Proposal for a COUNCIL DECISION establishing the Specific Programme Implementing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020)
Date: 2011-11-30
Institutions: European Commission
Subjects: EU financing, EU research policy, Framework Programme for Research and Development, competitiveness, innovation, research and development, scientific cooperation, small and medium-sized enterprises, technical cooperation, technology

EUROPEAN COMMISSION 

Brussels, 30.11.2011 
COM(2011) 811 final 

2011/0402 (CNS) 

Proposal for a 

COUNCIL DECISION 

establishing the Specific Programme Implementing Horizon 2020 - The Framework 
Programme for Research and Innovation (2014-2020) 

(Text with EEA relevance) 

{SEC(2011) 1427-Volume 1} 
{SEC(2011) 1428-Volume 1} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The  set  of  proposals  for  "Horizon  2020",  drawn  up  fully  in  line  with  the  Commission 
Communication  'A  Budget  for  Europe  2020'1,  wholly  supports  the  Europe  2020  strategy, 
which  identified  research  and  innovation  as  central  to  achieving  the  objectives  of  smart, 
sustainable and inclusive growth. The set consists of the proposals for:  

(1) 

(2) 

(3) 

(4) 

a  Framework  Programme  for  Horizon  2020  (Treaty  on  the  Functioning  of  the 
European Union – 'TFEU');  

a single set of Rules for Participation and Dissemination (TFEU); 

a single specific programme to implement Horizon 2020 (TFEU); as well as  

a single proposal for the parts of Horizon 2020 corresponding to the Euratom Treaty.  

The overall political narrative and background to these legislative proposals is provided by a 
Commission Communication adopted together with them, which addresses a number of major 
cross-cutting  elements  such  as  simplification  and  how  the  approach  to  innovation  has  been 
strengthened.  

Horizon  2020  contributes  directly  to  tackling  the  major  societal  challenges  identified  in 
Europe  2020  and  its  flagship  initiatives.  It  will  contribute  equally  to  creating  industrial 
leadership  in  Europe.  It  will  also  increase  excellence  in  the  science  base,  essential  for  the 
sustainability and long term prosperity and wellbeing of Europe. To achieve these aims, the 
proposals include a full range of support that is integrated across the research and innovation 
cycle.  Horizon  2020  therefore  brings  together  and  strengthens  activities  currently  funded 
the 
under 
Competitiveness  and  Innovation  Framework  Programme,  and  the  European  Institute  of 
Innovation  and  Technology.  In  this  way,  the  proposals  are  also  designed  to  realise  a 
substantial simplification for participants. 

the  7th  Framework  Programme  for  research, 

innovation  parts  of 

the 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

The preparation of the four proposals took full account of the responses to an extensive public 
consultation based on a Green Paper, "From challenges to opportunities: towards a common 
strategic  framework  for  EU  research  and  innovation  funding",  COM(2011)48.  Views  were 
expressed  by  the  European  Council,  Member  States  and  a  wide  range  of  stakeholders  from 
industry, academia and civil society. 

The  proposals  also  rely  on  two  in-depth  impact  assessments,  drawing  on  stakeholder 
consultations, internal and external evaluations, and contributions from international experts. 
The assessments found that the Horizon 2020 option would bring more clarity of focus, best 
achieve  the  necessary  critical  mass  of  effort  at  programme  and  project  level,  and  lead  to 

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greatest  impact  on  the  policy  objectives  and  downstream  economic,  competitiveness,  and 
social  benefits,  while  at  the  same  time  helping  to  simplify  matters  by  e.g.  easing  the 
administrative  burden  for  participants,  streamlining  the  applicable  rules  and  procedures, 
ensuring consistency between instruments and pointing to a new risk/trust balance.  

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Legal base 

The  proposal  integrates  research  and  innovation  activities  in  a  seamless  way  in  order  to 
achieve the policy objectives.  

As  such,  Horizon  2020  will  be  based  on  the  TFEU  Titles  "Industry"  and  "Research  and 
technological  development  and  space"  (Articles  173  and  182).  The  related  Rules  for 
participation and dissemination will be based on the same TFEU Titles (Articles 173, 183 and 
188). The "Industry" basis in both cases will relate predominantly to the European Institute of 
Innovation  and  Technology  (EIT),  which  will  be  funded  by  a  financial  contribution  from 
Horizon 2020. The EIT will not appear at the specific programme level. 

It  is  recalled  that  innovation  activities  have  been  explicitly  included  in  various  Framework 
Programmes  based  on  the  Research  Title  of  the  Treaty  on  the  Functioning  of  the  European 
Union  and  that  the  current  Framework  Programmes  also  includes  a  range  of  innovation 
activities. As a consequence, the specific programme that will implement Horizon 2020 will 
be  based  on  the  TFEU  Title  "Research  and  technological  development  and  space"  (Article 
182) as the activities foreseen in them will fall under those covered by this Title.  

The proposal for the Euratom research and training programme contributing to Horizon 2020 
is based on Article 7 of the Euratom Treaty.  

3.2. 

Subsidiarity and proportionality principles 

The proposals have been designed to maximise Union added value and impact, focusing on 
objectives  and  activities  that  cannot  be  efficiently  realised  by  Member  States  acting  alone. 
Union  level  intervention  can  strengthen  the  overall  research  and  innovation  framework  and 
coordinate  Member  States'  research  efforts  thereby  avoiding  duplication,  retaining  critical 
mass  in  key  areas  and  ensuring  public  financing  is  used  in  an  optimal  way.  Union  level 
intervention enables  continent-wide  competition  to select  the best proposals, thereby raising 
levels of excellence and providing visibility for leading research and innovation. The Union 
level  is  also  best  placed  to  support  trans-national  mobility,  thereby  improving  training  and 
career development for researchers. A Union level  programme  is  more  able to take on high 
risk  and  long-term  R&D,  thereby  sharing  the  risk  and  generating  a  breadth  of  scope  and 
economies  of  scale  that  could  not  otherwise  be  achieved.  Union  level  intervention  can 
leverage  additional  public  and  private  investments  in  research  and  innovation;  contribute  to 
the European Research Area whereby knowledge, researchers and technology circulate freely; 
and accelerate the commercialisation and diffusion of innovations across the Single Market. 
Union level programmes are also needed to support policy making as well as the objectives 
set by a range of policies. Full evidence is presented in the accompanying impact assessments. 

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4. 

BUDGETARY IMPLICATION  

The budget of all proposals is presented in current prices. The legislative financial statement 
attached  to  this  proposal  sets  out  the  budgetary,  human  and  administrative  resource 
implications.  The  Commission  may  use,  on  the  basis  of  a  cost-benefit  analysis,  existing 
executive  agencies  for  the  implementation  of  Horizon  2020,  as  provided  for  in  Council 
Regulation  (EC)  No  58/2003  laying  down  the  statute  for  executive  agencies  to  be  entrusted 
with certain tasks in the management of Union programmes.  

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2011/0402 (CNS) 

Proposal for a 

COUNCIL DECISION 

establishing the Specific Programme Implementing Horizon 2020 - The Framework 
Programme for Research and Innovation (2014-2020) 

(Text with EEA relevance) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 182(4) 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 Parliament2,  

Having regard to the opinion of the European Economic and Social Committee3,  

Having regard to the opinion of the Committee of the Regions4, 

Acting in accordance with a special legislative procedure,  

Whereas: 

(1) 

(2) 

In  accordance  with  Article  182(3)  of  the  Treaty,  Regulation  (EU)  No  […]  of  the 
European  Parliament  and  the  Council  of  …  concerning  Horizon  2020  –  the 
Framework  Programme  for  Research  and  Innovation  ("Horizon  2020")5  –  is  to  be 
implemented through a specific programme which determines  the specific objectives 
and  rules  for  their  implementation,  fixes  its  duration  and  provides  for  the  means 
deemed necessary. 

Horizon 2020 pursues three priorities, namely generating excellent science (“Excellent 
science”), creating industrial leadership (“Industrial leadership”) and tackling societal 
challenges  (“Societal  challenges”).  Those  priorities  should  be  implemented  by  a 
specific  programme  consisting  of  three  Parts  on  indirect  actions  and  one  Part  on  the 
direct actions of the Joint Research Centre (JRC). 

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OJ C , , p. 
OJ C , , p. 
OJ C , , p. 
OJ , , p. 

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(3)  While Horizon 2020 sets out the general objective of that framework programme, the 
priorities and the broad lines of the specific objectives and activities to be carried out, 
the specific programme should define the specific objectives and the broad lines of the 
activities  which  are  specific  to  each  of  the  Parts.  The  provisions  set  out  in  Horizon 
2020  on  implementation  apply  fully  to  this  specific  programme,  including  those 
relating to ethical principles. 

(4) 

(5) 

(6) 

(7) 

(8) 

Each  Part  should  be  complementary  to  and  implemented  in  a  coherent  way  with  the 
other Parts of the specific programme. 

There is a critical need to reinforce and extend the excellence of the Union’s science 
base  and  ensure  a  supply  of  world  class  research  and  talent  to  secure  Europe's  long 
term  competitiveness  and  well-being.  Part  I  “Excellent  science”  should  support  the 
activities of the European Research Council on frontier research, future and emerging 
technologies,  Marie  Curie  Actions  and  European  research  infrastructures.  These 
activites should aim at building competence in the long term, focusing strongly on the 
next-generation  of  science,  systems  and  researchers,  and  providing  support  for 
emerging talent from across the Union and from associated countries. Union activities 
to support excellent science should help consolidate the European Research Area and 
make the Union’s science system more competitive and attractive on a global scale. 

Research  actions  carried  out  under  Part  I  “Excellent  science”  should  be  determined 
according to the needs and opportunities of science, without pre-determined thematic 
priorities.  The  research  agenda  should  be  set  in  close  liaison  with  the  scientific 
community. Research should be funded on the basis of excellence. 

The  European  Research  Council  should  replace  and  succeed  the  European  Research 
Council  established  by  Commission  Decision  2007/134/EC6.  It  should  operate 
according  to  the  established  principles  of  scientific  excellence,  autonomy,  efficiency 
and transparency.  

In order to maintain and increase the Union's industrial leadership  there is an urgent 
need to stimulate private sector research and development and innovation investment, 
promote  research  and  innovation  with  a  business  driven  agenda  and  accelerate  the 
development of new technologies which will underpin future businesses and economic 
growth. Part II "Industrial leadership" should support investments in excellent research 
and  innovation  in  key  enabling  technologies  and  other  industrial  technologies, 
facilitate  access  to  risk  finance  for  innovative  companies  and  projects,  and  provide 
Union wide support for innovation in small and medium-sized enterprises. 

(9) 

Space research and innovation, which is a shared competence of the Union, should be 
included as a coherent element in Part II "Industrial leadership" in order to maximize 
the  scientific,  economic  and  societal  impact  and,  to  ensure  an  efficient  and  cost 
effective implementation. 

(10)  Addressing  the  major  societal  challenges  identified  in  the  Europe  2020  strategy7 
requires  major  investments  in  research  and  innovation  to  develop  and  deploy  novel 
and breakthrough solutions that have the necessary scale and scope. These challenges 

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OJ L 57, 24.2.2007, p. 14. 
COM(2010) 2020 

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also  represent  major  economic  opportunities  for  innovative  companies  and  therefore 
contribute to the Union's competitiveness and employment.  

(11)  Part  III  “Societal  challenges”  should  increase  the  effectiveness  of  research  and 
innovation  in  responding  to  key  societal  challenges  by  supporting  excellent  research 
and  innovation  activities.  Those  activities  should  be  implemented  using  a  challenge-
based approach which brings together resources and knowledge across different fields, 
technologies and disciplines. Social sciences and humanities research is an important 
element for addressing all of the challenges. The activities should cover the full range 
of  research  and  innovation  with  an  emphasis  on  innovation-related  activities  such  as 
piloting, demonstration, test-beds, and support for public procurement, pre-normative 
research and standard setting, and market uptake of innovations. The activities should 
support  directly  the  corresponding  sectoral  policy  competences  at  Union  level.  All 
challenges should contribute to the overarching objective of sustainable development. 

(12)  As an integral part of Horizon 2020, the Joint Research Centre (JRC) should continue 
to  provide  independent  customer-driven  scientific  and  technical  support  for  the 
formulation, development, implementation and monitoring of Union policies. In order 
to  achieve  its  mission  the  Joint  Research  Centre  should  carry  out  research  of  the 
highest  quality. In carrying  out the  direct  actions  in  accordance  with  its  mission,  the 
Joint Research Centre should place particular emphasis on areas of key concern for the 
Union,  namely  smart,  inclusive  and  sustainable  growth,  security  and  citizenship  and 
Global Europe. 

(13)  The direct actions of the Joint Research Centre should be implemented in a flexible, 
efficient and transparent manner, taking into account the relevant needs of the users of 
the  Joint  Research  Centre  and  Union  policies,  as  well  as  respecting  the  objective  of 
protecting  the  Union's  financial  interests.  Those  research  actions  should  be  adapted 
where appropriate to these needs and to scientific and technological developments and 
aim to achieve scientific excellence. 

(14)  The  Joint  Research  Centre  should  continue  to  generate  additional  resources  through 
competitive activities, including participation to the indirect actions of Horizon 2020, 
third party work and, to a lesser extent, the exploitation of intellectual property. 

(15)  The  specific  programme  should  complement  the  actions  carried  out  in  the  Member 
States  as  well  as  other  Union  actions  which  are  necessary  for  the  overall  strategic 
effort for the implementation of the Europe 2020 Strategy, in particular with actions in 
the  policy  areas  of  cohesion,  agriculture  and  rural  development,  education  and 
vocational  training,  industry,  public  health,  consumer  protection,  employment  and 
social  policy,  energy,  transport,  environment,  climate  action,  security,  marine  and 
fisheries, development cooperation and enlargement and neighbourhood policy. 

(16) 

In order to ensure that the evaluations of Horizon 2020 properly reflect the state of the 
art and that the specific conditions for the use of the finance facilities reflect market 
conditions, the power to adopt acts in accordance with Article 290 of the Treaty on the 
Functioning of the European Union should be delegated to the Commission to adapt or 
further elaborate the performance indicators corresponding to the specific objectives of 
the specific programme and the specific conditions for use of the finance facilities. It is 
of  particular  importance  that  the  Commission  carries  out  appropriate  consultations 
during its preparatory work, including at expert level. 

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The  Commission,  when  preparing  and  drawing-up  delegated  acts,  should  ensure  a 
timely and appropriate transmission of relevant documents to the Council. 

(17) 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  the  specific 
programme,  implementing  powers  should  be  conferred  on  the  Commission  to  adopt 
work programmes for the implementation of the specific programme.  

(18)  The implementing powers relating to the work programmes for Parts I, II and III, with 
the exception of the actions of the European Research Council where the Commission 
does  not  depart  from  the  position  of  the  Scientific  Council,  should  be  exercised  in 
accordance with Regulation (EU) No 182/2011 of the European Parliament and of the 
Council of 16 February 2011 laying down the rules and general principles concerning 
mechanisms  for  control  by  the  Member  States  of  the  Commission's  exercise  of 
implementing powers8. 

(19)  The Board of Governors of the Joint Research Centre, set up by Commission Decision 
96/282/Euratom of 10 April 1996 on the reorganization of the Joint Research Centre9, 
has  been  consulted  on  the  scientific  and  technological  content  of  the  specific 
programme on the direct actions of the Joint Research Centre. 

implementing 

the  Seventh  Framework  Programme  of 

(20)  For  reasons  of  legal  certainty  and  clarity,  Council  Decision  2006/971/EC  of  19 
December  2006  concerning  the  specific  programme  "Cooperation"  implementing  the 
Seventh  Framework  Programme  of 
the  European  Community  for  research, 
technological  development  and  demonstration  activities  (2007  to  2013)10,  Council 
Decision  2006/972/EC  of  19  December  2006  concerning  the  specific  programme 
"Ideas" 
the  European 
Community  for  research,  technological  development  and  demonstration  activities 
(2007 to 2013)11, Council Decision 2006/973/EC of 19 December 2006 concerning the 
specific programme "People" implementing the Seventh Framework Programme of the 
European  Community  for  research,  technological  development  and  demonstration 
activities  (2007  to  2013)12,  Council  Decision  2006/974/EC  of  19  December  2006 
concerning 
the  Seventh 
Framework  Programme  of  the  European  Community  for  research,  technological 
development  and  demonstration  activities  (2007  to  2013)13,  and  Council  Decision 
2006/975/EC of 19 December 2006 concerning the specific programme to be carried 
out  by  means  of  direct  actions  by  the  Joint  Research  Centre  under  the  Seventh 
Framework  Programme  of  the  European  Community  for  research,  technological 
development and demonstration activities (2007 to 2013)14, should be repealed, 

the  specific  programme  "Capacities" 

implementing 

HAS ADOPTED THIS DECISION:  

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OJ L 55, 28.2.2011, p. 13. 
OJ L 107, 30.4.1996, p. 12. 
OJ L 400, 30.12.2006, p. 86. 
OJ L 400, 30.12.2006, p. 243. 
OJ L 400, 30.12.2006, p. 272. 
OJ L 400, 30.12.2006, p. 299. 
OJ L 400, 30.12.2006, p. 368. 

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TITLE I 

ESTABLISHMENT  

Article 1 
Subject matter 

This  Decision  establishes  the  specific  programme  implementing  Regulation  (EU)  No 
XX/2012  of  the  European  Parliament  and  of  the  Council15  and  determines  the  specific 
objectives for Union support to the research and innovation activities set out in Article 1 of 
that Regulation as well as the rules for implementation. 

Article 2 
Establishment of the Specific Programme 

1. 

2. 

The  specific  programme  implementing Horizon  2020  –  the  Framework  Programme 
for  Research  and  Innovation  (2014-2020)  ("the  specific  programme")  is  hereby 
established for the period from 1 January 2014 to 31 December 2020.  

In accordance with Article 5(2) and 5(3) of Regulation (EU) No XX/2012 [Horizon 
2020], 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 “Non-nuclear direct actions of the Joint Research Centre (JRC)”. 

Article 3 
Specific objectives 

1. 

