Legal provisions of COM(2011)811 - Specific Programme Implementing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020) - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2011)811 - Specific Programme Implementing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020). |
|---|---|
| document | COM(2011)811  |
| date | December 3, 2013 |
Contents
- TITLE I - GENERAL PROVISIONS
- Article 1 - Subject matter
- Article 2 - Establishment of the specific programme
- Article 3 - Specific objectives
- Article 4 - Budget
- TITLE II - IMPLEMENTATION
- Article 5 - Work programmes
- Article 6 - European Research Council
- Article 7 - Scientific Council
- Article 8 - Dedicated implementation structure
- TITLE III - FINAL PROVISIONS
- Article 9 - Monitoring and information on implementation
- Article 10 - Committee procedure
- Article 11 - Exercise of the delegation
- Article 12 - Repeal and transitional provisions
- Article 13 - Entry into force
- Article 14 - Addressees
TITLE I - GENERAL PROVISIONS
Article 1 - Subject matter
Article 2 - Establishment of the specific programme
2. In accordance with Article 5(2), (3) and (4) of Regulation (EU) No 1291/2013, the specific programme shall consist of the following Parts:
| (a) | Part I Excellent science; |
| (b) | Part II Industrial leadership; |
| (c) | Part III Societal challenges; |
| (d) | Part IV Spreading excellence and widening participation; |
| (e) | Part V Science with and for society; |
| (f) | Part VI Non-nuclear direct actions of the Joint Research Centre (JRC). |
Article 3 - Specific objectives
| (a) | strengthening frontier research, through the activities of the European Research Council (ERC) ("The European Research Council (ERC)"); |
| (b) | strengthening research in future and emerging technologies ("Future and Emerging Technologies (FET)"); |
| (c) | strengthening skills, training and career development, through the Marie Skłodowska-Curie actions ("Marie Skłodowska-Curie actions"); |
| (d) | strengthening European research infrastructures, including e-infrastructures ("Research infrastructures"). |
The broad lines of the activities for those specific objectives are set out in Part I of Annex I.
2. Part II Industrial leadership shall strengthen industrial leadership and competitiveness in accordance with the priority Industrial leadership set out in point (b) of Article 5(2) of Regulation (EU) No 1291/2013 by pursuing the following specific objectives:
| (a) | boosting Europe's industrial leadership through research, technological development, demonstration and innovation in the following enabling and industrial technologies ("Leadership in enabling and industrial technologies"):
|
| (b) | enhancing access to risk finance for investing in research and innovation ("Access to risk finance"); |
| (c) | increasing innovation in SMEs ("Innovation in SMEs"). |
The broad lines of the activities for those specific objectives are set out in Part II of Annex I.
There shall be specific conditions for use of finance facilities under the specific objective in point (b) of the first subparagraph. Those conditions are set out in section 2 of Part II of Annex I.
The Commission shall be empowered to adopt delegated acts in accordance with Article 11 concerning the modifications of the share of investment from the Equity facility of Horizon 2020 of the total Union investment in expansion and growth-stage investments regarding the financial instruments referred to in section 2 of Part II of Annex I.
