Horizon Europe — the framework programme for research and innovation, laying down its rules for participation and dissemination

 

SUMMARY OF:

Regulation (EU) 2021/695 establishing Horizon Europe — the framework programme for research and innovation, laying down its rules for participation and dissemination

WHAT IS THE AIM OF THE REGULATION?

It establishes Horizon Europe — the framework programme for research and innovation (the ‘programme’) for the duration of the 2021-2027 multiannual financial framework , and lays down its rules for participation and dissemination.The regulation:

• determines the framework governing European Union (EU) support for research and innovation (R & I) in terms of the scientific and technological objectives to be achieved and the relevant priorities, indicates the broad lines of such activities and fixes the maximum overall amount and the detailed rules for EU financial participation in the framework programme and the respective shares in each of the activities provided for;
• sets out rules for the participation of undertakings, research centres and universities and lays down the rules governing the dissemination of research results.

KEY POINTS

Implementation

The programme is implemented through:

• the specific programme established by Decision (EU) 2021/764 (see summary);
• a financial contribution to the European Institute of Innovation and Technology (EIT) established by Regulation (EU) 2021/819;
• the specific programme on defence research established by Regulation (EU) 2021/697 (see summary).

Objectives

The general objective of the programme is to deliver scientific, technological, economic and societal impact from the EU’s investments in R & I so as to:

• strengthen the EU’s scientific and technological bases and foster competitiveness in all EU Member States, including in its industry;
• deliver on the EU’s strategic priorities and contribute to the fulfilment of its objectives and policies;
• tackle global challenges, including meeting the UN sustainable development goals (SDGs) by following the principles of the 2030 Agenda and the Paris Agreement;
• strengthen the European research area (ERA).

The programme thus maximises EU added value by focusing on objectives and activities that cannot be effectively fulfilled by Member States acting alone, but rather in cooperation.

The programme has the following specific objectives:

• to develop, promote and advance scientific excellence, support the creation and diffusion of high-quality new fundamental and applied knowledge of skills, technologies and solutions, support training and mobility of researchers, attract talent at all levels and contribute to the full engagement of the EU’s talent pool in actions supported under the programme;
• to generate knowledge, strengthen the impact of R & I in developing, supporting and implementing EU policies and support access to and the uptake of innovative solutions in European industry, in particular in small and medium-sized enterprises, and address global societal challenges, including climate change and the sustainable development goals;
• to foster all forms of innovation, facilitate technological development, demonstration and knowledge and technology transfer, and strengthen the deployment and exploitation of innovative solutions;
• to optimise the programme’s delivery with a view to strengthening and increasing the impact and attractiveness of the European research area, foster excellence-based participation from all Member States, including low-R & I-performing countries, in the programme and facilitate collaborative links in European R & I.

Structure and budget

The programme is structured as follows, with a total budget of €95.5 billion at current prices (including €5.4 billion from NextGenerationEU).

Pillar I — Excellent science

With these components:

• European Research Council
• Marie Skłodowska-Curie actions
• research infrastructures.

Pillar II — Global challenges and European industrial competitiveness

With these components:

• ‘Health’ cluster;
• ‘Culture, creativity and inclusive society’ cluster;
• ‘Civil security for society’ cluster;
• ‘Digital, industry and space’ cluster;
• ‘Climate, energy and mobility’ cluster;
• ‘Food, bioeconomy, natural resources, agriculture and environment’ cluster;
• non-nuclear direct actions undertaken by the European Commission’s Joint Research Centre.

Pillar III — Innovative Europe

With these components:

• European Innovation Council (EIC)
• European innovation ecosystems (EIE)
• European Institute of Innovation and Technology (EIT).

Part — Widening participation and strengthening the European research area

With these components:

• widening participation and spreading excellence;
• reforming and enhancing the European R & I system.

Missions

Missions are portfolios of excellence-based and impact-driven R & I activities across disciplines and sectors, intended to:

• achieve, within a set time frame, a measurable goal that could not be achieved through individual actions;
• have an impact on society and policymaking through science and technology;
• be relevant for a significant part of the EU population and a wide range of EU citizens.

Five areas for possible missions are identified in this legal act:

• adaptation to climate change, including societal transformation
• cancer
• healthy oceans, seas and coastal and inland waters
• climate-neutral and smart cities
• soil health and food.

Each mission area has a dedicated mission board, which advises the Commission in specifying, designing and implementing specific missions.