Part  I  “Excellent  science”  shall  strengthen  the  excellence  of  European  research  in 
accordance  with  the  priority  “Excellent  science”  set  out  in  Article  5(2)(a)  of 
Regulation  (EU)  No  XX/2012  [Horizon  2020]  by  pursuing  the  following  specific 
objectives:  

(a) 

strengthening frontier research, through the activities of the European Research 
Council (ERC); 

(b) 

strengthening research in Future and Emerging Technologies; 

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(c) 

strengthening  skills,  training  and  career  development,  through  the  Marie 
Skłodowska-Curie actions ("Marie Curie actions"); 

(d) 

strengthening European research infrastructures, including e-infrastructures. 

The broad lines of the activities for those specific objectives are set out in Part I of 
Annex I. 

2. 

II  “Industrial 

leadership”  shall  strengthen 

leadership  and 
Part 
competitiveness  in  accordance  with  the  priority  “Industrial  leadership”  set  out  in 
Article  5(2)(b)  of  Regulation  (EU)  No  XX/2012  [Horizon  2020]  by  pursuing  the 
following specific objectives: 

industrial 

(a)  boosting  Europe's 

technological 
development,  demonstration  and  innovation  in  the  following  enabling  and 
industrial technologies:  

through  research, 

leadership 

industrial 

(i) 

information and communication technologies; 

(ii)  nanotechnologies; 

(iii)  advanced materials; 

(iv)  biotechnology; 

(v) 

advanced manufacturing and processing; 

(vi)  space; 

(b) 

enhancing access to risk finance for investing in research and innovation; 

(c) 

increasing innovation in small and medium-sized enterprises.  

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).  Those  conditions  are  set out  in  Point  2  of  Part  II  of 
Annex I. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 10 for the purpose of adapting those specific conditions if economic market 
conditions so require or according to the results achieved by the Competitiveness and 
Innovation Programme Loan Guarantee Facility and the Risk Sharing Instrument of 
the Seventh Framework Programme Risk Sharing Financial Facility.  

3. 

Part III “Societal challenges” shall contribute to the priority “Societal challenges” set 
out in Article 5(2)(c) of Regulation (EU) No XX/2012 [Horizon 2020] by pursuing 
research,  technological  development,  demonstration  and  innovation  actions  which 
contribute to the following specific objectives:  

(a) 

improving the lifelong health and wellbeing; 

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(b) 

securing sufficient supplies of safe and high quality food and other bio-based 
products,  by  developing  productive  and  resource-efficient  primary  production 
systems, fostering related ecosystem services, along side competitive and low 
carbon supply chains;  

(c)  making the transition to a reliable, sustainable and competitive energy system, 
in the face of increasing resource scarcity, increasing energy needs and climate 
change; 

(d) 

(e) 

achieving  a  European 
resource-efficient, 
environmentally-friendly,  safe  and  seamless  for  the  benefit  of  citizens,  the 
economy and society; 

transport 

system 

that 

is 

achieving  a  resource-efficient  and  climate  change  resilient  economy  and  a 
sustainable  supply  of  raw  materials,  in  order  to  meet  the  needs  of  a  growing 
global population within the sustainable limits of the planet's natural resources; 

4. 

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(f) 

fostering  inclusive,  innovative  and  secure  European  societies  in  a  context  of 
unprecedented transformations and growing global interdependencies. 

The broad lines of the activities for those specific objectives are set out in Part III of 
Annex I. 

Part IV "Non-nuclear direct actions of the Joint Research Centre" shall contribute to 
all of the priorities set out in Article 5(2) of Regulation (EU) No XX/2012 [Horizon 
2020]  with  the  specific  objective  of  providing  customer-driven  scientific  and 
technical support to Union policies. 

The broad lines of that specific objective are set out in Part IV of Annex I.  

The  specific  programme  shall  be  assessed  in  relation  to  results  and  impact  as 
measured against performance indicators, including, where appropriate, publications 
in  high  impact  journals,  the  circulation  of  researchers,  the  accessibility  of  research 
infrastructures, investments mobilised via debt financing and venture capital, SMEs 
introducing  innovations  new  to  the  company  or  the  market,  references  to  relevant 
research activities in policy documents as well as occurences of specific impacts on 
policies. 

Further  detail  on  the  key  performance  indicators  which  correspond  to  the  specific 
objectives set out in paragraphs 1 to 4 of this Article are set out in Annex II. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 10 for the purpose of adapting those indicators in view of new developments 
or further elaborating them.  

Article 4 
Budget 

1. 

In accordance with Article 6(1) of Regulation (EU) No XX/2012 [Horizon 2020], the 
financial  envelope  for  the  implementation of  the  specific  programme  shall  be  EUR 
86198 million. 

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2. 

3 

4. 

The amount referred to in paragraph 1 shall be distributed among the four Parts set 
out  in  Article  2(2)  of  this  Decision  in  accordance  with  Article  6(2)  of  Regulation 
(EU)  No  XX/2012  [Horizon  2020].  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 Joint Research Centre are set out in 
Annex II to Regulation (EU) No XX/2012 [Horizon 2020].  

No more than 6 % of the amounts referred to in Article 6(2) of Regulation (EU) No 
XX/2012 [Horizon 2020] for the Parts I, II and III of the specific programme shall be 
for the Commission's administrative expenditure. 

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. 

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TITLE II 

IMPLEMENTATION 

Article 5  
Work programmes 

1. 

2. 

3. 

4. 

5. 

6. 

The specific programme shall be implemented by work programmes. 

The  Commission  shall  adopt  common  or  separate  work  programmes  for  the 
implementation  of  the  Parts  I,  II  and  III  of  this  specific  programme  referred  to  in 
points  (a),  (b)  and  (c)  of  Article  2(2),  except  for  the  implementation  of  the  actions 
under  the  specific  objective  “Strengthening  Europe's  science  base  in  frontier 
research”.  Those  implementing  acts  shall  be  adopted  in  accordance  with  the 
examination procedure referred to in Article 9(2). 

The  work  programmes  for  the  implementation  of  the  actions  under  the  specific 
objective “Strengthening Europe's science base in frontier research” as established by 
the Scientific Council of the European Research Council under Article 7(2)(b), shall 
be adopted by the Commission, by means of an implementing act. 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 9(2). The Commission shall duly motivate this measure.  

The Commission shall adopt a separate multi-annual work programme, by means of 
an  implementing  act,  for  Part  IV  of  the  specific  programme  concerning  the  non-
nuclear direct actions of the Joint Research Centre referred to in point (d) of Article 
2(2). 

This work programme shall take into account the opinion provided by the Board of 
Governors of the Joint Research Centre referred to in Decision 96/282/Euratom. 

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  information  on  coordination  with 
research  and  innovation  activities  carried  out  by  Member  States,  including  in  areas 
where  there  are  joint  programming  initiatives.  They  shall  be  updated  where 
appropriate. 

The work programmes for the implementation of the Parts I, II and III referred to in 
points  (a),  (b)  and  (c)  of  Article  2(2)  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 

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following  years  of  implementation.  They  shall  include  for  grants  the  priorities,  the 
essential evaluation criteria and the maximum rate of co-financing. They shall allow 
for bottom-up approaches that address the objectives in innovative ways.  

In  addition,  those  work  programmes  shall  contain  a  section  which  identifies  the 
cross-cutting  actions  as  referred  to  in  Article  13  of  Regulation  (EU)  No  XX/2012 
[Horizon 2020], across two or more specific objectives both within the same priority 
and  across  two  or  more  priorities.  Those  actions  shall  be  implemented  in  an 
integrated manner.  

Article 6  
European Research Council  

The Commission shall establish a European Research Council (“ERC”), which shall 
be the means of implementing the actions under the Part I “Excellent science” which 
relate  to  the  specific  objective  “Strengthening  Europe's  science  base  in  frontier 
research”.  The  European  Research  Council  shall  succeed  the  European  Research 
Council set up by Decision 2007/134/EC.  

The  European  Research  Council  shall  be  composed  of  the  independent  Scientific 
Council  provided  for  in  Article  7  and  the  dedicated  implementation  structure 
provided for in Article 8. 

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 recruitment process 
involving  a  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. 

The European Research Council shall operate according to the principles of scientific 
excellence,  autonomy,  efficiency,  effectiveness,  transparency  and  accountability.  It 
shall  ensure  continuity  with  European  Research  Council  actions  conducted  under 
Council Decision 2006/972/EC.  

The  activities  of  the  European  Research  Council  shall  support  research  carried  out 
across all fields by individual and transnational teams in competition at the European 
level.  European  Research  Council  frontier  research  grants  shall  be  awarded  on  the 
sole criterion of excellence. 

The  Commission  shall  act  as  the  guarantor  of  the  autonomy  and  integrity  of  the 
European  Research  Council  and  shall  ensure  the  proper  execution  of  the  tasks 
entrusted to it. 

The  Commission  shall  ensure  that  the  implementation  of  the  European  Research 
Council  actions  is  in  accordance  with  the  principles  set  out  in  paragraph  4  of  this 

1. 

2. 

3. 

4. 

5. 

6. 

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Article  as  well  as  with  the  overall  strategy  of  the  Scientific  Council  referred  to  in 
Article 7(2).  

Article 7  
Scientific Council 

1. 

The Scientific Council shall be composed of scientists, engineers and scholars of the 
highest  repute  and  appropriate  expertise,  ensuring  a  diversity  of  research  areas  and 
acting in their personal capacity, independent of extraneous interests. 

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 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 European Research Council; 

(b) 

(c) 

(d) 

the work programme for the implementation of the European Research Council 
activities;  

the  methods  and  procedures  for  peer  review  and  proposal  evaluation  on  the 
basis of which the proposals to be funded are determined; 

its position on any matter which from a scientific and perspective may enhance 
the  achievements  and  impact  of  the  European  Research  Council,  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. 

The Scientific Council shall act in accordance with the mandate set out in point 1.1, 
Part I of Annex I. 

the  part  of 

The Scientific Council shall act exclusively in the interest of achieving the objectives 
of 
the  specific  objective 
“Strengthening Europe's science base in frontier research” according to the principles 
set out in Article  6(4). It shall  act with  integrity and probity and  shall carry out its 
work efficiently and with the greatest possibled transparency. 

the  specific  programme  relating 

to 

3. 

4. 

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Article 8  
Dedicated implementation structure 

1. 

2. 

The  dedicated  implementation  structure  shall  be  responsible  for  the  administrative 
implementation  and  programme  execution,  as  described  in  point  1.2  of  Part  I  of 
Annex Iand shall support the Scientific Council in the conduct of all of its tasks.  

The  Commission  shall  ensure  that  the  dedicated  implementation  structure  follows 
strictly, efficiently and with the necessary flexibility the objectives and requirements 
of the European Research Council alone.  

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TITLE III  

FINAL PROVISIONS 

Article 9  
Committee procedure 

1. 

2. 

3. 

1. 

2. 

3. 

4. 

5. 

6. 

The  Commission  shall  be  assisted  by  a  Committee.  That  committee  shall  be  a 
committee within the meaning of Regulation (EU) No 182/201116. 

Where  reference  is  made  to  this  paragraph,  Article  5  of  Regulation  (EU)  No 
182/2011 shall apply. 

Where the opinion of the committee referred to in paragraph 2 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 10 
Exercise of the delegation 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article. 

The  power  to  adopt  delegated  acts  shall  be  conferred  on  the  Commission  for  an 
indeterminate period of time from the entry into force of this Decision. 

The delegation of power may be revoked at any time by the Council. A decision of 
revocation 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. 

As soon as it adopts a delegated act, the Commission shall notify it to the Council. 

A delegated act 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. 

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. 

16 

OJ L 55, 28.2.2011, p. 13. 

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Article 11 
Repeal and transitional provisions 

1. 

2. 

3. 

Decisions 
2006/975/EC are repealed with effect from 1 January 2014. 

2006/971/EC, 

2006/972/EC, 

2006/973/EC, 

2006/974/EC 

and 

However, actions initiated under Decisions referred to in paragraph 1  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 shall 
be undertaken by the Committee referred to in Article 9 of this Decision. 

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. 

Article 12 
Entry into force 

This  Decision  shall  enter  into  force  on  the  third  day  following  that  of  its  publication  in  the 
Official Journal of the European Union. 

Article 13 

This Decision is addressed to the Member States. 

Done at Brussels, 

For the Council 
The President 

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ANNEX I 
Broad lines of the activities 

Common elements for the indirect actions 

1. 

PROGRAMMING 

1.1. 

General 

Regulation (EU) No XX/2012 (Horizon 2020) provides a set of principles in order to foster a 
programmatic approach whereby activities contribute in a strategic and integrated way to its 
objectives  and  in  order  to  ensure  strong  complementarities  with  other  related  policies  and 
programmes across the Union. 

The  indirect  actions  of  Horizon  2020  will  be  implemented  through  the  forms  of  funding 
provided  for  in  the  Financial  Regulation,  in  particular  grants,  prizes,  procurement  and 
financial  instruments.  All  forms  of  funding  will  be  used  in  a  flexible  manner  across  all  of 
Horizon 2020's general and specific objectives, with their use being determined on the basis 
of the needs and the specificities of the particular specific objective.  

Particular attention will be paid to ensuring a broad approach to innovation, which is not only 
limited  to  the  development  of  new  products  and  services  on  the  basis  of  scientific  and 
technological breakthroughs, but which also incorporates aspects such as the use of existing 
technologies  in  novel  applications,  continuous  improvement,  non-technological  and  social 
innovation.  Only  a  holistic  approach  to  innovation  can  at  the  same  time  tackle  societal 
challenges and give rise to new competitive businesses and industries. 

For  the  societal  challenges  and  the  enabling  and  industrial  technologies  in  particular,  there 
will be a particular emphasis on supporting activities which operate close to the end-users and 
the market, such as demonstration, piloting or proof-of-concept. This will also include, where 
appropriate, activities in support of social innovation, and support to demand side approaches 
such  as  pre-standardisation  or  pre-commercial  procurement,  procurement  of  innovative 
solutions, standardisation and other user-centered measures to help accelerate the deployment 
and diffusion of innovative  products  and services into the market. In addition,  there will be 
sufficient room for bottom-up approaches and open, light and fast schemes under each of the 
challenges  and  technologies  to  provide  Europe's  best  researchers,  entrepreneurs  and 
enterprises with the opportunity to put forward breakthrough solutions of their choice. 

Detailed  priority  setting  during  implementation  of  Horizon  2020  will  entail  a  strategic 
approach  to  programming  of  research,  using  modes  of  governance  aligning  closely  with 
policy development yet cutting across the boundaries of traditional sectoral policies. This will 
be based on sound evidence, analysis and foresight, with progress measured against a robust 
set  of  performance  indicators.  This  cross-cutting  approach  to  programming  and  governance 
will  allow  effective  coordination  between  all  of  Horizon  2020's  specific  objectives  and  will 
allow to address challenges which cut across them, such as for instance sustainability, climate 
change or marine sciences and technologies. 

Priority  setting  will  equally  be  based  on  a  wide  range  of  inputs  and  advice.  It  will  include, 
where  appropriate,  groups  of  independent  experts  set  up  specifically  to  advise  on  the 

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implementation of Horizon 2020 or any of its specific objectives. These experts group shall 
show the appropriate level of expertise and knowledge in the covered areas and a variety of 
professional backgrounds, including industry and civil society involvement. 

Priority  setting  may  also  take  into  account  the  strategic  research  agendas  of  European 
Technology  Platforms  or  inputs  from  the  European  Innovation  Partnerships.  Where 
appropriate,  public-public  partnerships  and  public-private  partnerships  supported  through 
Horizon 2020 will also contribute to the priority setting process and to the implementation, in 
line  with  the  provisions  laid  down  in  Horizon  2020.  Regular  interactions  with  end-users, 
citizens and civil society organisations, through appropriate methodologies such as consensus 
conferences,  participatory  technology  assessments  or  direct  engagement  in  research  and 
innovation processes, will also be a cornerstone of the priority setting process. 

As Horizon 2020 is a programme for seven years, the economic, societal and policy context in 
which it will operate may change significantly during its life-time. Horizon 2020 needs to be 
able to adapt to these changes. Under each of the specific objectives, there will therefore be 
the possibility to include support for activities beyond the descriptions set out below, where 
this is duly justified to address major developments, policy needs or unforeseen events.  

1.2. 

Social sciences and humanities 

Social  sciences  and  humanities  research  will  be  fully  integrated  into  each  of  the  general 
objectives  of  Horizon  2020.  This  will  include  ample  opportunities  for  supporting  such 
research  through  the  European  Research  Council,  the  Marie  Curie  actions  or  the  Research 
Infrastructures specific objective. 

Social sciences and humanities are also mainstreamed as an essential element of the activities 
needed  to  tackle  each  of  the  societal  challenges  to  enhance  their  impact.  This  includes: 
understanding  the  determinants  of  health  and  optimising  the  effectiveness  of  healthcare 
systems,  support  to  policies  empowering  rural  areas  and  promoting  informed  consumer 
choices,  robust  decision  making  on  energy  policy  and  in  ensuring  a  consumer  friendly 
European electricity grid, supporting evidence based transport policy and foresight, support to 
climate  change  mitigation  and  adaptation  strategies,  resource  efficiency  initiatives  and 
measures towards a green and sustainable economy. 

In  addition,  the  specific  objective  'Inclusive,  innovative  and  secure  societies'  will  support 
social sciences and humanities research into issues of a horizontal nature such as the creation 
of  smart  and  sustainable  growth,  social  transformations  in  European  societies,  social 
innovation, innovation in the public sector or the position of Europe as a global actor. 

1.3. 

Small and medium-sized enterprises (SMEs) 

Horizon  2020  will  encourage  and  support  the  participation  of  SMEs  in  an  integrated  way 
across all specific objectives. 

In accordance with Article 18 of Horizon 2020, dedicated measures as set out in the specific 
objective  'Innovation  in  SMEs'  (dedicated  SME  instrument)  shall  be  applied  in  the  specific 
objective  'Leadership  in  enabling  and  industrial  technologies'  and  Part  III  'Societal 
challenges'.  This  integrated  approach  is  expected  to  lead  to  around  15  %  of  their  total 
combined budgets going to SMEs. 