3. Part III Societal challenges shall contribute to the priority Societal challenges set out in point (c) of Article 5(2) of Regulation (EU) No 1291/2013 by pursuing research, technological development, demonstration and innovation actions which contribute to the following specific objectives:
| (a) | improving the lifelong health and well-being of all ("Health, demographic change and well-being"); |
| (b) | securing sufficient supplies of safe, healthy and high quality food and other bio-based products, by developing productive, sustainable and resource-efficient primary production systems, fostering related ecosystem services and the recovery of biological diversity, alongside competitive and low-carbon supply, processing and marketing chains ("Food security, sustainable agriculture and forestry, marine, maritime and inland water research, and the bioeconomy"); |
| (c) | making the transition to a reliable, affordable, publicly accepted, sustainable and competitive energy system, aiming at reducing fossil fuel dependancy in the face of increasingly scarce resources, increasing energy needs and climate change ("Secure, clean and efficient energy"); |
| (d) | achieving a European transport system that is resource-efficient, climate- and environmentally-friendly, safe and seamless for the benefit of all citizens, the economy and society ("Smart, green and integrated transport"); |
| (e) | achieving a resource- and water-efficient and climate change resilient economy and society, protection and sustainable management of natural resources and ecosystems and a sustainable supply and use of raw materials, in order to meet the needs of a growing global population within the sustainable limits of the planet's natural resources and ecosystems ("Climate action, environment, resource efficiency and raw materials"); |
| (f) | fostering a greater understanding of Europe, providing solutions and supporting inclusive, innovative and reflective European societies in a context of unprecedented transformations and growing global interdependencies ("Europe in a changing world – Inclusive, innovative and reflective societies"); |
| (g) | fostering secure European societies in a context of unprecedented transformations and growing global interdependencies and threats, while strengthening the European culture of freedom and justice ("Secure societies – Protecting freedom and security of Europe and its citizens"). |
The broad lines of the activities for those specific objectives are set out in Part III of Annex I.
4. Part IV Spreading excellence and widening participation shall contribute to the specific objective 'Spreading excellence and widening participation' set out in Article 5(3) of Regulation (EU) No 1291/2013 by fully exploiting the potential of Europe's talent pool and ensuring that the benefits of an innovation-led economy are both maximised and widely distributed across the Union in accordance with the principle of excellence.
The broad lines of the activities for this specific objective are set out in Part IV of Annex I.
5. Part V Science with and for society shall contribute to the specific objective 'Science with and for society' set out in Article 5(3) of Regulation (EU) No 1291/2013 by building effective cooperation between science and society, recruiting new talent for science and pairing scientific excellence with social awareness and responsibility.
The broad lines of the activities for this specific objective are set out in Part V of Annex I.
6. Part VI Non-nuclear direct actions of the Joint Research Centre (JRC) shall contribute to all of the priorities set out in Article 5(2) of Regulation (EU) No 1291/2013 with the specific objective of providing customer-driven scientific and technical support to Union policies.
The broad lines of the activities for this specific objective are set out in Part VI of Annex I.
7. The specific programme shall be assessed in relation to results and impact as measured against performance indicators.
Further details on the key performance indicators are set out in Annex II.
Article 4 - Budget
2. The amount referred to in paragraph 1 of this Article shall be distributed among the six Parts set out in Article 2(2) of this Decision in accordance with Article 6(2) of Regulation (EU) No 1291/2013. The indicative budgetary breakdown for the specific objectives set out in Article 3 of this Decision and the maximum overall amount of the contribution to the actions of the JRC are set out in Annex II to Regulation (EU) No 1291/2013.
3. No more than 5 % of the amounts referred to in Article 6(2) of Regulation (EU) No 1291/2013 for Parts I to V of the specific programme shall be for the Commission's administrative expenditure. The Commission shall ensure that during the programme its administrative expenditure will decrease and it will endeavour to reach a target of 4,6 % or less in 2020. These figures shall be subject to review as part of the Horizon 2020 interim evaluation as laid down in Article 32(3) of Regulation (EU) No 1291/2013.
4. Where necessary, appropriations may be entered in the budget beyond 2020 to cover technical and administrative expenses, in order to enable the management of activities not yet completed by 31 December 2020.
TITLE II - IMPLEMENTATION
Article 5 - Work programmes
2. The Commission shall adopt common or separate work programmes for the implementation of Parts I to V of the specific programme referred to in points (a) to (e) of Article 2(2), except for the implementation of the actions under the specific objective 'The European Research Council (ERC)', referred to in point (a) of Article 3(1). Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 10(4).
3. The work programmes for the implementation of the actions under the specific objective 'The European Research Council (ERC)' referred to in point (a) of Article 3(1), as established by the Scientific Council under point (b) of Article 7(2), shall be adopted by the Commission, by means of an implementing act, in accordance with the advisory procedure referred to in Article 10(3). The Commission shall depart from the work programme established by the Scientific Council only when it considers that it is not in accordance with the provisions of this Decision. In that case, the Commission shall adopt the work programme by means of an implementing act in in accordance with the examination procedure referred to in Article 10(4). The Commission shall duly motivate this measure.
