology, innovation, economies and society in a globalised world, where innovation includes business, organisational, technological, societal and environmental aspects. Proposals for changes to the priorities and actions under Horizon 2020 shall take into account the external advice referred to in Article 12 as well as the recommendations from the interim evaluation referred to in Article 32(3).
Article 16
Gender equality
Horizon 2020 shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content. Particular attention shall be paid to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in bodies such as advisory groups and expert groups.
The gender dimension shall be adequately integrated in research and innovation content in strategies, programmes and projects and followed through at all stages of the research cycle.
Article 17
Researchers' careers
Horizon 2020 shall be implemented in accordance with Regulation (EU) No 1290/2013, which shall contribute to the reinforcement of a single market for researchers and attractiveness of researchers' careers across the Union in the context of the ERA, by taking into account the transnational character of the majority of the actions supported under it.
Article 18
Open access
1. Open access to scientific publications resulting from publicly funded research under Horizon 2020 shall be ensured. It shall be implemented in accordance with Regulation (EU) No 1290/2013.
2. Open access to research data resulting from publicly funded research under Horizon 2020 shall be promoted. It shall be implemented in accordance with Regulation (EU) No 1290/2013.
Article 19
Ethical principles
1. All the research and innovation activities carried out under Horizon 2020 shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols.
Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of a person, the right to non-discrimination and the need to ensure high levels of human health protection.
2. Research and innovation activities carried out under Horizon 2020 shall have an exclusive focus on civil applications.
3. The following fields of research shall not be financed:
(a)
research activity aiming at human cloning for reproductive purposes;
(b)
research activity intended to modify the genetic heritage of human beings which could make such changes heritable (21);
(c)
research activities intended to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer.
4. Research on human stem cells, both adult and embryonic, may be financed, depending both on the contents of the scientific proposal and the legal framework of the Member States involved. No funding shall be granted for research activities that are prohibited in all the Member States. No activity shall be funded in a Member State where such activity is forbidden.
5. The fields of research set out in paragraph 3 of this Article may be reviewed within the context of the interim evaluation set out in Article 32(3) in the light of scientific advances.
Article 20
Complementarity with other Union programmes
Horizon 2020 shall be implemented in a way which is complementary to other Union funding programmes and policies, including the European Structural and Investment Funds (ESI Funds), the Common Agricultural Policy, the Programme for the Competitiveness of Enterprises and small and medium-sized enterprises (COSME) (2014-2020), the Erasmus+ programme and the Life Programme.
Article 21
Synergies with the ESI Funds
In addition to Union, national and regional structural policies, Horizon 2020 shall also contribute to the closing of the research and innovation divide within the Union by promoting synergies with the ESI Funds. Where possible, cumulative funding may be used as set out in Regulation (EU) No 1290/2013.
Section II
Specific fields of action
Article 22
Micro, small and medium-sized enterprises
1. Particular attention shall be paid to ensuring the adequate participation of, and research and innovation impact on, micro, small and medium-sized enterprises (SMEs) throughout the implementation of Horizon 2020. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements.
2. In addition to the establishment of better conditions for SMEs to participate in all relevant opportunities in Horizon 2020, specific actions shall be undertaken. In particular, a dedicated SME instrument that is targeted at all types of SMEs with an innovation potential, in a broad sense, shall be created under a single centralised management system and implemented primarily in a bottom-up manner through a continuously open call tailored to the needs of SMEs as set out under the specific objective "Innovation in SMEs" in Point 3.3.(a) of Part II of Annex I. That instrument shall take account of the specific objective "Leadership in enabling and industrial technologies" set out in Point 1 of Part II of Annex I and each of the specific objectives under the priority "Societal challenges" set out in Points 1 to 7 of Part III of Annex I and shall be implemented in a consistent manner.
3. The integrated approach set out in paragraphs 1 and 2 and the simplification of procedures should lead to a minimum of 20 % of the total combined budget for the specific objective "Leadership in enabling and industrial technologies" and the priority "Societal challenges" going to SMEs.
4. Particular attention shall be paid to the adequate representation of SMEs in public-private partnerships referred to in Article 25.