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1.4. 

Access to risk finance 

Horizon  2020  will  help  companies  and  other  types  of  organisation  gain  access  to  loans, 
guarantees and equity finance via two facilities.  

The  debt  facility  will  provide  loans  to  single  beneficiaries  for  investment  in  research  and 
innovation; guarantees to financial beneficiaries making loans to beneficiaries; combinations 
of loans and guarantees, and guarantees or counter-guarantees for national and regional debt-
financing  schemes.  It  will  include  an  SME  window  targeting  R&I-driven  SMEs  with  loan 
amounts  that  complement  finance  to  SMEs  by  the  Loan  Guarantee  Facility  under  the 
Programme for the Competitiveness of Enterprises and SMEs. 

The equity facility will provide venture and/or mezzanine capital to individual enterprises in 
the early stage (start-up window). The facility will also have the possibility to make expansion 
and  growth-stage  investments  in  conjunction  with  the  Equity  Facility  for  Growth  under  the 
Programme for the Competitiveness of Enterprises and SMEs, including in funds-of-funds.  

These facilities will be central to the specific objective 'Access to risk finance' but may, where 
relevant, also be used across all other specific objectives of Horizon 2020. 

The equity facility and the SME window of the debt facility will be implemented as part of 
two EU Financial Instruments that provide equity and debt to support SMEs' R&I and growth, 
in  conjunction  with  the  equity  and  debt  facilities  under 
the 
Competitiveness of Enterprises and and SMEs. 

the  Programme  for 

1.5. 

Communication and dissemination 

A key added value of research and innovation funded at the Union level is the possibility to 
disseminate  and  communicate  results  on  a  continent  wide  scale  to  enhance  their  impact. 
Horizon 2020 will therefore include, under all of its specific objectives, dedicated support to 
dissemination  (including  through  open  access  to  research  results),  communication  and 
dialogue actions, with a strong emphasis on communicating results to end-users, citizens, civil 
society organisations, industry and policy makers. To this extent, Horizon 2020 may make use 
of networks  for information  transfer.  Communication activities undertaken in the context of 
Horizon  2020  will  also  seek  to  raise  public  awareness  on  the  importance  of  research  and 
innovation by means of publications, events, knowledge repositories, databases, websites or a 
targeted use of social media.  

2. 

INTERNATIONAL COOPERATION 

International  cooperation  with  partners  in  third  countries  is  necessary  to  address  effectively 
many  specific  objectives  defined  in  Horizon  2020,  in  particular  those  relating  to  Union 
external  policies  and  international  commitments.  This  is  the  case  for  all  the  societal 
challenges addressed by Horizon 2020, which are global in nature. International cooperation 
is also essential for frontier and basic research in order to capture the benefits from emerging 
science and technology opportunities. Promoting researchers and innovation staff mobility at 
an international scale is therefore crucial to enhance this global cooperation. Activities at the 
international level are equally important to enhance the competitiveness of European industry 
by  promoting  the  take-up  and  trade  of  novel  technologies,  for  instance  through  the 
development  of  worldwide  standards  and  interoperability  guidelines,  and  by  promoting  the 
acceptance and deployment of European solutions outside Europe.  

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The  focus  of  international  cooperation  in  Horizon  2020  will  be  on  cooperation  with  three 
major country groupings:  

(1) 

(2) 

(3) 

industrialised and emerging economies; 

enlargement and neighbourhood countries; and  

developing countries. 

Where appropriate, Horizon 2020 will promote cooperation at regional or multilateral level. 
International  cooperation  in  research  and  innovation  is  a  key  aspect  of  the  Union’s  global 
commitments  and  has  an  important  role  to  play  in  the  Union’s  partnership  with  developing 
countries,  such  as  progressing  towards  the  achievement  of  the  Millennium  Development 
Goals. 

Article  21  of  Horizon  2020  sets  out  the  general  principles  for  participation  of  organisations 
from  third  countries  and  international  organisations.  As  research  and  innovation  in  general 
benefit largely from an openness towards third countries, Horizon 2020 will continue with the 
principle  of  general  openness,  while  encouraging  reciprocal  access  to  third  country 
programmes. For a number of areas, however, a more cautious approach may be advisable to 
safeguard European interest. 

In  addition,  a  range  of  targeted  actions  will  be  implemented  taking  a  strategic  approach  to 
international cooperation on the basis of common interest and mutual benefit and promoting 
coordination and synergies with Member States activities. This will include a mechanism for 
supporting  joint  calls  and  the  possibility  of  co-funding  programmes  together  with  third 
countries or international organisations. 

Examples of areas where such strategic international cooperation may be developed are: 

(a) 

(b) 

(c) 

(d) 

(e) 

The  continuation  of  the  European  and  Developing  Countries  Clinical  Trials 
Partnership  (EDCTP2)  on  clinical  trials  for  medical  interventions  against  HIV, 
malaria and tuberculosis; 

Support  by  way  of  an  annual  subscription  to  the  Human  Science  Frontier 
Programme  (HSFP)  to  allow  non-G7  Member  States  of  the  Union  to  fully  benefit 
from the funding provided by the HSFP; 

International  consortium  on  rare  diseases,  with  a  number  of  Union  Member  States 
and third countries. The aim of this initiative is to develop by 2020, diagnostic tests 
for most rare diseases and 200 new therapies for rare diseases; 

Support to the activities of the International Knowledge-Based Bio-Economy Forum 
and the EU-US Task Force on Biotechnology Research as well as collaborative links 
with  relevant  international  organisations  and  initiatives  (such  as  global  research 
alliances on agricultural greenhouse gases and on animal health) ; 

Contribution to multilateral processes and initiatives, such as the Intergovernmental 
Panel  on  Climate  Change  (IPCC),  the  Intergovernmental  Platform  on  Biodiversity 
and Ecosystem Services (IPBES), and the Group on Earth Observations (GEO); 

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(f) 

The  Space  Dialogues  between  the  Union  and  the  United  States  of  America  and 
Russia, the two major space faring nations, is an extremely valuable one and forms 
the basis for the establishment of strategic cooperation in space partnerships such as 
the International Space Station or launchers, and collaboration in cutting edge space 
RTD projects. 

3. 

COMPLEMENTARITIES AND CROSS-CUTTING ACTIONS  

Horizon 2020 is structured around the objectives defined for its three major parts: generating 
excellent  science,  creating  industrial  leadership  and  tackling  societal  challenges.  Particular 
attention  will  be  paid  to  ensuring  adequate  coordination  between  these  parts  and  fully 
exploiting the synergies generated between all specific objectives to maximise their combined 
impact  on  the  higher  level  policy  objectives  of  the  Union.  The  objectives  of  Horizon  2020 
will  therefore  be  addressed  through  a  strong  emphasis  on  finding  efficient  solutions,  going 
well beyond an approach based simply on traditional scientific and technological disciplines 
and economic sectors.  

Cross-cutting  actions  will  be  promoted  between  Part  I  'Excellent  science'  and  the  societal 
challenges  and  the  enabling  and  industrial  technologies  to  develop  jointly  new  knowledge, 
future  and  emerging  technologies,  research  infrastructures  and  key  competences.  Research 
infrastructures  will  also  be  leveraged  for  broader  usage  in  society,  for  example  in  public 
services, promotion of science, civil security and culture. Furthermore, priority setting during 
implementation  for  the  direct  actions  of  the  Joint  Research  Centre  and  the  activities  of  the 
European Institute of Innovation and Technology (EIT) will be adequately coordinated with 
the other parts of Horizon 2020.  

Furthermore, in many cases, contributing effectively to the objectives of Europe 2020 and the 
Innovation Union will require solutions to be developed which are interdisciplinary in nature 
and therefore cut across multiple specific objectives of Horizon 2020. Particular attention will 
be given to responsible research and innovation. Gender will be addressed as a cross-cutting 
issue  in  order  to  rectify  imbalances  between  women  and  men,  and  to  integrate  a  gender 
dimension  in  research  and  innovation  programming  and  content.  Horizon  2020  includes 
specific  provisions  to  incentivise  such  cross-cutting  actions,  including  by  an  efficient 
bundling of budgets. This includes also for instance the possibility for the societal challenges 
and  enabling  and  industrial  technologies  to  make  use  of  the  provisions  for  financial 
instruments and the dedicated SME instrument. 

Cross-cutting  action  will  also  be  vital  in  stimulating  the  interactions  between  the  societal 
challenges  and  the  enabling  and  industrial  technologies  needed  to  generate  major 
technological breakthroughs. Examples of where such interactions may be developed are: the 
domain  of  eHealth,  smart  grids,  intelligent  transport  systems,  mainstreaming  of  climate 
actions, nanomedicine, advanced materials for lightweight vehicles or the development of bio-
based industrial processes and products. Strong synergies will therefore be fostered between 
the societal challenges and the development of generic enabling and industrial technologies. 
This  will  be  explicitly  taken  into  account  in  developing  the  multi-annual  strategies  and  the 
priority  setting  for  each  of  these  specific  objectives.  It  will  require  that  stakeholders 
representing the different perspectives are fully involved in the implementation and in many 
cases,  it  will  also  require  actions  which  bring  together  funding  from  the  enabling  and 
industrial technologies and the societal challenges concerned.  

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Particular attention will also be paid to the coordination of activities funded through Horizon 
2020  with  those  supported  under  other  Union  funding  programmes,  such  as  the  Common 
Agricultural  Policy,  the  Common  Fisheries  Policy  or  the  Erasmus  For  All:  the  Union's 
programme for Education, Training, Youth and Sport or the Health for Growth Programme. 
This  includes  an  appropriate  articulation  with  the  Cohesion  policy  funds,  where  support  to 
capacity  building  for  research  and  innovation  at  regional  level  may  act  as  a  'stairway  to 
excellence', the establishment of regional centres of excellence may help close the innovation 
divide  in  Europe  or  support  to  large-scale  demonstration  and  pilot  line  projects  may  aid  in 
achieving the objective of generating industrial leadership in Europe. 

4. 

PARTNERING 

For  achieving  sustainable  growth  in  Europe,  the  contribution  of  public  and  private  players 
must  be  optimised.  This  is  essential  for  consolidating  the  European  Research  Area  and  for 
delivering  on  the  Innovation  Union,  the  Digital  Agenda  and  other  Europe  2020  flagship 
initiatives.  Furthermore,  responsible  research  and  innovation  requires  that  best  solutions  be 
derived from interactions between partners having various perspectives but common interests. 

Horizon 2020 includes scope and a clear set of criteria for setting up public-public and public-
private  partnerships.  Public-private  partnerships  can  be  based  on  a  contractual  arrangement 
between public and private actors and can in limited cases be institutionalised public-private 
partnerships (such as Joint Technology Initiatives and other Joint Undertakings). 

Existing  public-public  and  public-private  partnerships  may  receive  support  from  Horizon 
2020,  provided  they  address  Horizon  2020  objectives,  they  meet  the  criteria  laid  down  in 
Horizon  2020  and  they  have  shown  to  make  significant  progress  under  the  Seventh 
Framework Programme for Research, Technological Development and Demonstration (FP7).  

Initiatives under Article 185 of the Treaty supported under FP6 and/or FP7 for which further 
support may be provided under the above conditions include: the European and Developing 
Countries Clinical Trials Partnership (EDCTP), Ambient Assisted Living (AAL), Baltic Sea 
Research  and  Development  Programme  (BONUS),  Eurostars  and  the  European  Metrology 
Research Programme. Further support may also be provided to the European Energy Research 
Alliance (EERA) established under the Strategic Energy Technology Plan (SET Plan). 

Joint  Undertakings  established  in  FP7  under  Article  187  of  the  Treaty,  for  which  further 
support may be provided under the above conditions are: the Innovative Medicines Initiative 
(IMI), Clean Sky, Single European Sky ATM Research (SESAR), Fuel Cells and Hydrogen 
(FCH),  and  Embedded  computing  systems  (ARTEMIS)  and  Nanoelectronics  (ENIAC).  The 
latter two may be combined into a single initiative. 

Other  public-private  partnerships  supported  under  FP7  for  which  further  support  may  be 
provided under the above conditions are: Factories of the Future, Energy-efficient Buildings, 
European Green Cars Initiative, Future Internet. Further support may also be provided to the 
European Industrial Initiatives (EIIs) established under the SET Plan. 

Further  public-public  partnerships  and  public-private  partnerships  may  be  launched  under 
Horizon  2020  where  they  meet  the  defined  criteria.  This  may  include  partnerships  on 
Information  and  Communication  Technologies  in  the  areas  of  Photonics  and  Robotics,  on 

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sustainable  process  industries,  on  bio-based  industries  and  on  security  technologies  for 
maritime border surveillance. 

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Part I  

Excellent Science 

1. 

EUROPEAN RESEARCH COUNCIL 

The European Research Council (ERC) will promote world class frontier research. Research 
at and beyond the frontiers of current understanding is both of critical importance to economic 
and  social  welfare,  and  an  intrinsically  risky  venture,  progressing  on  new  and  most 
challenging research areas and characterised by an absence of disciplinary boundaries. 

In order to stimulate substantial advances at the frontiers of knowledge, the ERC will support 
individual  teams  to  carry  out  research  in  any  field  of  basic  scientific  and  technological 
research which falls within the scope of Horizon 2020, including engineering, social sciences 
and  the  humanities.  As  appropriate,  specific  research  topics  or  target  groups  (e.g.  new 
generation researchers/emerging teams) may be taken into account, following the objectives 
of  the  ERC  and  needs  for  efficient  implementation.  Particular  attention  will  be  paid  to 
emerging  and  fast-growing  areas  at  the  frontier  of  knowledge,  and  at  the  interface  between 
disciplines. 

Independent  researchers  of  any  age,  including  starting  researchers  making  the  transition  to 
being independent research leaders in their own right, from any country in the world will be 
supported to carry out their research in Europe.  

An  "investigator-driven"  approach  will  be  followed.  This  means  that  the  ERC  will  support 
projects  carried  out  by  researchers  on  subjects  of  their  choice  within  the  scope  of  calls  for 
proposals.  Proposals  will  be  evaluated  on  the  sole  criterion  of  excellence  as  judged  by  peer 
review,  taking  account  of  excellence  in  new  groups,  new  generation  researchers,  as  well  as 
established  teams,  and  paying  particular  attention  to  proposals  which  are  highly  pioneering 
and involve correspondingly high scientific risks. 

The ERC will operate as a science-led funding body consisting of an independent Scientific 
Council, supported by a lean and cost-effective dedicated implementation structure.  

The  ERC  Scientific  Council  will  establish  the  overall  scientific  strategy  and  will  have  full 
authority over decisions on the type of research to be funded.  

The Scientific Council will establish the work programme to meet the ERC's objectives based 
on  its  scientific  strategy  as  below.  It  will  establish  the  necessary  international  cooperation 
initiatives  in  line  with  its  scientific  strategy,  including  outreach  activities  to  increase  the 
visibility of the ERC for the best researchers from the rest of the world. 

The Scientific Council will continuously monitor the operation of the ERC and consider how 
best to achieve its broader objectives. It will develop the ERC's mix of support measures as 
necessary to respond to emerging needs. 

The ERC will aim for excellence in its own operations. The administrative and staffing costs 
for the ERC relating to the Scientific Council and dedicated implementation structure will be 

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consistent with lean and cost-effective management. Administrative expenditure will be kept 
to  a  minimum,  consistent  with  ensuring  the  resources  necessary  for  world  class 
implementation, in order to maximise funding for frontier research.  

ERC awards will be made and grants operated according to simple procedures that maintain 
the focus on excellence, encourage initiative and combine flexibility with accountability. The 
ERC will continuously look for further ways to simplify and improve its procedures in order 
to ensure that these principles are met. 

Given  the  unique  structure  and  role  of  the  ERC  as  a  science-led  funding  body  the 
implementation and management of the activities of the ERC will be reviewed and evaluated 
on  an  ongoing  basis  with  the  full  involvement  of  the  Scientific  Council  to  assess  its 
achievements and to adjust and improve procedures and structures on the basis of experience.  

1.1. 

The Scientific Council 

In order to carry out its tasks, as set out in Article 7, the Scientific Council will: 

(1) 

Scientific strategy: 

–  establish  the  overall  scientific  strategy  for  the  ERC,  in  the  light  of  scientific 

opportunities and European scientific needs; 

–  on  a  permanent  basis,  in  accordance  with  the  scientific  strategy,  ensure  the 
establishment  of  the  work  programme  and  necessary  modifications,  including 
calls for proposals and criteria and, as may be required, the definition of specific 
topics or target groups (e.g. starting /emerging teams); 

(2) 

Scientific management, monitoring and quality control: 

–  as  appropriate, 

from  a 

scientific  perspective,  establish  positions  on 
implementation  and  management  of  calls  for  proposals,  evaluation  criteria,  peer 
review processes including the selection of experts, the methods for peer review 
and proposal evaluation and the necessary implementing rules and guidelines, on 
the  basis  of  which  the  proposal  to  be  funded  will  be  determined  under  the 
supervision  of  the  Scientific  Council;  as  well  as  any  other  matter  affecting  the 
achievements  and  impact of the ERC's  activities, and  the  quality  of  the  research 
carried  out,  including  the  principal  provisions  of  the  ERC  Model  Grant 
Agreement; 

–  monitor quality of operations and evaluate implementation and achievements and 

make recommendations for corrective or future actions. 

(3) 

Communication and dissemination: 

–  assure communication with the scientific community and key stakeholders on the 

ERC's activities and achievements; 

–  regularly report to the Commission on its own activities. 

The Scientific Council has full authority over decisions on the type of research to be funded 
and is the guarantor of the quality of the activity from the scientific perspective. 

Where  appropriate,  the  Scientific  Council  shall  consult  with  the  scientific,  engineering  and 
scholarly Community. 

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The  members  of  the  Scientific  Council  shall  be  compensated  for  the  tasks  they  perform  by 
means  of  an  honorarium  and,  where  appropriate,  reimbursement  of  travel  and  subsistence 
expenses. 