4. The Commission shall adopt a separate multi-annual work programme, by means of an implementing act, for Part VI of the specific programme referred to in point (f) of Article 2(2).
This work programme shall take into account the opinion provided by the Board of Governors of the JRC referred to in Decision 96/282/Euratom.
5. The work programmes shall take account of the state of science, technology and innovation at national, Union and international level and of relevant policy, market and societal developments. They shall contain, where appropriate, information on coordination with research and innovation activities carried out by Member States (including their regions), including in areas where there are joint programming initiatives. They shall be updated where appropriate.
6. The work programmes for the implementation of Parts I to V referred to in points (a) to (e) of Article 2(2) of this Decision shall set out the objectives pursued, the expected results, the method of implementation and their total amount, including indicative information on the amount of climate-related expenditure, where appropriate. They shall also contain a description of the actions to be financed, an indication of the amount allocated to each action, an indicative implementation timetable, as well as a multi-annual approach and strategic orientations for the following years of implementation. They shall include for grants the priorities, the selection and award criteria and the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs. They shall also indicate any additional exploitation and dissemination obligations for participants, in accordance with Article 43 of Regulation (EU) No 1290/2013 (14) of the European Parliament and of the Council. They shall allow for strategic top-down as well as bottom-up approaches, as appropriate, that address the objectives in innovative ways.
In addition, those work programmes shall contain a section which identifies the cross-cutting issues as referred to in Article 14 and under the subtitle 'Cross-cutting issues and support measures in Horizon 2020' in Annex I to Regulation (EU) No 1291/2013, across two or more specific objectives both within the same priority or across two or more priorities. Those actions shall be implemented in an integrated manner.
7. The Commission shall adopt, by means of implementing acts, in accordance with the examination procedure referred to in Article 10(4) the following measures:
| (a) | the decision on the approval of the funding of indirect actions, where the estimated amount of the Union contribution under the specific programme is equal to or more than EUR 2,5 million, with the exception of actions under the specific objective 'European Research Council (ERC)' referred to in point (a) of Article 3(1) of this Decision and with the exception of actions funded under the 'Fast Track to Innovation' pilot, referred to in Article 24 of Regulation (EU) No 1291/2013; |
| (b) | the decision on the approval of the funding of actions involving the use of human embryos and human embryonic stem cells and of actions under the specific objective "Secure societies – Protecting freedom and security of Europe and its citizens" referred to in point (g) of Article 3(3); |
| (c) | the decision on the approval of the funding of actions, where the estimated amount of the Union contribution under the specific programme is equal to or more than EUR 0,6 million for actions under the specific objective "Europe in a changing world – Inclusive, innovative and reflective societies" referred to in point (f) of Article 3(3) and for actions under the specific objectives 'Spreading excellence and widening participation' and 'Science with and for society' referred to in Article 3(4) and (5) respectively; |
| (d) | the drawing up of the terms of reference for the evaluations provided for in Article 32 of Regulation (EU) No 1291/2013. |
Article 6 - European Research Council
2. The ERC shall be composed of the independent Scientific Council provided for in Article 7 and the dedicated implementation structure provided for in Article 8.
3. The ERC shall have a President who shall be chosen from among senior and internationally respected scientists.
The President shall be appointed by the Commission following a transparent recruitment process involving an independent dedicated search committee, for a term of office limited to four years, renewable once. The recruitment process and the candidate selected shall have the approval of the Scientific Council.
The President shall chair the Scientific Council and shall ensure its leadership and liaison with the dedicated implementation structure, and represent it in the world of science.
4. The ERC shall operate according to the principles of scientific excellence, autonomy, efficiency, effectiveness, transparency and accountability. It shall ensure continuity with ERC actions conducted under Decision 2006/972/EC.
5. The activities of the ERC shall support research carried out across all fields by individual and transnational teams in competition at the European level. ERC frontier research grants shall be awarded on the sole criterion of excellence.