European partnerships

A streamlined landscape of three forms of European partnerships (co-funded, co-programmed and institutionalised) has been created in which the EU, national authorities and the private sector commit to supporting research and innovation efforts.

The European Innovation Council

The EIC has been created as a centrally managed one-stop shop for implementing actions under Pillar III ‘Innovative Europe’ which relate to the EIC. The EIC’s focus is mainly on breakthrough and disruptive innovation, especially targeting market-creating innovation, while also supporting all types of innovation, including incremental innovation.

Involvement of non-EU countries

Horizon Europe is open to the participation of legal entities from anywhere in the world, under the conditions set out in the rules, and where applicable together with any additional condition at work programme / call level.

Participation in the programme in the form of association of non-EU countries is open to:

• European Economic Area (EEA) and European Free Trade Association (EFTA) countries;
• acceding countries, candidate countries and potential candidates;
• European neighbourhood policy countries;
• non-EU countries with a good capacity in science, technology and innovation and commitment to a rules-based open market economy.

Rules for participation

The regulation sets out different rules, such as for eligibility for participation and funding, ethical rules and principles, and security that are applicable to indirect actions funded under the programme. Examples of these include:

• any legal entity may participate and receive funding if it meets the eligibility conditions under the Horizon Europe rules, together with any other additional conditions in the work programme / call;
• the content of calls for proposals must be included in the work programme;
• the Commission or the funding body may issue a joint call for proposals with non-EU countries, including their scientific and technological organisations or agencies, international organisations and non-profit legal entities;
• procurement procedures must comply with competition rules and the principles of transparency, non-discrimination, equal treatment, sound financial management and proportionality;
• rules regarding financial capacity checks;
• the process to evaluate proposals, including the selection and award criteria — proposals are evaluated by an independent expert committee, based on excellence, impact, quality and efficiency of implementation;
• applicants may request an evaluation review if they consider that the evaluation procedure has not been correctly applied;
• obligations with respect to exploiting and disseminating the results, including regarding open science.

Programme evaluation, impact assessment and monitoring

The Commission evaluates and monitors Horizon Europe to assess progress in achieving the programme’s objectives.

The programme is complemented by the research and training programme of the European Atomic Energy Community for 2021-2025.

FROM WHEN DOES THE REGULATION APPLY?

It has applied since 1 January 2021.

BACKGROUND

The regulation repeals Regulation (EU) No 1291/2013 and Regulation (EU) No 1290/2013.

See also:

• Horizon Europe (European Commission)
• Horizon Europe: The EU research & innovation programme 2021-2027 (European Commission)
• European research area (ERA) (European Commission)
• A new ERA for research and innovation (European Commission).

MAIN DOCUMENT

Regulation (EU) 2021/695 of the European Parliament and of the Council of 28 April 2021 establishing Horizon Europe — the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013 (OJ L 170, 12.5.2021, pp. 1-68)

RELATED DOCUMENTS

Regulation (EU) 2021/819 of the European Parliament and of the Council of 20 May 2021 on the European Institute of Innovation and Technology (recast) (OJ L 189, 28.5.2021, pp. 61-90)

Council Decision (EU) 2021/764 of 10 May 2021 establishing the Specific Programme implementing Horizon Europe — the Framework Programme for Research and Innovation, and repealing Decision 2013/743/EU (OJ L 167I, 12.5.2021, pp. 1-80)

Regulation (EU) 2021/697 of the European Parliament and of the Council of 29 April 2021 establishing the European Defence Fund and repealing Regulation (EU) 2018/1092 (OJ L 170, 12.5.2021, pp. 149-177)

Council Regulation (Euratom) 2021/765 of 10 May 2021 establishing the Research and Training Programme of the European Atomic Energy Community for the period 2021-2025 complementing Horizon Europe — the Framework Programme for Research and Innovation and repealing Regulation (Euratom) 2018/1563 (OJ L 167I, 12.5.2021, pp. 81-100)

Council Regulation (EU) 2020/2094 of 14 December 2020 establishing a European Union Recovery Instrument to support the recovery in the aftermath of the COVID-19 crisis (OJ L 433I, 22.12.2020, pp. 23-27)

Council Regulation (EU, Euratom) 2020/2093 of 17 December 2020 laying down the multiannual financial framework for the years 2021 to 2027 (OJ L 433I, 22.12.2020, pp. 11-22)

Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (OJ L 193, 30.7.2018, pp. 1-222)

last update 02.07.2021