The  ERC  President  will  reside  in  Brussels  for  the  duration  of  the  appointment  and  devote 
most of his/her time17 to ERC business. He/she will be remunerated at a level commensurate 
with the Commission's top management. 

The  Scientific  Council  shall  elect  from  amongst  its  members  three  Vice-Chairs  who  shall 
assist the President in its representation and the organisation of its work. They may also hold 
the title of Vice-President of the European Research Council. 

Support  will  be  provided  to  the  three  Vice  Chairs  to  ensure  adequate  local  administrative 
assistance at their home institutes. 

1.2. 

Dedicated implementation structure 

The  dedicated  implementation  structure  will  be  responsible  for  all  aspects  of  administrative 
implementation and programme execution, as provided for in the work programme. It will, in 
particular,  implement  the  evaluation  procedures,  peer  review  and  selection  process  in 
accordance  with  the  strategy  established  by  the  Scientific  Council  and  will  ensure  the 
financial and scientific management of the grants.  

The dedicated implementation structure will support the Scientific Council in the conduct of 
all  of  its  tasks  as  set  out  above,  provide  access  to  the  necessary  documents  and  data  in  its 
possession, and keep the Scientific Council informed of its activities. 

In order to ensure an effective liaison with the dedicated implementation structure on strategy 
and  operational  matters,  the  leadership  of  the  Scientific  Council  and  the  Director  of  the 
dedicated implementation structure will hold regular coordination meetings.  

The management of the ERC will be carried out by staff recruited for that purpose, including 
where necessary, officials from Union institutions, and will cover only the real administrative 
needs in order to assure the stability and continuity necessary for an effective administration. 

1.3. 

Role of the Commission 

In order to fulfil its responsibilities as set out in Articles 6, 7 and 8 the Commission will: 

– 

– 

– 

ensure the continuity and renewal of the Scientific Council and provide support 
for  a  standing  Identification  Committee  for  the  identification  of  future 
Scientific Council members; 

ensure  the  continuity  of  the  dedicated  implementation  structure  and  the 
delegation of tasks and responsibilities to it taking into account the views of the 
Scientific Council; 

appoint  the  Director  and  the  Senior  Staff  of  the  dedicated  implementation 
structure taking into account the views of the Scientific Council; 

17 

In principle at least 80% 

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– 

– 

ensure  the  timely  adoption  of  the  work  programme,  the  positions  regarding 
implementing methodology and the necessary implementing rules as provided 
by the ERC Rules of Submission and the ERC Model Grant Agreement, taking 
into account the positions of the Scientific Council; 

regularly inform the programme committee on the implementation of the ERC 
activities. 

2. 

FUTURE AND EMERGING TECHNOLOGIES 

Future  and  Emerging  Technologies  (FET)  activities  will  concretise  different  logics  of 
intervention, from completely open to varying degrees of structuring of topics, communities 
and funding, structured around three pillars: 

2.1. 

FET Open: fostering novel ideas  

Supporting a large set of embryonic, high risk visionary science and technology collaborative 
research projects is necessary for the successful exploration of new foundations for radically 
new  future  technologies.  By  being  explicitly  non–topical  and  non-prescriptive,  this  activity 
allows for new ideas, whenever they arise and wherever they come from, within the broadest 
spectrum  of  themes  and  disciplines.  Nurturing  such  fragile  ideas  requires  an  agile,  risk-
friendly  and  highly  interdisciplinary  research  approach,  going  well  beyond  the  strictly 
technological realms. Attracting and stimulating the participation of new high-potential actors 
in research and innovation, such as young researchers and high-tech SMEs is also important 
for nurturing the scientific and industrial leaders of the future. 

2.2. 

FET Proactive: nurturing emerging themes and communities  

Novel  areas  and  themes  need  to  be  matured,  by  working  towards  structuring  emerging 
communities and supporting the design and development of transformative research themes. 
The main benefits of this structuring yet explorative approach are emerging novel areas that 
are not yet ready for inclusion in industry research roadmaps, and building up and structuring 
of research communities around them. It makes the step from collaborations between a small 
number of researchers, to a cluster of projects that each address aspects of a research theme 
and exchange results. 

2.3. 

FET  Flagships:  tackling  grand  interdisciplinary  science  and  technology 
challenges 

Research  initiatives  within  this  challenge  are  science-driven,  large-scale,  multidisciplinary 
and  built  around  a  visionary  unifying  goal.  They  tackle  grand  science  and  technology 
challenges requiring cooperation among a range of disciplines, communities and programmes. 
The  scientific  advance  should  provide  a  strong  and  broad  basis  for  future  technological 
innovation and economic exploitation, as well as novel benefits for society. The overarching 
nature and magnitude implies that they can only be realised through a federated and sustained 
effort (in the order of 10 years duration).  

Activities  in  the  three  FET  pillars  are  complemented,  by  a  wide  range  of  networking  and 
community-based activities for creating a fertile and vibrant European base for science-driven 
research towards future technologies. They will support the future developments of the FET 
activities, foster the debate on implications of new technologies, and accelerate impact. 

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2.4. 

Specific implementation aspects 

A  FET  Advisory  Board  will  provide  stakeholder  input  on  the  overall  scientific  strategy, 
including the definition of the work programme. 

FET  will  continue  to  be  science-led  supported  by  a  light  and  efficient  implementation 
structure.  Simple  administrative  procedures  will  be  adopted  to  maintain  the  focus  on 
excellence  in  science-driven  technological  innovation,  encourage  initiative  and  combine 
flexibility with accountability. The most appropriate approaches will be used for probing the 
FET  research  landscape  (e.g.,  for  portfolio  analysis)  and  for  involving  communities  of 
stakeholders  (e.g.,  for  consultations).  The  aim  will  be  for  continuous  improvement,  and  the 
search  for  further  ways  to  simplify  and  improve  procedures  in  order  to  ensure  that  these 
principles are met. Assessments of the effectiveness and impact of the FET activities will be 
carried out, complementing those at programme level. 

Given  its  mission  of  fostering  science-driven  research  towards  future  technologies,  FET 
strives to bring together actors from science, technology and innovation. FET should therefore 
play  an  active  and  catalytic  role  in  stimulating  new  thinking,  new  practices  and  new 
collaborations.  

FET-Open  groups  activities  for  an  entirely  bottom  up  search  for  promising  new  ideas.  The 
high-risk  implied  by  each  such  idea  is  countered  by  exploring  many  of  them.  Efficiency  in 
terms  of  time  and  resources,  low  opportunity  cost  for  the  proposers,  and  undisputable 
openness to non-conventional and interdisciplinary ideas are the key characteristics for these 
activities.  Light-and-fast  continuously  open  submission  schemes  will  seek  for  high-risk 
promising new research ideas and will include tracks for new and  high potential innovation 
actors such as young researchers and high tech SMEs. It will be complemented with activities 
to actively stimulate creative out-of-the-box thinking.  

FET  proactive:  this  activity  regularly  opens  calls  on  several  high-risk,  high-potential 
innovative themes, funded at such a level that several projects can be selected. These projects 
will  be  supported  by  community  building  actions  that  foster  activities  such  as  joint  events, 
development of new curricula and research roadmaps. The selection of themes will take into 
account  excellence  in  science-driven  research  towards  future  technologies,  potential  for 
creating a critical mass and impact on science and technology.  

A number of large scale focused initiatives (FET Flagships) will be implemented. They will 
be  based  on  partnerships  that  enable  combining  Union,  national  and  private  contributions, 
with a balanced governance that allows programme owners to have appropriate influence, as 
well as a large degree of autonomy and flexibility in the implementation, enabling the flagship 
to follow closely a broadly supported research roadmap. The selection will take into account 
the  unifying  goal,  the  impact,  integration  of  stakeholders  and  resources  under  a  cohesive 
research roadmap and support from stakeholders and national/regional research programmes 

3. 

MARIE CURIE ACTIONS 

3.1. 

Fostering new skills by means of excellent initial training of researchers  

Europe needs a strong and creative human resource base, mobile across countries and sectors, 
with  the  right  combination  of  skills  to  innovate  and  to  convert  knowledge  and  ideas  into 
products and services for economic and social benefit. 

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This will be achieved in particular by structuring and raising excellence in a substantial share 
of  the  high-quality  initial  training  of  early  stage  researchers  and  doctoral  candidates 
throughout Member states and associated countries. By equipping early stage researchers with 
a  diversity  of  skills  that  will  allow  them  to  face  current  and  future  challenges,  the  next 
generation  of  researchers  will  benefit  from  enhanced  career  perspectives  in  both  public  and 
private sectors, thereby enhancing also the attraction of young people to research careers.  

The  action  will  be  implemented  through  support  to  Union-wide  competitively  selected 
research  training  programmes  implemented  by  partnerships  of  universities,  research 
institutions,  businesses,  SMEs  and  other  socio-economic  actors  from  different  countries 
across Europe and beyond. Single institutions able to provide the same enriching environment 
will  also  be  supported.  Flexibility  in  the  implementation  of  the  objectives  will  have  to  be 
ensured in order to address the different needs. Typically, successful partnerships will take the 
form  of  research  training  networks  or  industrial  doctorates,  while  single  institutions  will 
usually be involved in innovative doctoral programmes. In this frame, support is foreseen for 
the best early stage researchers from any country to join these excellent programmes. 

These  training  programmes  will  address  the  development  and  broadening  of  core  research 
competences,  while  equipping  researchers  with  a  creative  mind,  an  entrepreneurial  outlook 
and innovation skills that will match the future needs of the labour market. The programmes 
will also provide training in transferable competences such as team-work, risk-taking, project 
management,  standardisation,  entrepreneurship,  ethics,  IPR,  communication  and  societal 
outreach which are essential for the generation, development, commercialisation and diffusion 
of innovation.  

3.2. 

Nurturing excellence by means of cross-border and cross-sector mobility 

Europe has to be attractive for the best researchers, European and non-European. This will be 
achieved  in  particular  by  supporting  attractive  career  opportunities  for  experienced 
researchers  in  both  public  and  private  sectors,  and  encouraging  them  to  move  between 
countries, sectors and disciplines to enhance their creative and innovative potential.  

Funding  will  be  given  to  the  best  or  most  promising  experienced  researchers,  regardless  of 
their  nationality,  who  want  to  develop  their  skills  through  a  trans-national  or  international 
mobility  experience.  They  can  be  supported  along  all  the  different  stages  of  their  career, 
including the most junior ones just after their doctoral degree or equivalent experience. These 
researchers will receive funding on the condition that they move from one country to another 
to  broaden  or  deepen  their  competences  in  universities,  research  institutions,  businesses, 
SMEs  or  other  socio-economic  actors  of  their  choice,  working  on  research  and  innovation 
projects fitting their personal needs and interests. They will also be encouraged to move from 
public  to  private  sector  or  vice-versa  through  the  support  of  temporary  postings.  Part-time 
opportunities  allowing  combined  positions  in  both  public  and  private  sectors  will  also  be 
supported  to  enhance  the  transfer  of  knowledge  between  sectors  and  also  encourage  the 
creation of start-ups. Such tailor-made research opportunities will help promising researchers 
to become fully independent and to facilitate career moves between public and private sectors. 

In order to fully exploit the existing potential of researchers, possibilities to restart a research 
career after a break will also be supported. 

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3.3. 

Stimulating innovation by means of cross-fertilisation of knowledge  

Societal  challenges  are  becoming  more  and  more  global  and  cross-border  and  cross-sector 
collaborations  are  crucial  to  successfully  face  them.  Sharing  of  knowledge  and  ideas  from 
research  to  market  is  therefore  vital  and  can  only  be  achieved  through  the  connection  of 
people.  This  will  be  promoted  through  the  support  of  flexible  exchanges  of  highly  skilled 
research and innovation staff between sectors, countries and disciplines. 

European funding will support short term exchanges of research and innovation staff within 
partnerships of universities, research institutions, businesses, SMEs and other socio-economic 
actors among Europe, as well as between Europe and third countries to reinforce international 
cooperation. It will be open to research and innovation staff at all career levels, from the most 
junior  (post-graduate)  to  the  most  senior  (management),  including  also  administrative  and 
technical staff.  

3.4. 

Increasing structural impact by co-funding the activities 

Stimulating  regional,  national  or  international  programmes  to  foster  excellence  and  spread 
best  practices  of  Marie  Curie  Actions  in  terms  of  European-wide  mobility  possibilities  for 
researchers training, career development and staff exchange will increase the numerical and 
structural impact of Marie Curie Actions. This will also enhance the attractiveness of centres 
of excellence across Europe. 

This  will  be  achieved  by  co-funding  new  or  existing  regional,  national,  private  and 
international  programmes  to  open-up  to  and  provide  for  international,  intersectoral  and 
interdicisplinary  research  training,  as  well  as  cross-border  and  cross-sector  mobility  of 
researchers and innovation staff at all stages of their career. 

This will allow the exploitation of synergies between Union actions and those at regional and 
national  level,  combating  fragmentation  in  terms  of  objectives,  evaluation  methods  and 
working conditions of researchers. 

3.5. 

Specific support and policy actions  

To efficiently meet the challenge it will be essential to monitor progress. The programme will 
support the development of indicators and the analysis of data related to researchers' mobility, 
skills and careers with a view to identifying gaps in the Marie Curie actions and to increasing 
the impact of these actions. These activities will be implemented seeking synergies and close 
coordination  with  the  policy  support  actions  on  researchers,  their  employers  and  funders 
carried out under 'Inclusive, innovative and secure societies'. Specific actions will be funded 
to  support  initiatives  to  raise  awareness  on  the  importance  of  the  research  career,  and  to 
disseminate research and innovation results emanating from work supported by Marie Curie 
actions. 

To  further  increase  the  impact  of  the  Marie  Curie  actions,  the  networking  between  Marie 
Curie researchers (current and past) will be enhanced through a strategy of alumni services. 
These will range from supporting a forum for contact and exchange between the researchers, 
providing possibilities for exploring collaborations and job opportunities, to the organisation 
of  joint  events  and  the  involvement  of  the  fellows  in  outreach  activities  as  ambassadors  for 
Marie Curie actions and for the European Research Area. 

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3.6. 

Specific implementation aspects 

The Marie Curie actions will be open to training and career development activities within all 
domains  of  research  and  innovation  addressed  under  the  Treaty,  from  basic  research  up  to 
market take-up and innovation services. Research and innovation fields as well as sectors will 
be chosen freely by the applicants. 

To  benefit  from  the  worldwide  knowledge  base,  the  Marie  Curie  Actions  will  be  open  to 
researchers  and  innovation  staff,  as  well  as  to  universities,  research  institutions,  businesses 
and  other  socio-economic  actors  from  all  countries,  including  third  countries  under  the 
conditions defined in Regulation (EU) XX/2012 (Rules for Participation). 

Throughout  all  the  activities  described  above,  attention  will  be  paid  to  encourage  a  strong 
participation of enterprises, in particular SMEs, as well as other socio-economic actors for the 
successful implementation and impact of the Marcie Curie actions. A long-term collaboration 
between higher  education, research organisations and the private sector, taking into account 
the  protection  of  intellectual  property  rights,  is  promoted  throughout  all  the  Marie  Curie 
actions.  

The  possibility  is  retained,  if  specific  needs  arise,  to  target  certain  activities  under  the 
programme  regarding  specific  societal  challenges,  types  of  research  and  innovation 
institutions,  or  geographical  locations  in  order  to  respond  to  the  evolution  of  Europe's 
requirements in terms of skills, research training, career development and knowledge sharing. 

In order to be open to all sources of talent, general measures to overcome any distortions in 
the access to the grants will be ensured, for example by encouraging equal opportunities in all 
Marie Curie actions and by benchmarking gender participation. In addition, the Marie Curie 
actions will support researchers to get established on a more stable career path and to ensure 
that  they  can  achieve  an  appropriate  work/life  balance,  taking  into  account  their  family 
situation,  and  to  contribute  to  facilitate  resuming  a  research  career  after  a  break.  The 
principles of the European Charter for Researchers and Code of Conduct for the Recruitment 
of Researchers promoting open recruitment and attractive working conditions will have to be 
endorsed and applied by all the funded participants.  

To  further  enhance  dissemination  and  public  engagement,  beneficiaries  of  the  Marie  Curie 
actions  will  be  required  to  plan  suitable  outreach  activities  to  the  general  public.  This  plan 
will be assessed during the evaluation process as well as during the project follow-up. 

4. 

RESEARCH INFRASTRUCTURES 

The  activities  will  aim  at  developing  the  European  research  infrastructures  for  2020  and 
beyond,  fostering  their  innovation  potential  and  human  capital  and  reinforcing  European 
policy.  Coordination  with  the  cohesion  funding  sources  will  be  pursued  to  ensure  synergies 
and a coherent approach for the development of the research infrastructures.  

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4.1. 

Developing the European research infrastructures for 2020 and beyond 

4.1.1.  Developing new world-class research infrastructures18  

The  aim  is  to  ensure  the  implementation,  long-term  sustainability  and  efficient  operation  of 
the  research  infrastructures  identified  by  the  European  Strategy  Forum  on  Research 
Infrastructures (ESFRI) and other world-class research infrastructures, which will help Europe 
to  respond  to  grand  challenges  in  science,  industry  and  society.  This  objective  will  address 
specifically those infrastructures that are setting up or that have set up their governance, e.g. 
on  the  basis  of  the  European  Research  Infrastructure  Consortium  (ERIC)  or  any  equivalent 
structure at European or international level. 

The Union funding will contribute to, as appropriate:  

(a) 

(b) 

(c) 

the preparatory phase of future infrastructures (e.g. detailed construction plans, legal 
arrangements, multiannual planning);  

the implementation phase (e.g. R&D and engineering work jointly with industry and 
users,  development  of  regional  partner  facilities  aiming  at  a  more  balanced 
development of the European Research Area); and/or  

the operation phase (e.g. access, data handling,  outreach, training and international 
cooperation activities).  

This  activity  will  also  support  design  studies  for  new  research  infrastructures  through  a 
bottom-up approach. 

4.1.2. 

Integrating and opening existing national research infrastructures of pan-European 
interest  

The aim is to open up key national research infrastructures to all European researchers, from 
both academia and industry, and to ensure their optimal use and joint development.  