6. The Commission shall act as the guarantor of the autonomy and integrity of the ERC and shall ensure the proper execution of the tasks entrusted to it.
The Commission shall ensure that the implementation of the ERC actions is in accordance with the principles set out in paragraph 4 of this Article as well as with the overall strategy for the ERC, referred to in point (a) of Article 7(2), established by the Scientific Council.
Article 7 - Scientific Council
The members of the Scientific Council shall be appointed by the Commission, following an independent and transparent procedure for their identification agreed with the Scientific Council, including a consultation of the scientific community and a report to the European Parliament and the Council.
Their term of office shall be limited to four years, renewable once, on the basis of a rotating system which shall ensure the continuity of the work of the Scientific Council.
2. The Scientific Council shall establish:
| (a) | the overall strategy for the ERC; |
| (b) | the work programme for the implementation of the ERC activities; |
| (c) | the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined; |
| (d) | its position on any matter which from a scientific perspective may enhance achievements and impact of the ERC and the quality of the research carried out; |
| (e) | a code of conduct addressing, inter alia, the avoidance of conflict of interests. |
The Commission shall depart from the positions established by the Scientific Council in accordance with points (a), (c), (d), and (e) of the first subparagraph only when it considers that the provisions of this Decision have not been respected. In that case, the Commission shall adopt measures to maintain continuity in the implementation of the specific programme and the achievements of its objectives, setting out the points of departure from the Scientific Council positions and duly motivating them.
3. The Scientific Council shall act in accordance with the mandate set out in section 1.1 of Part I of Annex I.
4. The Scientific Council shall act exclusively in the interest of achieving the specific objective 'The European Research Council (ERC)', referred to in point (a) of Article 3(1), according to the principles set out in Article 6(4). It shall act with integrity and probity and carry out its work efficiently and with the greatest possible transparency.
Article 8 - Dedicated implementation structure
2. The Commission shall ensure that the dedicated implementation structure follows strictly, efficiently and with the necessary flexibility the objectives and requirements of the ERC alone.
TITLE III - FINAL PROVISIONS
Article 9 - Monitoring and information on implementation
2. The Commission shall regularly inform the Committee referred to in Article 10 of the overall progress of the implementation of the indirect actions of the specific programme to allow the Committee to provide early appropriate input on the preparation of the work programmes, in particular the multi-annual approach and strategic orientations, and shall provide it with timely information on all actions proposed or funded under Horizon 2020 as specified in Annex IV.
Article 10 - Committee procedure
2. The committee shall meet in different configurations as set out in Annex V, having regard to the subject matter to be discussed.
3. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply.
4. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
5. Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.
Article 11 - Exercise of the delegation
2. The power to adopt delegated acts referred to in Article 3(2) shall be conferred on the Commission for the duration of Horizon 2020.
3. The delegation of power referred to in Article 3(2) may be revoked at any time by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. As soon as it adopts a delegated act, the Commission shall notify it to the Council.
5. A delegated act adopted pursuant to Article 3(2) shall enter into force only if no objection has been expressed by the Council within a period of two months of notification of that act to the Council or if, before the expiry of that period, the Council has informed the Commission that it will not object. That period shall be extended by one month at the initiative of the Council.
6. The European Parliament shall be informed of the adoption of delegated acts by the Commission, or any objection formulated to them, or of the revocation of the delegation of powers by the Council.
Article 12 - Repeal and transitional provisions
2. However, actions initiated under the Decisions referred to in paragraph 1 of this Article and financial obligations related to actions pursued under those Decisions shall continue to be governed by those Decisions until their completion. Where necessary, any remaining tasks of the Committees established by the Decisions referred to in paragraph 1 of this Article shall be undertaken by the Committee referred to in Article 10.
3. The financial allocation for the specific programme may also cover technical and administrative assistance expenses necessary to ensure the transition between the specific programme and the measures covered by Decisions 2006/971/EC, 2006/972/EC, 2006/973/EC, 2006/974/EC and 2006/975/EC.