Article 23
Collaborative projects and partnership programmes
Horizon 2020 should be implemented primarily through transnational collaborative projects, delivered through calls for proposals in the Horizon 2020 work programmes provided for in Decision 2013/743/EU. Those projects will be complemented by public-private and public-public partnerships. The partnerships will be designed with the involvement of Member States and shall develop principles for their internal management.
Article 24
Fast Track to Innovation
Fast Track to Innovation (FTI) shall be implemented in the form of a full-scale pilot in accordance with Article 54 of Regulation (EU) No 1290/2013, establishing an FTI call starting in 2015.
Article 25
Public-private partnerships
1. Horizon 2020 may be implemented through public-private partnerships where all the partners concerned commit to supporting the development and implementation of pre-competitive research and of innovation activities of strategic importance to the Union's competitiveness and industrial leadership or to addressing specific societal challenges. Public-private partnerships shall be implemented in such a way that full participation of the best European players is not impeded.
2. The involvement of the Union in public-private partnerships shall make use of the pre-existing and lean governance structures and may take one of the following forms:
(a)
financial contributions from the Union to joint undertakings established pursuant to Article 187 TFEU under the Seventh Framework Programme, subject to the amendment of their basic acts; to new public-private partnerships established pursuant to Article 187 TFEU; and to other funding bodies referred to in points (iv) and (vii) of point (c) of Article 58(1) of Regulation (EU, Euratom) No 966/2012. This form of partnerships shall only be implemented where the scope of the objectives pursued and the scale of the resources required justify it taking full account of the relevant impact assessments, and where other forms of partnerships would not fulfil the objectives or would not generate the necessary leverage;
(b)
contractual arrangements between the partners referred to in paragraph 1, which specify the objectives of the partnership, respective commitments of the partners, key performance indicators, and outputs to be delivered, including the identification of research and innovation activities that require support from Horizon 2020.
With a view to involving interested partners, including, as appropriate, end-users, universities, SMEs and research institutions, public-private partnerships shall make public funds accessible through transparent processes and mainly through competitive calls, governed by rules for participation in compliance with those of Horizon 2020. Exceptions to the use of competitive calls should be duly justified.
3. Public-private partnerships shall be identified and implemented in an open, transparent and efficient way. Their identification shall be based on all of the following criteria:
(a)
the demonstration of the added value of the action at Union level and of the choice of the instrument to be used;
(b)
the scale of impact on industrial competitiveness, job creation, sustainable growth and socio-economic issues, including societal challenges, assessed against clearly specified and measurable objectives;
(c)
the long-term commitment, including a balanced contribution from all partners based on a shared vision and clearly defined objectives;
(d)
the scale of the resources involved and the ability to leverage additional investments in research and innovation;
(e)
a clear definition of roles for each of the partners and agreed key performance indicators over the period chosen;
(f)
complementarity with other parts of Horizon 2020 and alignment with the Union research and innovation strategic priorities, in particular those of the Europe 2020 strategy.
Where appropriate, complementarity between priorities and activities and the involvement of Member States shall be ensured in public-private partnerships.
4. The research priorities covered by public-private partnerships may, where appropriate, be included in regular calls in Horizon 2020 work programmes, in order to develop new synergies with research and innovation activities of strategic importance.
Article 26
Public-public partnerships
1. Horizon 2020 shall contribute to the strengthening of public-public partnerships, as and when appropriate, where actions at regional, national or international level are jointly implemented within the Union.
Particular attention shall be paid to Joint Programming Initiatives between Member States. Joint Programming Initiatives receiving support from Horizon 2020 shall remain open to the participation of any Member State or associated country.
2. Public-public partnerships may be supported either within, or across, the priorities set out in Article 5(2), in particular through:
(a)
an ERA-NET instrument using grants to support public-public partnerships in their preparation, establishment of networking structures, design, implementation and coordination of joint activities, as well as Union topping-up of no more than one joint call a year, and of actions of a transnational nature;
(b)
Union participation in programmes undertaken by several Member States in accordance with Article 185 TFEU where the participation is justified by the scope of the objectives pursued and the scale of the resources required.