The  Union  will  support  networks  that  bring  together  and  integrate,  on  European  scale,  key 
national research infrastructures. Funding will be provided to support, in particular, the trans-
national  and  virtual  access  of  researchers  and  the  harmonisation  and  improvement  of  the 
services  the  infrastructures  provide.  Around  one  hundred  networks  of  infrastructures  in  all 
fields  of  science  and  technology  would  require  such  support,  with  up  to  twenty  thousands 
researchers per year benefitting from access to these facilities. 

18 

The ESFRI Roadmap includes around fifty infrastructures of key relevance for Europe (with estimated 
annual  operating  cost  of  two  billion  Euro)  covering  all  scientific  disciplines.  Other  European  world-
class  facilities  include  infrastructures  such  as  GÉANT  or  those  identified  in  the  CERN  European 
Strategy  for  Particle  Physics.  All  of  them  need  partnership  between  Member  States  and  long-term 
commitment for their implementation. 

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4.1.3.  Development, deployment and operation of ICT-based e-infrastructures19 

The aim is to achieve by 2020 a single and open European space for online research where 
researchers  enjoy  leading-edge,  ubiquitous  and  reliable  services  for  networking  and 
computing,  and  seamless  and  open  access  to  e-Science  environments  and  global  data 
resources. 

To  achieve  this  goal,  support  will  be  given  to:  global  research  and  education  networks 
providing  advanced,  standardised  and  scalable  inter-domain  services  on-demand;  grid  and 
cloud  infrastructures  providing  virtually  unlimited  computational  and  data  processing 
capacity; an ecosystem of supercomputing facilities, advancing towards exa-scale; a software 
and service infrastructure, e.g. for simulation and visualisation; real-time collaborative tools; 
and an interoperable, open and trusted scientific data infrastructure.  

4.2. 

Fostering the innovation potential of research infrastructures and their human 
capital 

4.2.1.  Exploiting the innovation potential of research infrastructures 

The goal is to stimulate innovation both in the infrastructures themselves and in their supplier 
and user industry.  

To this end, support will be provided to  

(a) 

(b) 

(c) 

(d) 

R&D partnerships with industry to develop Union capacities and industrial supply in 
high-tech areas such as scientific instrumentation or ICT;  

pre-commercial  procurement  by  research  infrastructure  actors  to  drive  forward 
innovation and act as early adopters of technologies;  

stimulate  the  use  of  research  infrastructures  by  industry,  e.g.  as  experimental  test 
facilities or knowledge-based centres; and  

encourage  the  integration  of  research  infrastructures  into  local,  regional  and  global 
innovation ecosystems 

The  Union  actions  will  also  leverage  the  use  of  research  infrastructures,  in  particular  e-
infrastructures, for public services, social innovation, culture and education.  

4.2.2. 

Strengthening the human capital of research infrastructures 

The complexity of research infrastructures and the exploitation of their full potential require 
adequate skills for their managers, engineers and technicians, as well as users. 

19 

As  all  research  becomes  computer-  and  data-intensive,  access  to  state  of  the  art  e-infrastructures  has 
become  essential  for  all  researchers.  For  example,  GÉANT  connects  40  million  users  in  over  8,000 
institutions  across  40  countries,  whereas  the  European  grid  infrastructure  is  the  world's  largest 
distributed computing infrastructure with over 290 sites in 50 countries. Relentless progress in ICT and 
the  increasing  needs  of  science  for  computing  and  processing  massive  amounts  of  data  pose  major 
financing and organisational challenges for ensuring seamless services to researchers. 

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The  Union  funding  will  support  the  training  of  staff  managing  and  operating  research 
infrastructures  of  pan-European  interest,  the  exchange  of  staff  and  best  practices  between 
facilities,  and  the  adequate  supply  of  human  resources  in  key  disciplines,  including  the 
emergence of specific education curricula.  

4.3. 

Reinforcing  European  research 
cooperation 

infrastructure  policy  and 

international 

4.3.1.  Reinforcing European policy for research infrastructures 

The  aims  are  to  exploit  synergies  between  national  and  Union  initiatives  by  setting  up 
partnerships between relevant policy makers and funding bodies (e.g. ESFRI, e-Infrastructure 
Reflection Group (e-IRG), EIROforum organisations, national public authorities), to develop 
infrastructures  and  activities 
complementarities  and  cooperation  between 
implementing  other  Union  policies  (such  as  regional,  cohesion, 
industrial,  health, 
employment,  or  development  policy),  and  to  ensure  coordination  between  different  Union 
funding  sources.  Union  actions  will  also  support  survey,  monitoring  and  assessment  of 
research infrastructures at Union level, as well as relevant policy studies and communication 
tasks. 

research 

4.3.2.  Facilitate strategic international cooperation 

The  aim  is  to  facilitate  the  development  of  global  research  infrastructures  i.e.  research 
infrastructures  that  require  funding  and  agreements  on  a  global  scale.  The  aim  is  also  to 
facilitate  the  cooperation  of  European  research  infrastructures  with  their  non-European 
counterparts,  ensuring  their  global  interoperability  and  reach,  and  to  pursue  international 
agreements on the reciprocal use, openness or co-financing of infrastructures. In this respect 
due account will be taken of the recommendations of the Carnegie Group of Senior Officials 
on  Global  Research  Infrastructures.  Attention  will  also  be  given  to  ensure  adequate  Union 
participation in coordination with international bodies such as the UN or the OECD. 

4.4. 

Specific implementation aspects 

During implementation independent expert groups will be consulted, as well as stakeholders 
and advisory bodies, such as ESFRI and the e-IRG.  

The implementation will follow a three-pronged approach: bottom-up where the exact content 
and partnership of projects are not known; targeted where the specific research infrastructures 
and/or communities addressed are well-defined; and named beneficiaries, for example where 
a contribution to operational costs is provided to (a consortium of) infrastructure operator(s). 

The objectives under the last two activities will be pursued through their own specific actions 
and, whenever appropriate, through the actions under the first activity. 

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Part II 

Industrial Leadership 

1. 

LEADERSHIP IN ENABLING AND INDUSTRIAL TECHNOLOGIES 

General 

The successful mastering and deployment of enabling technologies by European industry is a 
key  factor  in  strengthening  Europe's  productivity  and  innovation  capacity  and  ensuring 
Europe has an advanced, sustainable and competitive economy, global leadership in high-tech 
application 
societal 
challenges.Innovation  activities  will  be  combined  with  R&D,  as  an  integral  part  of  the 
funding. 

to  develop  unique 

sectors  and 

the  ability 

solutions 

for 

An integrated approach to Key Enabling Technologies  

A major component of 'Leadership in Enabling and Industrial Technologies' are Key Enabling 
Technologies  (KETs),  defined  as  micro-  and  nanoelectronics,  photonics,  nanotechnology, 
biotechnology, advanced materials and advanced manufacturing systems20. Many innovative 
products  incorporate  several  of  these  technologies  simultaneously,  as  single  or  integrated 
parts.  While  each  technology  offers  technological  innovation,  the  accumulated  benefit  from 
combining  a  number  of  enabling  technologies  can  also  lead  to  technological  leaps.  Tapping 
into  cross-cutting  key  enabling  technologies  will  enhance  product  competitiveness  and 
impact.  The  numerous  interactions  of  these  technologies  will  therefore  be  exploited. 
Dedicated support will be provided for larger-scale pilot line and demonstrator projects.  

This  will  include  cross-cutting  activities  that bring  together  and  integrate  various  individual 
technologies,  resulting  in  technology  validation  in  an  industrial  environment  to  a  complete 
and  qualified  system,  ready  for  the  market.  Strong  private  sector  involvement  in  such 
activities will be a prerequisite and implementation will therefore notably be through public 
private partnerships. To this extent and through a dedicated governance structure, a joint work 
programme for cross-cutting KETs activities will be developed. Taking into account market 
needs and the requirements of the societal challenges, it will aim at providing generic KETs 
building blocks for different application areas, including societal challenges.  

Specific implementation aspects 

Innovation activities will include the integration of individual technologies; demonstrations of 
capacities to make and deliver innovative products and services; user and customer pilots to 
prove feasibility and added value; and large-scale demonstrators to facilitate market take-up 
of the research results. 

Various  individual  technologies  will  be  integrated,  resulting  in  technology  validation  in  an 
industrial  environment  to  a  complete  and  qualified  system,  ready  for  the  market.  Strong 

20 

COM(2009)512 

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private  sector  involvement  in  such  activities  will  be  a  prerequisite,  notably  through  public-
private partnerships. 

Demand-side  actions  will  complement  the  technology  push  of  the  research  and  innovation 
initiatives.  These  include  making  the  best  use  of  public  procurement  of  innovation; 
developing appropriate technical standards; private demand and engaging users to create more 
innovation-friendly markets. 

For  nanotechnology  and  biotechnology  in  particular,  engagement  with  stakeholders  and  the 
general public will aim to raise the awareness of benefits and risks. Safety assessment and the 
management  of  overall  risks  in  the  deployment  of  these  technologies  will  be  systematically 
addressed. 

These  activities  will  complement  support  for  research  and  innovation  in  enabling 
technologies, which may be provided by national or regional authorities under the Cohesion 
Policy funds, within the framework of smart specialisation strategies. 

Strategic international cooperation initiatives will be pursued in areas of mutual interest and 
benefit  with  leading  partner  countries.  Of  particular,  but  not  exclusive,  interest  for  enabling 
and industrial technologies are 

– 

– 

– 

– 

– 

the development of global standards; 

removing bottlenecks in industrial exploitation and conditions for trade; 

the safety of nanotechnology-based and biotechnology-based products; 

the  development  of  materials  and  methods  to  reduce  energy  and  resource 
consumption; 

industry-led,  collaborative  international  initiatives  within  the  manufacturing 
community; and 

– 

the interoperability of systems. 

1.1. 

Information and Communication Technologies (ICT) 

A number of activity lines will target ICT industrial and technological leadership challenges 
and cover generic ICT research and innovation agendas, including notably: 

1.1.1.  A  new  generation  of  components  and  systems:  engineering  of  advanced  and  smart 

embedded components and systems  

The  objective  is  to  maintain  and  reinforce  European  leadership  in  technologies  related  to 
smart  embedded  components  and  systems.  It  also  includes  micro-nano-bio  systems,  organic 
electronics, large area integration, underlying technologies for the Internet of Things (IoT)21 
including  platforms  to  support  the  delivery  of  advanced  services,  smart  integrated  systems, 
systems of systems and complex systems engineering. 

21 

Internet of Things will be coordinated as a cross-cutting issue 

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1.1.2.  Next generation computing: advanced computing systems and technologies  

The  objective  is  to  leverage  European  assets  in  processor  and  system  architecture, 
interconnect  and  data  localisation  technologies,  cloud  computing,  parallel  computing  and 
simulation software for all market segments of computing. 

1.1.3.  Future Internet: infrastructures, technologies and services  

The  objective  is  to  reinforce  the  competitiveness  of  European  industry  in  developing, 
mastering  and  shaping  the  next  generation  Internet  that  will  gradually  replace  the  current 
Web, fixed and mobile networks and service infrastructures, and enable the interconnection of 
trillions of devices (IoT) across multiple operators and domains that will change the way we 
communicate,  access  and  use  knowledge.  This  includes  R&I  on  networks,  software  and 
services, cyber security, privacy and trust, wireless22 communication and all optical networks, 
immersive interactive multimedia and on the connected enterprise of the future. 

1.1.4.  Content  technologies  and  information  management:  ICT  for  digital  content  and 

creativity  

The  objective  is  to  provide  professionals  and  citizens  with  new  tools  to  create,  exploit  and 
preserve all forms of digital content in any language and to model, analyse, and visualise vast 
amounts of data, including linked data. This includes new technologies for language, learning, 
interaction,  digital  preservation,  content  access  and  analytics;  intelligent  information 
management  systems  based  on  advanced  data  mining,  machine  learning,  statistical  analysis 
and visual computing technologies. 

1.1.5.  Advanced interfaces and robots: robotics and smart spaces  

The  objective  is  to  reinforce  European  scientific  and  industrial  leadership  in  industrial  and 
service  robotics,  cognitive  systems,  advanced  interfaces  and  smart  spaces,  and  sentient 
machines,  building  on  increases  in  computing  and  networking  performance  and  progress  in 
the ability to build systems that can learn, adapt and react. 

1.1.6.  Micro- and nanoelectronics and photonics 

The objective is to take advantage of the excellence of Europe in this key enabling technology 
and  support  the  competitiveness  and  market  leadership  of  its  industry.  Activities  will  also 
include  research  and  innovation  on  design,  advanced  processes,  pilot  lines  for  fabrication, 
technology 
related  production 
developments and innovative business models. 

technologies  and  demonstration  actions 

to  validate 

These  six  major  activity  lines  are  expected  to  cover  the  full  range  of  needs.  These  would 
include industrial leadership in generic ICT-based solutions, products and services needed to 
tackle  major  societal  challenges  as  well  as  application-driven  ICT  research  and  innovation 
agendas which will be supported together with the relevant societal challenge.  

Included under each of the six big activity lines are also ICT-specific research infrastructures 
such  as  living  labs  for  large-scale  experimentation  and  infrastructures  for  underlying  key 
enabling  technologies  and  their  integration  in  advanced  products  and  innovative  smart 

22 

Including space based networks 

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systems, including equipment, tools, support services, clean rooms and access to foundries for 
prototyping.  

1.2. 

Nanotechnologies 

1.2.1.  Developing next generation nanomaterials, nanodevices and nanosystems  

Development  and  integration  of  knowledge  at  the  cross-roads  of  different  scientific 
disciplines,  aiming  at  fundamentally  new  products  enabling  sustainable  solutions  in  a  wide 
range of sectors.  

1.2.2.  Ensuring the safe development and application of nanotechnologies 

Advancing scientific knowledge of their potential impact on health or on the environment for 
pro-active, science-based governance of nanotechnologies, and providing validated scientific 
tools  and  platforms  for  hazard,  exposure  and  risk  assessment  and  management  along  the 
entire life cycle of nanomaterials and nanosystems. 

1.2.3.  Developing the societal dimension of nanotechnology 

Addressing the human and physical infrastructure needs of nanotechnology deployment and 
focussing on governance of nanotechnology for societal benefit. 

1.2.4.  Efficient synthesis and manufacturing of nanomaterials, components and systems  

Focusing  on  new  flexible,  scalable  and  repeatable  unit  operations,  smart  integration  of  new 
and  existing  processes,  as  well  as  up-scaling  to  achieve  mass  production  of  products  and 
multi-purpose  plants  that  ensures  the  efficient  transfer  of  knowledge  into  industrial 
innovation. 

1.2.5.  Developing capacity-enhancing techniques, measuring methods and equipment 

Focusing  on  the  underpinning  technologies,  supporting  the  development  and  market 
introduction  of  complex  nanomaterials  and  nanosystems,  including  characterising  and 
manipulating  matter  at  the  nano-scale,  modelling,  computational  design  and  advanced 
engineering at the atomic level.  

1.3. 

Advanced materials 

1.3.1  Cross-cutting and enabling materials technologies  

Research  on  functional  materials,  multifunctional  materials  such  as  self-repairing  or 
biocompatible  materials  and  structural  materials,  for  innovation  in  all  industrial  sectors 
particularly for high value markets.  

1.3.2.  Materials development and transformation  

Research  and  development  to  ensure  efficient  and  sustainable  scale  up  to  enable  industrial 
manufacturing of future products e.g. in the metal or chemical industries. 

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1.3.3.  Management of materials components  

Research and development for new and innovative techniques and systems, joining, adhesion, 
separation, assembly, self-assembly and disassembling, decomposition and deconstruction.  

1.3.4.  Materials for a sustainable industry  

Developing  new  products  and  applications  and  consumer  behaviour  that  reduce  energy 
demand  and  facilitate  low-carbon  production,  as  well  as  process  intensification,  recycling, 
depollution and high added-value materials from waste and remanufacture. 

1.3.5.  Materials for creative industries  

Applying  design  and  the  development  of  converging  technologies  to  create  new  business 
opportunities,  including  the  preservation  of  Europe's  materials  with  historical  or  cultural 
value. 

1.3.6.  Metrology, characterisation, standardisation and quality control  

Promoting  technologies  such  as  characterisation,  non-destructive  evaluation  and  predictive 
modelling of performance for progress in materials science and engineering.  

1.3.7.  Optimisation of the use of materials  

Research  and  development  to  investigate  alternatives  to  the  use  of  materials  and  innovative 
business model approaches. 

1.4. 

Biotechnology 

1.4.1.  Boosting cutting-edge biotechnologies as future innovation drivers  

The objective is to lay the foundations for the European industry to stay at the front line of 
innovation, also in the medium and long term. It encompasses the development of emerging 
tools  such  as  synthetic  biology,  bioinformatics,  systems  biology  and  exploiting  the 
convergence  with  other 
(e.g. 
bionanotechnology) and ICT (e.g. bioelectronics). These and other cutting-edge fields deserve 
appropriate measures in terms of research and development to facilitate effective transfer and 
implementation into new applications (drug delivery systems, biosensors, biochips, etc). 

as  nanotechnology 

technologies 

enabling 

such 

1.4.2.  Biotechnology-based industrial processes  

The  objective  is  twofold:  on  the  one  hand,  enabling  the  European  industry  (e.g.  chemical, 
health,  mining,  energy,  pulp  and  paper,  textile,  starch,  food  processing)  to  develop  new 
products  and  processes  meeting  industrial  and  societal  demands;  and  competitive  and 
enhanced  biotechnology-based  alternatives  to  replace  established  ones;  on  the  other  hand, 
harnessing the potential of biotechnology for detecting, monitoring, preventing and removing 
pollution.  It  includes  R&I  on  enzymatic  and  metabolic  pathways,  bio-processes  design, 
advanced fermentation, up- and down-stream processing, gaining insight on the dynamics of 
microbial  communities.  It  will  also  encompass  the  development  of  prototypes  for  assessing 
the techno-economic feasibility of the developed products and processes. 

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1.4.3. 

Innovative and competitive platform technologies  

The objective is to develop platform technologies (e.g. genomics, meta-genomics, proteomics, 
molecular  tools)  triggering  leadership  and  competitive  advantage  on  a  wide  number  of 
economic sectors. It includes aspects, such as underpinning the development of bio-resources 
with  optimised  properties  and  applications  beyond  conventional  alternatives;  enabling 
exploration, understanding and exploitation in a sustainable manner of terrestrial and marine 
biodiversity  for  novel  applications;  and  sustaining  the  development  of  biotechnology-based 
healthcare solutions (e.g. diagnostics, biologicals, bio-medical devices). 

1.5. 

Advanced Manufacturing and Processing 

1.5.1.  Technologies for Factories of the Future  

Promoting sustainable, industrial growth by facilitating a strategic shift in Europe from cost-
based manufacturing to an approach based on the creation of high added value. This requires 
addressing the challenge of producing more, while consuming less material, using less energy 
and creating less waste and pollution. The focus will be on the development and integration of 
the  adaptive  production  systems  of  the  future,  with  particular  emphasis  on  the  needs  of 
European  SMEs,  in  order  to  achieve  advanced  and  sustainable  manufacturing  systems  and 
processes.  

1.5.2.  Technologies enabling Energy-efficient buildings  

Reducing  energy  consumption  and  CO2  emissions  by  the  development  and  deployment  of 
sustainable  construction  technologies,  implementation  and  replication  of  measures  for  an 
increased uptake of energy-efficient systems and materials in new, renovated and retrofitted 
buildings.  Life-cycle  considerations  and  the  growing  importance  of  design-build-operate 
concepts will be key in addressing the challenge of a transition to nearly zero energy buildings 
in  Europe  by  2020  and  the  realisation  of  energy-efficient  districts  through  the  engagement 
with the wide stakeholder community.  

1.5.3. 

Sustainable and low-carbon technologies in energy-intensive process industries  

Increasing the competitiveness of process industries, such as chemical, pulp and paper, glass, 
or non-ferrous metals and steel by drastically improving resource and energy efficiencies and 
reducing  the  environmental  impact  of  such  industrial  activities.  Focus  will  be  on  the 
development, and validation of enabling technologies for innovative substances, materials and 
technological  solutions  for  low-carbon  products  and  less  energy-intensive  processes  and 
services  along  the  value  chain,  as  well  as  the  adoption  of  ultra-low  carbon  production 
technologies and techniques to achieve specific GHG emission intensity reductions. 

1.5.4.  New, sustainable business models  

Cross-sectoral cooperation in concepts and methodologies for "knowledge-based", specialised 
production can boost creativity and innovation with a focus on business models in customised 
approaches  that  can  adapt  to  the  requirements  of  globalised  value  chains  and  networks, 
changing markets, and emerging and future industries. 

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1.6. 

Space 

1.6.1.  Enable  European  competitiveness,  non-dependence  and  innovation  in  space 

activities  

The objective is to maintain a globally leading role in space by safeguarding and developing a 
competitive space industry and research community and by fostering space-based innovation. 

1.6.1.1.  Safeguard a competitive space industry and research community 

Europe  is  playing  a  leading  role  in  space  research  and  in  the  development  of  space 
technologies, and has developed its own space infrastructures (e.g. Galileo). In fact, European 
industry has  established itself as an  exporter of  first class satellites. Nevertheless, important 
challenges to this position are the fragmented character of the European markets and research 
institutions,  competition  from  major  space  powers  benefitting  from  large  domestic  markets, 
and  limited  systematic  investments  in  space  research  and  technology  development  and 
capacity building in Europe. The development of a research-base by providing continuity in 
space research programmes, for example by a sequence of smaller and more frequent in-space 
demonstration projects. This will allow Europe to develop its industrial base and space RTD 
community, thereby contributing to its non-dependence from imports of critical technologies. 

1.6.1.2.  Boost innovation between space and non-space sectors 

A  number  of  challenges  in  space  technologies  have  parallels  to  terrestrial  challenges,  for 
example  in  the  fields  of  energy,  telecommunications,  natural  resource  exploration,  robotics, 
security,  and  health.  These  commonalities  offer  opportunities  for  early  co-development,  in 
particular  by  SMEs,  of  technologies  across  space  and  non-space  communities,  potentially 
resulting in breakthrough innovations more rapidly than achieved in spin-offs at a later stage. 
Exploitation  of  existing  European  space  infrastructure  should  be  stimulated  by  promoting 
development  of  innovative  products  and  services  based  on  remote  sensing  and  geo-
positioning.  Europe  should  furthermore  reinforce 
incipient  development  of  an 
entrepreneurial space sector by well targeted measures. 

the 

1.6.2.  Enabling advances in space technologies  

The objective is to ensure the capability to access space and to operate space systems to the 
benefit of European society in the next decades. 

The  ability  to  access  space  and  to  maintain  and  operate  European  or  international  space 
systems in Earth orbit and beyond, are vital to the future of European society. The necessary 
capabilities require constant investments in a multitude of space technologies (e.g. launchers, 
satellites,  robotics,  instruments  and  sensors),  and  in  operational  concepts  from  idea  to 
demonstration  in  space.  Europe  is  currently  one  of  the  three  leading  space  powers,  but 
compared to the level of investment in space R&D in the United States of America (e.g. about 
20  %  of  the  total  NASA  budget),  the  European  level  of  investment  in  future  space 
technologies  is  insufficient  (less  than  10  %  of  total  expenditure  in  space)  and  needs  to  be 
strengthened along the entire chain:  

(a) 

fundamental 
technological  research,  often  relying  heavily  on  key  enabling 
technologies,  with  the  potential  of  generating  breakthrough  technologies  with 
terrestrial applications;  

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(b) 

(c) 

(d) 

(e) 

improvement  of  existing  technologies,  e.g.  through  miniaturisation,  higher  energy 
efficiency, and higher sensor sensitivity; 

demonstration  and  validation  of  new  technologies  and  concepts  in  the  space  and 
terrestrial analogue environments; 

mission  context, e.g. analysis of  the space environment,  ground  stations,  protecting 
space systems from collision with debris and effects of solar flares (Space Situational 
Awareness, SSA), fostering innovative data and sample archiving infrastructure; 

Advanced  navigation  and  remote  sensing  technologies,  covering  the  research 
essential for future generations of Union space systems (e.g. Galileo).  

1.6.3.  Enabling exploitation of space data  

The  objective  is  to  ensure  more  extensive  utilisation  of  space  data  from  existing  and  future 
European missions in the scientific, public and commercial domain. 

Space systems produce information which often cannot be acquired in any other way. Despite 
world  class  European  missions,  publication  figures  show  that  data  from  European  missions 
are not as likely to be used as data from US missions. A considerably increased exploitation 
of  data  could  be  achieved  if  a  concerted  effort  were  made  to  coordinate  and  organise  the 
processing, validation and standardisation of space data from European missions. Innovations 
in  data  acquisition  and  processing,  data  fusion,  and  data  dissemination,  utilising  also 
innovative ICT  enabled forms  of  collaboration, can ensure a higher return on investment of 
space  infrastructure.  Calibration  and  validation  of  space  data  (for  individual  instruments, 
between instruments and missions, and with respect to in-situ objects) are key to efficient use 
of  space  data  in  all  domains,  but  have  been  hampered  by  the  lack  of  Union-level  bodies  or 
institutes mandated to ensure the standardisation of space-derived data and reference frames. 
Data access and exploitation of space missions is a matter that requires global coordination. 
For Earth observation data, harmonised approaches and best practices are partly achieved in 
coordination with the intergovernmental organization Group on Earth Observation, aiming to 
sustain a Global Earth Observation System of Systems, in which the Union participates. 

1.6.4.  Enabling European research in support of international space partnerships 

The  objective  is  to  support  the  European  research  and  innovation  contribution  to  long  term 
international space partnerships. 

Although  space  information  provides  great  local  benefits,  space  undertakings  have  a 
fundamentally  global  character.  This  is  particularly  clear  for  the  cosmic  threat  to  Earth  and 
space systems. The loss of satellites due to space weather and space debris is estimated to be 
in  the  order  of  EUR  100  million  per  annum.  Equally  global  are  activities  such  as  the 
International Space  Station  (ISS), which is built and operated  by  Europe, the United  States, 
Canada,  Japan  and  Russia,  and  robotic  space  science  and  exploration  activities.  The 
development  of  cutting  edge  space  technology  is  increasingly  taking  place  within  such 
international  frameworks,  making  access  to  such international projects an important success 
factor  for  European  researchers  and  industry.  The  Union  contribution  to  such  global  space 
endeavours needs to be defined in long-term strategic roadmaps (10 years and more), aligning 
with the Union's space policy priorities, and in coordination with internal European partners, 

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such  ESA;  with  international  partners,  such  as  COSPAR,  UNOOSA;  and  with  the  space 
agencies of space-faring nations such as NASA and ROSCOSMOS.  

1.6.5. 

Specific implementation aspects 

The  implementation  priorities  of  space  research  and  innovation  under  Horizon  2020  are  in 
line  with  the  Union's  space  policy  priorities  as  defined  by  the  Space  Council  and  the 
Communication Towards a space strategy for the European Union that benefits its citizens23. 
The implementation will be developed in consultation with stakeholders from European space 
industry,  SMEs,  academia,  and  technology  institutes,  represented  by  the  Space  Advisory 
Group  and  important  partners  such  as  the  European  Space  Agency  and  national  space 
agencies.  As  regards  the  participation  in  international  undertakings,  the  research  and 
innovation  agenda  will  be  defined  in  collaboration  with  international  partners  (e.g.  NASA, 
ROSCOSMOS, JAXA).  

2. 

ACCESS TO RISK FINANCE 

Horizon 2020 will set up two facilities (the 'Equity facility' and the 'Debt facility'), composed 
of  various  windows.  The  Equity  facility  and  the  SME  window  of  the  Debt  facility  will  be 
implemented as part of two EU Financial Instruments that provide equity and debt to support 
SMEs' R&I and growth. 

The Equity facility and the Debt facility may, where appropriate, allow pooling of financial 
resources with Member States willing to contribute part of the Structural Funds allocated to 
them, in accordance with Article 31(1)(a) of the Structural Funds Council Regulation. 

Instead  of  providing  loans,  guarantees  or  equity,  etc,  directly  to  final  beneficiaries,  the 
Commission  will  delegate  financial  institutions  to  provide  support  via,  in  particular,  risk-
sharing, guarantee schemes and equity and quasi-equity investments. 

2.1. 

Debt facility  

The Debt facility will provide loans to single beneficiaries for investment in R&I; guarantees 
to  financial  intermediaries  making  loans  to  beneficiaries;  combinations  of  loans  and 
guarantees; and guarantees and/or counter-guarantees for national or regional debt-financing 
schemes. The Debt facility will undertake maturity enhancement activities, and it will support 
the  dedicated  SME  Instrument  (see  Part  II,  section  '3.  Innovation  in  SMEs'  of  this  Annex). 
Provisions  from  the  debt  facility  may  be  combined,  with  the  possible  addition  of  grants 
(including lump sums), with provisions from the equity financial instrument in one or more 
integrated schemes. Soft loans and convertible loans may also be possible. 

As well as providing loans and guarantees on a market-driven, first-come, first-served basis, 
the  debt  facility  will  target,  under  a  series  of  compartments,  particular  policies  and  sectors. 
Ring-fenced budgetary contributions for this purpose may come from: 

(a) 

(b) 

Other parts of Horizon 2020, notably Part III 'Societal challenges'; 

other frameworks, programmes and budget lines in the Union budget;  

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COM(2011) 152 

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(c) 

particular regions and Member States that wish to contribute with resources available 
from the Cohesion Policy funds; 

(d) 

specific entities (such as Eureka or Joint Technology Initiatives) or initiatives. 

Such  budgetary  contributions  may  be  made  or  topped  up  at  any  time  during  the  course  of 
Horizon 2020. 

Risk-sharing and other parameters may vary within policy or sector compartments, provided 
their  values  or  states  comply  with  the  common  rules  for  debt  instruments.  Furthermore, 
compartments  may  have  specific  communications  strategies  within  the  overall  promotional 
campaign for the Debt facility. In addition, specialist intermediaries at national level may be 
used if specific expertise is needed to assess prospective loans in the domain of a particular 
compartment. 

The SME window under the Debt facility shall target R&I-driven SMEs and small mid-caps 
with  loan  amounts  exceeding  EUR  150  000,  thus  complementing  finance  to  SMEs  by  the 
Loan  Guarantee  Facility  under  the  Programme  for  the  Competitiveness  of  Enterprises  and 
SMEs.  

The  leverage  of  the  Debt  facility  —  defined  as  the  total  funding  (i.e.  Union  funding  plus 
contribution from other financial institutions) divided by the Union financial contribution — 
is expected to range from an average 1.5 to 6.5, depending on the type of operations involved 
(level  of  risk,  target  beneficiaries,  and  the  particular  debt  financial  instrument  facility 
concerned).  The  multiplier  effect  —  defined  as  the  total  of  investments  made  by  supported 
beneficiaries divided by the Union financial contribution — is expected to be 5 to 20, again 
depending on the type of operations involved. 

2.2. 

Equity facility  

The Equity facility will focus on  early-stage venture  capital funds providing venture  capital 
and/or  mezzanine  capital  to  individual  portfolio  enterprises.  These  enterprises  may,  in 
addition, seek debt financing from financial intermediaries implementing the Debt facility. 

The facility will also have the possibility to make expansion and growth-stage investments in 
conjunction  with  the  Equity  Facility  for  Growth  (EFG)  under  the  Programme  for  the 
Competitiveness of Enterprises and SMEs(this includes investments in funds-of-funds with a 
broad  investor  base  and  includes  private  institutional  and  strategic  investors  as  well  as 
national public and semi-public financial institutions). In the latter case, the investment from 
the Equity Facility of Horizon 2020 shall not exceed 20% of the total EU investment except in 
cases of multi-stage funds, where funding from EFG and the equity facility for RDI will be 
provided on a pro rata basis, based on the funds' investment policy. Like the EFG, the Equity 
Facility shall avoid buy-out or replacement capital intended for the dismantling of an acquired 
enterprise.  The  Commission  may  decide  to  amend  the  20%  threshold  in  light  of  changing 
market conditions. 

Investment parameters will be set in such a way that specific policy objectives, including the 
targeting of particular groups of potential beneficiaries, can be achieved while still preserving 
the market-oriented, demand-driven approach of this instrument. 

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The Equity facility may be supported by budgetary contributions from other parts of Horizon 
2020; other frameworks, programmes and budget lines in the Union budget; particular regions 
and Member States; and specific entities or initiatives. 

The leverage of the Equity facility — defined  as  the  total  funding  (i.e.,  Union  funding  plus 
contribution from other financial institutions) divided by the Union financial contribution — 
is  expected  to  be  around  6,  depending  on  market  specificities,  with  an  expected  multiplier 
effect — defined as the total of investments made by supported beneficiaries divided by the 
Union financial contribution — of, on average, 18. 

2.3. 

Specific implementation aspects 

The implementation of the two facilities will be delegated to the European Investment Bank 
Group  (EIB,  EIF)  and/or  to  other  financial  institutions  that  may  be  entrusted  with  the 
implementation  of  financial  instruments  in  compliance  with  the  Financial  Regulation.  Their 
design  and  implementation  will  be  aligned  with  the  general  provisions  for  financial 
instruments  set  out  in  the  Financial  Regulation  and  with  more  specific  operational 
requirements to be set out in Commission guidance. 

Their elements may be combined, with the possible addition of grants (including lump sums), 
in one or more integrated schemes supporting particular categories of beneficiary or special-
purpose  project,  such  as  SMEs  and  mid-caps  with  growth  potential,  or  the  large-scale 
demonstration of innovative technologies. 

Their  implementation  will  be  supported  by  a  set  of  accompanying  measures.  These  may 
include, amongst other measures, technical assistance for financial intermediaries involved in 
assessing  the  eligibility  of  loan  applications  or  the  value  of  knowledge  assets;  investment-
readiness  schemes  covering  incubating,  coaching  and  mentoring  SMEs  and  fostering  their 
interaction with potential investors; measures to raise the awareness of venture capital firms 
and business angels about the growth potential of innovative SMEs involved in Union funding 
programmes; schemes to attract private investors to support the growth of innovative SMEs 
and mid-caps; schemes for encouraging philanthropic foundations and individuals to support 
R&I; and schemes to foster corporate venturing and encourage the activities of family offices 
and business angels. 

Complementarity  will  be  ensured  with 
Competitiveness of Enterprises and SMEs.  

the  facilities  of 

the  Programme  for 

the 

3. 

INNOVATION IN SMES 

3.1.  Mainstreaming SME support  

SMEs will be supported across Horizon 2020. For this purpose a dedicated SME instrument is 
targeted  at  all  types  of  innovative  SMEs  showing  a  strong  ambition  to  develop,  grow  and 
internationalise.  It  will  be  provided  for  all  types  of  innovation,  including  non-technological 
and service innovations. The objective is to help filling the gap in funding for early stage high 
risk research and innovation, stimulate break-through innovations and increase private-sector 
commercialisation of research results.  

All  of  the  societal  challenges  and  the  enabling  and  industrial  technologies  shall  apply  the 
dedicated SME instrument and allocate an amount to it.  

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Only SMEs will be allowed to apply for funding and support. They can form collaborations 
according  to  their  needs,  including  for  subcontracting  research  and  development  work. 
Projects must be of clear interest and potential benefit to SMEs and have a distinct European 
dimension. 

The SME instrument will cover all fields of science, technology and innovation in a bottom-
up approach within a given societal challenge or enabling technology so as to leave sufficient 
room for all kinds of promising ideas, notably cross-sector and inter-disciplinary projects, to 
be funded.  

The SME instrument will provide  simplified and  staged support. Its three  phases will cover 
the whole innovation cycle. Transition from one phase to the next will be seamless provided 
the SME project has proven to be worth further funding during a previous phase. At the same 
time each phase will be open to all SMEs:  

–  Phase 1: Concept and feasibility assessment:  

SMEs  will  receive  funding  to  explore  the  scientific  or  technical  feasibility  and  the 
commercial  potential  of  a  new  idea  (proof  of  concept)  in  order  to  develop  an 
innovation  project.  A  positive  outcome  of  this  assessment  will  allow  for  funding 
under the following phase(s). 