For the purposes of point (a) of the first subparagraph, top-up funding shall be conditional on the demonstration of the added value of the action at Union level and on prior indicative financial commitments in cash or in kind of the participating entities to the joint calls and actions. One of the objectives of the ERA-NET instrument may, where possible, be to harmonise rules and implementation modalities of the joint calls and actions. It may also be used in order to prepare for an initiative pursuant to Article 185 TFEU.
For the purposes of point (b) of the first subparagraph, such initiatives shall only be proposed in cases where there is a need for a dedicated implementation structure and where there is a high level of commitment of the participating countries to integration at scientific, management and financial levels. In addition, proposals for such initiatives shall be identified on the basis of all of the following criteria:
(a)
a clear definition of the objective to be pursued and its relevance to the objectives of Horizon 2020 and broader Union policy objectives;
(b)
indicative financial commitments of the participating countries, in cash or in kind, including prior commitments to align national and/or regional investments for transnational research and innovation and, where appropriate, to pool resources;
(c)
the added value of the action at Union level;
(d)
the critical mass, with regard to the size and the number of programmes involved, the similarity or complementarity of activities and the share of relevant research they cover;
(e)
the appropriateness of Article 185 TFEU for achieving the objectives.
Article 27
International cooperation with third countries and international organisations
1. Legal entities, as defined in point 13 of Article 2(1) of Regulation (EU) No 1290/2013, established in third countries and international organisations shall be eligible to participate in indirect actions of Horizon 2020 under the conditions set out in that Regulation. International cooperation with third countries and international organisations shall be promoted and integrated into Horizon 2020 to achieve, in particular, the following objectives:
(a)
strengthening the Union's excellence and attractiveness in research and innovation as well as its economic and industrial competitiveness;
(b)
effectively tackling common societal challenges;
(c)
supporting the Union's external and development policy objectives, complementing external and development programmes including international commitments and their related goals, such as the achievement of the United Nations' Millennium Development Goals. Synergies with other Union policies will be sought.
2. Targeted actions with the objective of promoting cooperation with specific third countries or groups of third countries, including strategic partners of the Union, shall be implemented on the basis of a strategic approach as well as common interest, priorities, and mutual benefit, taking into account their scientific and technological capabilities and specific needs, market opportunities, and the expected impact of such actions.
Reciprocal access to third country programmes should be encouraged and, where appropriate, monitored. In order to maximise the impact of international cooperation, coordination and synergies with initiatives of Member States and associated countries shall be promoted. The nature of the cooperation may vary according to the specific partner countries.
Cooperation priorities shall take into account developments in Union policies, opportunities for cooperation with third countries, and fair and equitable dealing with intellectual property rights.
3. In addition, horizontal and cross-cutting activities to promote the strategic development of international cooperation shall be implemented under Horizon 2020.
Article 28
Information, communication, exploitation and dissemination
The Commission shall implement information and communication actions concerning Horizon 2020, including communication measures concerning supported projects and results. In particular, it shall provide timely and thorough information to Member States.
The part of the Horizon 2020 budget allocated to communication shall also cover the corporate communication of the Union's political priorities to the extent that they are related to the general objective of this Regulation.
Activities to disseminate information and carry out communication activities shall be an integral part of all actions supported by Horizon 2020. Information and communication concerning Horizon 2020, including on supported projects, shall be made available and accessible in digital form.
In addition, the following specific actions shall be supported:
(a)
initiatives aimed at widening awareness and facilitating access to funding under Horizon 2020, in particular for those regions or types of participants that have a relatively low participation;
(b)
targeted assistance to projects and consortia to provide them with adequate access to the necessary skills to optimise the communication, exploitation and dissemination of results;
(c)
actions which bring together and disseminate results from a range of projects, including those that may be funded from other sources, to provide user-friendly databases and reports that summarise key findings, and, where relevant, communication and dissemination to the scientific community, industry and the general public;
(d)
dissemination to policy makers, including standardisation bodies, to promote the use of policy-relevant results by the appropriate bodies at international, Union, national and regional level;
(e)
initiatives to foster dialogue and debate on scientific, technological and innovation related issues with the public through involvement of the research and innovation community and civil society organisations, and to take advantage of social media and other innovative technologies and methodologies, especially in order to help raise public awareness of the benefits of research and innovation in meeting societal challenges.