–  Phase 2: R&D, demonstration, market replication:  

Research  and  development  will  be  supported  with  a  particular  focus  on 
demonstration  activities  (testing,  prototype,  scale-up  studies,  design,  piloting 
innovative  processes,  products  and  services,  performance  verification  etc.)  and 
market replication.  

–  Phase 3: Commercialisation:  

This phase will not provide direct funding other than support activities, but aims to 
facilitate access to private capital and innovation enabling environments. Links to the 
financial instruments (see Part II, section 2 'Access to Risk Finance of this Annex) 
are foreseen, for example by giving SMEs that have successfully completed phases 1 
and/or 2 priority within a ring-fenced volume of financial resources. SMEs will also 
benefit  from  support  measures  like  networking,  training,  coaching  and  advice.  In 
addition this part may connect to measures promoting pre-commercial procurement 
and procurement of innovative solutions. 

Uniform  promotion,  implementation  and  monitoring  of  the  SME  instrument  across  Horizon 
2020  will  ensure  easy  access  for  SMEs.  Relying  on  existing  SME  support  networks  a 
mentoring scheme for the beneficiary SMEs shall be established to accelerate impact from the 
support provided.  

A dedicated body of stakeholders and experts in SME research and innovation will be set up 
with view to promoting and accompanying the specific SME measures of Horizon 2020.  

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3.2. 

Specific support 

3.2.1. 

Support for research intensive SMEs  

A  specific  action  will  promote  market-oriented  innovation  of  R&D  performing  SMEs.  It 
targets research intensive SMEs in high-technology sectors that also need to demonstrate their 
capability to commercially exploit the project results. 

The action will cover the entire field of science and technology with a bottom-up approach to 
fit the needs of R&D performing SMEs.  

The action will be implemented by an Article 185 TFEU initiative building on the Eurostars 
Joint Programme and reorienting it along the lines stated in its interim evaluation. 

3.2.2.  Enhancing the innovation capacity of SMEs  

Activities assisting the implementation and complementing the SME specific measures across 
Horizon  2020  will  be  supported,  notably  to  enhance  the  innovation  capacity  of  SMEs. 
Activities  may  include  awareness  raising,  information  and  dissemination,  training  and 
mobility  activities,  networking  and  exchange  of  best  practices,  developing  high  quality 
innovation  support mechanisms  and  services with strong Union added value for SMEs (e.g. 
intellectual property and innovation management, knowledge transfer, innovative use of ICT 
and  e-skills  in  SMEs),  as  well  as  assisting  SMEs  to  connect  to  research  and  innovation 
partners across the Union, allowing them to spin in technology and develop their innovation 
capacity. Intermediary organisations representing groups of innovative SMEs shall be invited 
to conduct cross-sectoral and cross-regional innovation activities with SMEs having mutually 
reinforcing competences, in order to develop new industrial value chains. 

Synergies with Union cohesion policy will be sought in the context of national and regional 
innovation strategies for smart specialisation. 

A  reinforced  link  with  the  Enterprise  Europe  Network  (under  the  Programme  for  the 
Competitiveness  of  Enterprises  and  SMEs)  is  envisaged.  The  support  could  range  from 
improved information and advisory services through mentoring, coaching and partner search 
activities  for  SMEs  wishing  to  develop  cross-border  innovation  projects,  to  providing 
innovation  support  services.  This  will  consolidate  the  'one  stop  shop'  approach  of  the 
Enterprise  Europe  Network  to  supporting  SMEs,  together  with  a  strong  regional  and  local 
presence of the network. 

3.2.3. 

Supporting market-driven innovation  

This will support market-driven innovation in view of enhancing the innovation capacity of 
firms by improving the framework conditions for innovation as well as tackling the specific 
barriers  preventing  the  growth  of  innovative  firms,  in  particular  SMEs  and  enterprises  of 
intermediate  size  with  potential  for  fast  growth.  Specialised  innovation  support  (on  e.g.  IP 
exploitation,  networks  of  procurers,  support  to  technology  transfer  offices,  strategic  design) 
and reviews of public policies in relation to innovation will be supported. 

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Part III 

Societal Challenges 

1. 

HEALTH, DEMOGRAPHIC CHANGE AND WELLBEING 

Effective health promotion, supported by a robust evidence base, prevents disease, improves 
wellbeing and is cost effective. Health promotion and disease prevention also depend on an 
understanding of the determinants of health, on effective preventive tools, such as vaccines, 
on  effective  health  and  disease  surveillance  and  preparedness,  and  on  effective  screening 
programmes.  

Successful  efforts  to  prevent,  manage,  treat  and  cure  disease,  disability  and  reduced 
functionality are underpinned by the fundamental understanding of their causes, processes and 
impacts,  as  well  as  factors  underlying  good  health  and  wellbeing.  Effective  sharing  of  data 
and the linkage of these data with real-world large scale cohort studies is also essential, as is 
the translation of research findings into the clinic, in particular through the conduct of clinical 
trials.  

An  increasing  disease  and  disability  burden  in  the  context  of  an  aging  population  places 
further demands on health and care sectors. If effective health and care is to be maintained for 
all  ages,  efforts  are  required  to  improve  decision  making  in  prevention  and  treatment 
provision, to identify and support the dissemination of best practice in the healthcare sector, 
and  to  support  integrated  care  and  the  uptake  of  technological,  organisational  and  social 
innovations empowering older persons in particular to remain active and independent. Doing 
so  will  contribute  to  increasing,  and  lengthening  the  duration  of  their  physical,  social,  and 
mental well-being. 

All of these activities will be undertaken in such a way as to provide support throughout the 
research  and  innovation  cycle,  strengthening  the  competitiveness  of  the  European  based 
industries and development of new market opportunities. 

Specific activities are described below.  

1.1. 

Understanding  the  determinants  of  health,  improving  health  promotion  and 
disease prevention 

A better understanding of the determinants of health is required in order to provide evidence 
for effective health promotion and disease prevention, and will also allow the development of 
comprehensive  health  and  wellbeing  indicators  in  the  Union.  Environmental,  behavioural 
(including  life-style),  socio-economic  and  genetic  factors,  in  their  broadest  senses  will  be 
studied.  Approaches  will  include  the  long  term  study  of  cohorts and  their  linkage  with  data 
derived from "-omics" research, and other methods.  

In particular, a better understanding of the environment as a determinant of health will require 
integrated  molecular  biological,  epidemiological and  toxicological  approaches  to  investigate 
health-environment  relationships,  including  studies  of  modes  of  action  of  chemicals, 
combined  exposures  to  pollution  and  other  environmental  and  climate  related  stressors, 

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integrated  toxicological  testing  as  well  as  alternatives  to  animal  testing.  Innovative 
approaches  to  exposure  assessment  are  needed  using  new-generation  biomarkers  based  on 
'omics' and epigenetics, human biomonitoring, personal exposure assessments and modelling 
to understand combined, cumulative and emerging exposures, integrating socio-economic and 
behavioural  factors.  Improved  links  with  environmental  data  using  advanced  information 
systems will be supported. 

In this way, existing and planned policies and programmes can be assessed and policy support 
interventions,  prevention  and  education 
provided.  Similarly, 
programmes  can  be  developed  including  those  pertaining  to  health  literacy  in  nutrition, 
vaccination and other primary care interventions.  

improved  behavioural 

1.2. 

Developing  effective  screening  programmes  and  improving  the  assessment  of 
disease susceptibility 

The development of screening programmes depends on the identification of early biomarkers 
of  risk  and  of  disease  onset,  and  their  deployment  depends  on  the  testing  and  validation  of 
screening  methods  and  programmes.  Identifying  individuals  and  populations  at  high-risk  of 
disease  will  allow  personalised,  stratified  and  collective  strategies  for  efficacious  and  cost 
effective disease prevention to be developed.  

1.3. 

Improving surveillance and preparedness 

Human  populations  are  under  threat  from  new  and  emerging  infections  (including  those 
resulting  from  climate  change),  from  drug  resistance  to  existing  pathogens  and  from  other 
direct and indirect consequences of climate change. Improved methods for surveillance, early 
warning networks, health service organisation and preparedness campaigns are needed for the 
modelling  of  epidemics,  for  effective  pandemic  response,  for  responses  to  non  infectious 
disease consequences of climate change, as are efforts to maintain and enhance capabilities to 
combat drug resistant infectious disease. 

1.4. 

Understanding disease 

There is a need for an improved understanding of health and disease, in people of all ages, so 
that  new  and  better  prevention  measures,  diagnosis  and  treatments  can  be  developed. 
Interdisciplinary,  translational  research  on  the  patho-physiology  of  disease  is  essential  to 
improve the understanding of all aspects of disease processes, including a re-classification of 
normal variation and disease based on molecular data, and to validate and use research results 
in clinical applications. 

Underpinning research will encompass and encourage development and use of new tools and 
approaches for the generation of biomedical data and include "-omics", high throughput and 
systems  medicine  approaches.  These  activities  will  demand  close  linkage  between 
fundamental  and clinical research and with long term cohort studies (and the corresponding 
research domains) as described above. Close links with research and medical infrastructures 
(databases,  bio-banks  etc.)  will  also  be  required,  for  standardisation,  storage,  sharing  and 
access  to  data,  which  are  all  essential  for  maximising  data  utility  and  for  stimulating  more 
innovative and effective ways of analysing and combining datasets.  

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1.5. 

Developing better preventive vaccines  

There  is  a  need  for  more  effective  preventive  vaccines  (or  alternative  preventive 
interventions)  and  evidence-based  vaccination  schemes  for  an  expanded  range  of  diseases. 
This  relies  on  a  better  understanding  of  disease  and  disease  processes  and  their  consequent 
epidemics, and that clinical trials and associated studies are undertaken.  

1.6. 

Improving diagnosis  

An improved understanding of health, disease and disease processes at all ages is needed to 
develop  new  and  more  effective  diagnostics.  Innovative  and  existing  technologies  will  be 
developed  with  the  goal  of  significantly  improving  disease  outcomes  through  earlier,  more 
accurate diagnosis and by allowing for more patient-adapted treatment.  

1.7. 

Using in-silico medicine for improving disease management and prediction 

Computer simulation using patient specific data and building on systems medicine approaches 
and physiological modelling can be used to predict susceptibility to disease, disease evolution 
and the likely success of medical treatments. Model based simulation can be used to support 
clinical trials, predictability of treatment response, and the personalisation and optimisation of 
treatment. 

1.8. 

Treating disease 

There is a need to support the improvement of cross-cutting support technologies for drugs, 
vaccines and other therapeutic approaches, including transplantation, gene and cell therapy; to 
increase success in the drug and vaccine development process (including alternative methods 
to replace classical safety and effectiveness testing e.g. the development of new methods); to 
develop  regenerative  medicine  approaches,  including  approaches  based  on  stem  cells;  to 
develop  improved  medical  and  assistive  devices  and  systems;  to  maintain  and  enhance  our 
ability  to  combat  communicable,  rare,  major  and  chronic  diseases  and  undertake  medical 
interventions that depend on the availability of effective antimicrobial drugs; and to develop 
comprehensive approaches to treat co-morbidities at all ages and avoid poly-pharmacy. These 
improvements will facilitate the development of new, more efficient, effective and sustainable 
treatments for disease and for the management of disability. 

1.9. 

Transferring knowledge to clinical practice and scalable innovation actions 

Clinical trials are the means to transfer biomedical knowledge to application in patients and 
support for these will be provided, as well as for the improvement of their practice. Examples 
include  the  development  of  better  methodologies  to  allow  trials  to  focus  on  relevant 
population groups, including those suffering from other concomitant diseases and/or already 
undergoing  treatment,  the  determination  of  comparative  effectiveness  of  interventions  and 
solutions,  as  well  as  enhancing  the  use  of  databases  and  electronic  health  records  as  data 
sources for trials and knowledge transfer. Similarly, support for the transfer of other types of 
interventions such as those related to independent living into real world environments will be 
provided. 

1.10.  Better use of health data 

The  integration  of  infrastructures  and  information  structures  and  sources  (including  those 
derived  from  cohort  studies,  protocols,  data  collections,  indicators,  etc.)  as  well  as  the 

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standardisation,  interoperability, storage,  sharing  of  and  access  to  data,  will  be  supported  to 
enable  such  data  to  be  properly  exploited.  Attention  should  be  given  to  data  processing, 
knowledge management, modelling and visualisation. 

1.11. 

Improving scientific tools and methods to support policy making and regulatory 
needs 

There is a need to support the development of scientific tools, methods and statistics for rapid, 
accurate and predictive assessment of the safety, efficacy and quality of health technologies 
including new drugs, biologics, advanced therapies and medical devices. This is particularly 
relevant  for  new  developments  in  domains  including  those  concerning  vaccines,  cell/tissue 
and  gene  therapies,  organs  and  transplantation,  specialist  manufacturing,  bio  banks,  new 
medical  devices,  diagnostic/treatment  procedures,  genetic  testing,  interoperability  and  e-
health, 
improved  risk  assessment 
methodologies,  testing  approaches  and  strategies  relating  to  environment  and  health  are 
required. There is also a need to support the development of relevant methods for assisting the 
assessment of ethical aspects of the above domains. 

including  privacy  aspects.  Similarly,  support  for 

1.12.  Active ageing, independent and assisted living 

Multidisciplinary  advanced  and  applied  research  and 
innovation  with  behavioural, 
gerontological,  digital and other  sciences is  needed  for  cost effective user-friendly solutions 
for  active,  independent  and  assisted  daily  living  (in  the  home,  the  workplace,  etc.)  for  the 
ageing  population  and  people  with  disabilities.  This  applies  in  a  variety  of  settings  and  for 
technologies  and  systems  and  services  enhancing  quality  of  life  and  human  functionality 
including mobility, smart personalised assistive technologies, service and social robotics, and 
ambient assistive environments. Research and innovation pilots to assess implementation and 
wide uptake of solutions will be supported.  

1.13. 

Individual empowerment for self-management of health 

Empowering individuals to improve and manage their health throughout life will result in cost 
savings  to  healthcare  systems  by  enabling  the  management  of  chronic  disease  outside 
institutions and improve health outcomes. This requires research into behavioural and social 
models, social attitudes and aspirations in relation to personalised health technologies, mobile 
and/or  portable  tools,  new  diagnostics  and  personalised  services  which  promote  a  healthy 
lifestyle,  wellbeing,  self-care, 
interaction, 
personalised  programmes  for  disease  and  disability  management,  as  well  as  support  for 
knowledge infrastructures.  

improved  citizen/healthcare  professional 

1.14. 

Promoting integrated care  

Supporting the management of chronic disease outside institutions also depends on improved 
cooperation  between  the  providers  of  health  and  social  or  informal  care.  Research  and 
innovative  applications  will  be  supported  for  decision  making  based  on  distributed 
information, and for providing evidence for large scale deployments and market exploitation 
of  novel  solutions,  including  interoperable  tele-health  and  tele-care  services.  Research  and 
innovation to improve the organisation of long-term care delivery will also be supported. 

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1.15.  Optimising the efficiency and effectiveness of  healthcare  systems and reducing 
inequalities through evidence based decision making and dissemination of best 
practice, and innovative technologies and approaches. 

There  is  a  need  to  support  the  development  of  health  technology  assessment  and  health 
economics,  as  well  as  the  of  gathering  evidence  and  dissemination  of  best  practice  and 
innovative technologies and approaches in the healthcare sector, including ICT and e-health 
applications.  Comparative analyses of the reform of public  health  systems  in Europe and in 
third countries and assessments of their mid to long-term economic and social impacts will be 
supported. Analyses of future health workforce needs both in terms of numbers and required 
skills in relation to new patterns of care will be supported. Research on the evolution of health 
inequalities,  of  their  interplay  with  other  economic  and  social  inequalities  and  on  the 
effectiveness  of  policies  aiming  to  reduce  them  in  Europe  and  beyond  will  be  supported. 
Finally,  there  is  a  need  to  support  the  assessment  of  patient  safety  solutions  and  quality 
assurance systems, including the role of patients on safety and quality of care. 

1.16. 

Specific implementation aspects 

Support  provided  will  cover  the  full  spectrum  of  activities  from  knowledge  and  technology 
transfer  to  large  scale  demonstration  actions,  leading  to  scalable  solutions  for  Europe  and 
beyond. 

2. 

FOOD  SECURITY,  SUSTAINABLE  AGRICULTURE,  MARINE  AND  MARITIME  RESEARCH 
AND THE BIO-ECONOMY 

2.1. 

Sustainable agriculture and forestry 

Appropriate  knowledge,  tools,  services  and  innovations  are  necessary  to  support  more 
productive,  resource-efficient  and  resilient  agriculture  and  forestry  systems  that  supply 
sufficient food, feed, biomass and other raw-materials and deliver ecosystems services while 
at  the  same  time  supporting  the  development  of  thriving  rural  livelihoods.  Research  and 
innovation  will  provide  options  for  integrating  agronomic  and  environmental  goals  into 
sustainable  production,  thus:  increasing  productivity  and  resource  efficiency  of  agriculture; 
reducing  agricultural  greenhouse  gases  (GHGs)  emissions;  reducing  leaching  of  nutrients 
from cultivated lands into terrestrial and aquatic environments; decreasing dependence from 
international  plant  derived  protein  imports  to  Europe;  increasing  the  level  of  biodiversity  in 
primary production systems. 

2.1.1. 

Increasing  production  efficiency  and  coping  with  climate  change,  while  ensuring 
sustainability and resilience 

Activities  will  enhance  productivity  as  well  as  the  adaptive  capacity  of  plants,  animals  and 
production  systems  to  cope  with  rapidly  changing  environmental/climatic  conditions  and 
increasingly scarce natural resources. The resulting innovations will help to move towards a 
low  energy,  low  emission  and  low  waste  economy,  along  the  entire  food  and  feed  supply 
chain. In addition to contributing to food security, new opportunities will be created for the 
use  of  biomass  and  by-products  from  agriculture  and  forestry  for  a  wide  range  of  non-food 
applications.  