CHAPTER III
Control
Article 29
Control and audit
1. The control system set up for the implementation of this Regulation shall be so designed as to provide reasonable assurance of achieving sufficient reduction and adequate management of the risks relating to the effectiveness and efficiency of the operations as well as the legality and regularity of the underlying transactions, taking into account the multi-annual character of programmes as well as the nature of the payments concerned.
2. The control system shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for participants, so that the objectives of Horizon 2020 can be achieved and the most excellent researchers and the most innovative enterprises are attracted to it.
3. As part of the control system, the audit strategy for expenditure on indirect actions under Horizon 2020 shall be based on the financial audit of a representative sample of expenditure across Horizon 2020 as a whole. That representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure.
Audits of expenditure on indirect actions under Horizon 2020 shall be carried out in a coherent manner in accordance with the principles of economy, efficiency and effectiveness in order to minimise the audit burden on the participants.
Article 30
Protection of the financial interests of the Union
1. The Commission shall take appropriate measures to ensure that, when actions financed under this Regulation are implemented, the financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and dissuasive administrative and financial penalties.
2. The Commission or its representatives and the Court of Auditors shall have the power of audit, on the basis of documents and on the spot, over all grant beneficiaries, contractors and subcontractors who have received Union funds under Horizon 2020.
Without prejudice to paragraph 3, audits by the Commission may be carried out up to two years after the payment of the balance.
3. The European Anti-Fraud Office (OLAF) may carry out investigations, including on-the-spot checks and inspections, in accordance with the provisions and procedures laid down in Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council (22) and Council Regulation (Euratom, EC) No 2185/96 (23), with a view to establishing whether there has been fraud, corruption or any other illegal activity affecting the financial interests of the Union in connection with any Horizon 2020 grant agreement, grant decision or contract.
4. Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with third countries and with international organisations, grant agreements, grant decisions and contracts, resulting from the implementation of this Regulation, shall contain provisions expressly empowering the Commission, the Court of Auditors and OLAF to conduct such audits and investigations, in accordance with their respective competences.
CHAPTER IV
Monitoring and evaluation
Article 31
Monitoring
1. The Commission shall monitor annually the implementation of Horizon 2020, its specific programme and the activities of the EIT. That monitoring, which shall be based on quantitative and, where appropriate, qualitative evidence, shall include information on cross-cutting topics such as social and economic sciences and humanities, sustainability and climate change, including information on the amount of climate related expenditure, SME participation, private sector participation, gender equality, widening participation and progress against performance indicators. The monitoring shall also include information on the extent of funding for public-private and public-public partnerships, including Joint Programming Initiatives. The monitoring of funding for public-private partnerships shall, where appropriate, be undertaken in close consultation with the participants.
2. The Commission shall report and make publicly available the results of that monitoring.
Article 32
Evaluation
1. Evaluations shall be carried out in a sufficiently timely manner to feed into the decision-making process.
2. By 31 December 2017, the Commission shall carry out, with the assistance of independent experts selected on the basis of a transparent process, a review of the EIT, taking into account the evaluation provided for in Article 16 of Regulation (EC) No 294/2008. The KIC call in 2018 shall be launched subject to a positive outcome of that review. The review shall assess the progress of the EIT against all of the following:
(a)
the level of consumption and the efficiency in the use of the funds allocated according to Article 6(3) of this Regulation, differentiating between the amount used for the development of the first wave of KICs and the effect of the seed money for the subsequent waves, and the ability of the EIT to attract funds from the partners in the KICs and especially from the private sector, as set out in Regulation (EC) No 294/2008;
(b)
the contribution of the EIT and the KICs to the priority "Societal challenges" and the specific objective "Leadership in enabling and industrial technologies" and the performance assessed on the basis of the indicators defined in Annex I;
(c)
the contribution of the EIT and the KICs to the integration of higher education, research and innovation;
(d)
the ability of the KICs to integrate relevant new partners where they can provide added value.
3. By 31 December 2017, and taking into account the ex-post evaluation of the Seventh Framework Programme to be completed by 31 December 2015 and the review of the EIT, the Commission shall carry out, with the assistance of independent experts, selected on the basis of a transparent process, an interim evaluation of Horizon 2020, its specific programme, including the European Research Council (ERC), and the activities of the EIT.
The interim evaluation shall assess the progress of the different parts of Horizon 2020 against all of the following:
(a)
the achievements (at the level of results and progress towards achieving an impact, based, where applicable, on the indicators outlined in Annex II of the specific programme) of the objectives of Horizon 2020 and continued relevance of all related measures;
(b)
the efficiency and use of resources, with particular attention to cross-cutting issues and other elements referred to in Article 14(1); and
(c)
Union added value.
As part of the interim evaluation both existing and new public-private partnerships, including the JTIs, shall be subject to an in-depth assessment, which shall include, inter alia, analysis of their openness, transparency and effectiveness. That assessment shall take into consideration the evaluation of the EIT as provided for in Article 16 of Regulation (EC) No 294/2008 so as to allow for an assessment based on common principles.
As part of the interim evaluation, FTI shall be subject to an in-depth assessment which shall include an assessment of inter alia its contribution to innovation, industry participation, participation of new applicants, operational effectiveness and financing, and leverage of private investment. Further implementation of the FTI shall be determined on the basis of the evaluation results, and may be adjusted or expanded accordingly.
The interim evaluation shall take into consideration aspects relating to the dissemination and exploitation of research results.
The interim evaluation shall also take into consideration the scope for further simplification and aspects relating to access to funding opportunities for participants in all regions and for the private sector, notably SMEs, as well as the scope for promoting gender balance. It shall additionally take into account the contribution of the measures to the objectives of the Europe 2020 strategy, results as regards the long-term impact of the predecessor measures, and the degree of synergy and interaction with other Union funding programmes, including the ESI Funds.
As part of the interim evaluation, the funding model of Horizon 2020 shall be thoroughly assessed against, inter alia, the following indicators:
-
the participation of participants that have at their disposal high-end research infrastructures or have a history of using full-costing in the Seventh Framework Programme;
-
the simplification for participants that have at their disposal high-end research infrastructures or have a history of using full-costing in the Seventh Framework Programme;
-
the acceptance of the usual accounting practices of beneficiaries;
-
extent of use of the additional remuneration to personnel as referred to in Article 27 of Regulation (EU) No 1290/2013.
The interim evaluation shall also take into consideration, where appropriate, information on coordination with research and innovation activities carried out by Member States, including in areas where there are Joint Programming Initiatives.
4. By 31 December 2023, the Commission shall carry out, with the assistance of independent experts, selected on the basis of a transparent process, an ex-post evaluation of Horizon 2020, its specific programme and the activities of the EIT. That evaluation shall cover the rationale, implementation and achievements, as well as the longer-term impacts and sustainability of the measures, to feed into a decision on a possible renewal, modification or suspension of any subsequent measure. The evaluation shall take into consideration aspects relating to the dissemination and exploitation of research results.
5. The performance indicators for assessing progress against the general objective of Horizon 2020 and for the EIT, as set out in the introduction of Annex I, and for the specific objectives as established in the specific programme, including relevant baselines, shall provide the minimum basis for assessing the extent to which the objectives of Horizon 2020 have been achieved.
6. Where appropriate and available, Member States shall provide the Commission with the data and information necessary to make it possible to monitor and evaluate the measures concerned.
7. The Commission shall communicate the conclusions of the evaluations referred to in this Article, accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
TITLE III
FINAL PROVISIONS
Article 33
Repeal and transitional provisions
1. Decision No 1982/2006/EC is repealed with effect from 1 January 2014.
2. Notwithstanding paragraph 1, actions initiated under Decision No 1982/2006/EC and financial obligations related to those actions shall continue to be governed by that Decision until their completion.
3. The financial envelope referred to in Article 6 of this Regulation may also cover the technical and administrative assistance expenses necessary to ensure the transition from the measures adopted under Decision No 1982/2006/EC to Horizon 2020.
Article 34
Entry into force
This Regulation shall enter into force on the third day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Strasbourg, 11 December 2013.