Multi-disciplinary approaches will be sought to improve the performance of plants, animals, 
micro-organisms,  while  ensuring  efficient  resource  use  (water,  nutrients,  energy)  and  the 

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ecological  integrity  of  rural  areas.  Emphasis  will  be  placed  on  integrated  and  diverse 
production systems and agronomic practices, including the use of precision technologies and 
ecological  intensification  approaches  to  benefit  both  conventional  and  organic  agriculture. 
Genetic improvement of plants and animals for adaptation and productivity traits will call for 
all appropriated conventional and modern breeding approaches and for a better use of genetic 
resources. Due attention will be given to on-farm soil management for increasing soil fertility 
as  a  basis  for  crop  productivity.  Animal  and  plant  health  will  be  promoted  and  integrated 
disease/pest  control  measures  will  be  further  developed.  Strategies  for  the  eradication  of 
animal  diseases  including  zoonoses  will  be  tackled  along  with  research  on  antimicrobial 
resistance.  Studying  the  effects  of  practices  on  animal  welfare  will  help  meet  societal 
concerns.  The  above  listed  areas  will  be  underpinned  by  more  fundamental  research  to 
address  relevant  biological  questions  as  well  as  to  support  the  development  and 
implementation of Union policies.  

2.1.2.  Providing ecosystem services and public goods  

Agriculture  and  forestry  are  unique  systems  delivering  commercial  products  but  also  wider 
societal  public  goods  (including  cultural  and  recreational  value)  and  important  ecological 
services  such  as  functional  and  in-situ  biodiversity,  pollination,  water  regulation,  landscape, 
erosion reduction and carbon sequestration / GHG mitigation. Research activities will support 
the  provisions  of  these  public  goods  and  services,  through  the  delivery  of  management 
solutions, decision-support tools and the assessment of their non-market value. Specific issues 
to  be  dealt  with  include  the  identification  of  farming/forest  systems  and  landscape  patterns 
likely  to  achieve  these  goals.  Shifts  in  theactive  management  of  agricultural  systems  - 
including the use of technologies and change of practices - will increase GHG mitigation and 
the adaptive capacity of the agriculture sector to the adverse effects of climate change. 

2.1.3.  Empowerment of rural areas, support to policies and rural innovation 

Development  opportunities  for  rural  communities  will  be  mobilised  by  strengthening  their 
capacity for primary production and delivery of  eco-systems services as well as by opening 
avenues  for  the  production  of  new  and  diversified  products  (food,  feed,  materials,  energy), 
which  meet  the  increasing  demand  for  low-carbon  short-chain  delivery  systems.  Socio-
economic research along with the development of new concepts and institutional innovations 
is needed to ensure cohesion of rural areas and prevent economic and social marginalisation, 
foster  diversification  of  economic  activities  (including  service  sector),  ensure  appropriate 
relations  between  rural  and  urban  areas,  as  well  as  facilitate  knowledge  exchange, 
demonstration,  innovation  and  dissemination  and  foster  participatory  resource  management. 
Also, there is a need to look at ways in which public goods in rural areas can be converted 
into  local/regional  socio-economic  benefits.  Innovation  needs  defined  at  regional  and  local 
levels will be complemented by cross-sectoral research actions at inter-regional and European 
levels.  By  providing  the  necessary  analytical  tools,  indicators,  models  and  forward  looking 
activities, research projects will support policy makers and other actors in the implementation, 
monitoring  and  assessment  of  relevant  strategies,  policies  and  legislation,  not  only  for  rural 
areas  but  for  the  whole  bio-economy.  Tools  and  data  are  also  required  to  allow  for  proper 
assessment  of  potential  trade-offs  between  various  types  of  resource  use  (land,  water  and 
other  inputs)  and  bio-economy  products.  Socio-economic  and  comparative  assessment  of 
farming/forestry systems and their sustainability performance will be addressed. 

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2.2. 

Sustainable and competitive agri-food sector for a safe and healthy diet  

Consumer needs for safe, healthy and affordable food have to be addressed, while considering 
the  impacts  of  food  consumption  behaviour  and  food  and  feed  production  on  human  health 
and  the  total  ecosystem.  Food  and  feed  security  and  safety,  the  competitiveness  of  the 
European  agri-food  industry  and  the  sustainability  of  food  production  and  supply  will  be 
addressed,  covering  the  whole  food  chain  and  related  services,  whether  conventional  or 
organic,  from  primary  production  to  consumption.  This  approach  will  contribute  to  (a) 
achieving food safety and security for  all Europeans and eradication of hunger in the world 
(b)  decreasing  the  burden  of  food-  and  diet-related  diseases  by  promoting  the  shift  towards 
healthy and sustainable diets, via consumer education and innovations in the food industry (c) 
reducing water and energy consumption in food processing, transport and distribution and (d) 
reducing food waste by 50 % by 2030. 

2.2.1. 

Informed consumer choices 

Consumer preferences, attitudes, needs, behaviour, lifestyle and education will be addressed, 
and  communication  between  consumers  and  the  food  chain  research  community  and  its  op-
erators  will  be  enhanced  in  order  to  improve  informed  choice,  sustainable  consumption  and 
their  impacts  on  production,  inclusive  growth  and  quality  of  life,  especially  of  vulnerable 
groups.  Social  innovation  will  respond  to  societal  challenges,  and  innovative  models  and 
methodologies  in  consumer  science  will  deliver  comparable  data  and  lay  the  ground  for 
responses to Union policy needs.  

2.2.2.  Healthy and safe foods and diets for all 

Nutritional  needs  and  the  impact  of  food  on  physiological  functions,  physical  and  mental 
performance will be addressed as well as the links between diet, ageing, chronic diseases and 
disorders and dietary patterns. Dietary solutions and innovations leading to improvements in 
health  and  well-being  will  be 
identified.  Chemical  and  microbial  food  and  feed 
contamination,  risks  and  exposures  will  be  assessed,  monitored,  controlled  and  traced 
throughout  the  food  and  drinking  water  supply  chains  from  production  and  storage  to 
processing,  packaging,  distribution,  catering,  and  preparation  at  home.  Food  safety  inno-
vations, improved risk communication tools and improved food safety standards will lead to 
enhanced consumer trust and protection in Europe. Globally improved food safety standards 
will also help to strengthen the competitiveness of the European food industry. 

2.2.3.  A sustainable and competitive agri-food industry  

The  needs  for  the  food  and  feed  industry  to  cope  with  social,  environmental,  climate  and 
economic  change  from  local  to  global  will  be  addressed  at  all  stages  of  the  food  and  feed 
production  chain,  including  food  design,  processing,  packaging,  process  control,  waste 
reduction,  by-product  valorisation  and  the  safe  use  or  disposal  of  animal  by-products. 
Innovative  and  sustainable  resource-efficient  processes  and  diversified,  safe,  affordable  and 
high  quality  products  will  be  generated.  This  will  strengthen  the  innovation  potential  of  the 
European  food  supply  chain,  enhance  its  competitiveness,  create  economic  growth  and 
employment  and  allow  the  European  food  industry  to  adapt  to  changes.  Other  aspects  to 
address  are  traceability,  logistics  and  services,  socio-economic  factors,  the  resilience  of  the 
food chain against environmental and climate risks, and the limitation of negative impacts of 
food chain activities and of changing diets and production systems on the environment.  

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2.3. 

Unlocking the potential of aquatic living resources 

One  of  the  main  features  of  living  aquatic  resources  is  that  they  are  renewable  and  their 
sustainable  exploitation  relies  on  in  depth  understanding  and  a  high  degree  of  quality  and 
productivity of the aquatic ecosystems. The overall objective is to sustainably exploit aquatic 
living resources to maximise social and economic benefits/returns from Europe's oceans and 
seas.  This  includes  the  need  to  optimise  the  sustainable  contribution  of  fisheries  and 
aquaculture  to  food  security  in  the  context  of  the  global  economy  and  reduce  the  heavy 
Union's  dependence  on  seafood  imports  (approximately  60  %  of  total  European  sea  food 
consumption  depends  on  import  and  the  Union  is  the  world's  largest  importer  of  fisheries 
products),  and  to  boost  marine  biotechnologies  to  fuel  "blue"  growth.  In  line  with  current 
policy  frameworks,  research  activities  will  underpin  the  ecosystem  approach  to  the 
management and exploitation of natural resources, and the 'greening' of the sectors involved. 

2.3.1.  Developing sustainable and environmentally-friendly fisheries  

The  new  Common  Fisheries  Policy,  the  Marine  Strategy  Framework  Directive  and  the 
Union's Biodiversity Strategy call for European fisheries to be more sustainable, competitive, 
and  environmentally-friendly.  The  move  towards  an  ecosystem  approach  to  fisheries 
management will require an in depth understanding of marine ecosystems. New insights, tools 
and  models  will  be  developed  to  improve  understanding  of  what  makes  marine  ecosystems 
healthy and productive and to assess, evaluate and mitigate the impact of fisheries on marine 
ecosystems  (including  deep  sea).  New  harvest  strategies  will  be  developed  which  provide 
services to society while maintaining healthy marine ecosystems. The socio-economic effects 
of  management  options  will  be  measured.  The  effects  and  adaptation  to  environmental 
changes,  including  climate  change,  will  also  be  investigated  along  with  new  management 
tools to deal with risk and uncertainty. Activities will support research on the biology, genetic 
and  dynamics  of  fish  populations,  on  the  role  of  key  species  in  the  ecosystems,  on  fishing 
activities  and  their  monitoring,  on  fishing  sector  behaviours  and  adaptation  to  new  markets 
e.g.  eco-labelling  on  fishing  industry  involvement  in  decision  making.  The  shared  use  of 
maritime space with other activities, in particular in the coastal zone, and its socio-economic 
impact will also be addressed.  

2.3.2.  Developing competitive European aquaculture 

Aquaculture  has  a  large  potential  for  the  development  of  healthy  safe  and  competitive 
products  tailored  to  consumer  needs  and  preferences  as  well  as  for  environmental  services 
(bioremediation,  land  and  water  management,  etc)  and  energy  production  but  it  needs  to  be 
fully  realised  in  Europe.  Knowledge  and  technologies  will  be  strengthened  in  all  aspects  of 
domestication  of  established  species  and  diversification  for  new  species  while  taking  into 
account  the  interactions  between  aquaculture  and  the  aquatic  ecosystems,  and  the  effects  of 
climate change and how the sector can adapt to them. Innovation will also be promoted  for 
sustainable production systems in inland, on the coastal zone and offshore. Emphasis will also 
be given to understanding the social and economic dimensions of the sector to underpin cost 
and  energy  efficient  production  matching  with  the  market  and  consumer  demands,  while 
ensuring competitiveness and attractive prospects for investors and producers.  

2.3.3.  Boosting marine innovation through biotechnology 

More than 90 % of the marine biodiversity remains unexplored, offering a huge potential for 
discovery  of  new  species  and  applications  in  the  field  of  marine  biotechnologies,  which  is 

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foreseen  to  generate  a  10  %  annual  growth  for  this  sector.  Support  will  be  given  to  further 
explore and exploit the large potential offered by marine biodiversity and aquatic biomass to 
bring  new  innovative  processes,  products  and  services  on  the  markets  with  potential 
applications  in  sectors  including  chemical  and  material  industries,  pharmaceutical,  fisheries 
and aquaculture, energy supply and cosmetic. 

2.4. 

Sustainable and competitive bio-based industries  

The  overall  objective  is  to  accelerate  the  conversion  of  fossil-based  European  industries  to 
low carbon, resource efficient and sustainable ones. Research and innovation will provide the 
means to reduce the Union's dependency on fossil fuels and contribute to meeting its energy 
and climate change policy targets for 2020 (10 % of transport fuels from renewables and a 20 
% reduction of greenhouse gases emissions). Estimates conclude that a shift to biological raw 
materials  and  biological  processing  methods  could  save  up  to  2.5  billion  tons  of  CO2 
equivalent  per  year  by  2030,  increasing  markets  for  bio-based  raw  materials  and  new 
consumer products several-fold. Reaping these potentials requires building a broad knowledge 
base and developing relevant (bio)technologies, focussing mainly on three essential elements: 
a) transforming current fossil-based processes by resource and energy efficient biotechnology 
based  ones;  b)  establishing  reliable  and  appropriate  supply  chains  of  biomass  and  waste 
streams  and  a  wide  network  of  bio-refineries  throughout  Europe;  and  c)  supporting  market 
development  for  bio-based  products  and  processes.  Synergies  will  be  sought  with  the 
'Leadership in Enabling and Industrial Technologies' specific objective.  

2.4.1.  Fostering the bio-economy for bio-based industries  

Major  progress  towards  low  carbon,  resource  efficient  and  sustainable  industries  will  be 
supported  through  discovery  and  exploitation  of  terrestrial  and  aquatic  biological  resources, 
while  minimising  adverse  environmental  impacts.  Potential  trade-offs  between  the  various 
uses of biomass should be examined. The development of bio-based products and biologically 
active  compounds  for  industries  and  consumers  with  novel  qualities,  functionalities  and 
improved  sustainability  will  be  targeted.  The  economic  value  of  renewable  resources,  bio-
waste and by-products will be maximised through new and resource efficient processes. 

2.4.2.  Developing integrated biorefineries  

to  boost  sustainable  bioproducts, 

Activities  will  be  supported 
intermediates  and 
bioenergy/biofuels,  predominantly  focussing  on  a  cascade  approach,  prioritising  the 
generation  of  high  added-value  products.  Technologies  and  strategies  will  be  developed  to 
assure the raw material supply. Enhancing the range of types of biomass for use in second and 
third  generation  biorefineries,  including  forestry,  biowaste  and  industrial  by-products,  will 
help avoid food/fuel conflicts and support economic development of rural and coastal areas in 
the Union.  

2.4.3. 

Supporting market development for bio-based products and processes  

Demand-side measures will open new markets for biotechnology innovation. Standardisation 
at  Union  and  international  levels  is  needed  for,  amongst  others,  determination  of  bio-based 
content,  product  functionalities  and  biodegradability.  Methodologies  and  approaches  to  life-
cycle  analysis  need  to  be  further  developed  and  continuously  adapted  to  scientific  and 
industrial  advances.  Research  activities  supporting  product  and  process  standardisation  and 

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regulatory activities in the field of biotechnology are considered essential for supporting the 
creation of new markets and for realising trade opportunities.  

2.5. 

Specific implementation actions 

Beyond the general sources of external advice, specific consultations will be sought from the 
Standing  Committee  on  Agricultural  Research  (SCAR)  on  a  range  of  issues,  including  on 
strategic aspects through its foresight activity and on the coordination of agricultural research 
between national and Union levels. Appropriate links will be established with the actions of 
the European Innovation Partnership 'Agricultural Productivity and Sustainability'. 

The impact and dissemination of research results will be actively supported through specific 
actions  on  communication,  knowledge  exchange  and  the  involvement  of  various  actors  all 
along  the  projects.  Implementation  will  combine  a  wide  range  of  activities,  including 
substantial  demonstration  and  pilot  activities.  Easy  and  open  access  to  research  results  and 
best practices will be fostered, where appropriate via databases. 

The  specific  support  to  SMEs  will  allow  for  an  increased  participation  of  farms,  fishermen 
and  other  types  of  micro-enterprises  in  research  and  demonstration  activities.  The  specific 
needs of the primary production sector for innovation support services and outreach structures 
will be taken into account. Implementation will combine a wide range of activities, including 
knowledge  exchange  actions  where  the  involvement  of  farmers  and  intermediaries  will  be 
actively  ensured  in  view  of  summarising  the  research  needs  of  end-users.  Easy  and  open 
access to research results and best practices will be fostered. 

Support to standard setting will be used to help accelerate market deployment for novel bio-
based goods and services.  

Consideration may be given to support to the Joint Programming Initiatives (JPIs) including 
'Agriculture,  Food  Security  and  Climate  Change';  'A  Healthy  Diet  for  a  Healthy  Life';  and 
'Healthy  and  Productive  Seas  and  Oceans'  and  to  implementing  possible  public-private 
partnerships in the field of bio-based industries. 

Synergies with and further deployment by other Union funds related to this societal challenge, 
such as the Rural Development Funds and Fisheries Funds will be sought. 

Forward  looking  activities  will  be  undertaken  across  the  sectors  of  the  bio-economy, 
including the development of data bases, indicators and models addressing global, European, 
national  and  regional  dimensions.  A  European  bio-economy  observatory  shall  be  developed 
for mapping and monitoring Union and global research and innovation activities, developing 
key performance indicators, and monitoring innovation policies in the bio-economy.  

3. 

SECURE, CLEAN AND EFFICIENT ENERGY 

3.1. 

Reducing  energy  consumption  and  carbon  footprint  through  smart  and 
sustainable usage  

The  energy  sources  and  consumption  patterns  of  Europe's  industries,  transport,  buildings, 
towns  and  cities  are  largely  unsustainable,  leading  to  significant  environmental  and  climate 
change impacts. The development of near-zero-emission buildings, highly efficient industries 
and mass take-up of energy-efficient approaches by companies, individuals, communities and 

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cities will require not only technological advances, but also non-technological solutions such 
as new advisory, financing and demand management services. In this way energy efficiency 
may provide one of the most cost effective ways to reduce energy demand, thereby enhancing 
security  of  energy  supply,  reducing  environmental  and  climate  impacts  and  boosting 
competitiveness.  

3.1.1.  Bring to mass market technologies and services for a smart and efficient energy use  

Reducing energy consumption and eliminating energy waste, while providing the services that 
society  and  economy  need,  requires  not  only  that  more,  efficient,  cost-competitive, 
environmentally-friendly, and smarter products and services are brought to mass market but 
also the integration of components and devices in such a way that they cooperate to optimise 
the overall energy use of buildings, services and industry.  

To ensure full adoption and full benefits for consumers (including the possibility for them to 
monitor  their  own  consumption),  energy  performance  of  these  technologies  and  services 
needs to be customised and optimised for and in their application environments. This requires 
not  only  researching,  developing  and  testing  innovative  Information  and  Communication 
Technologies (ICT) and monitoring and control techniques but also large-scale demonstration 
projects  and  pre-commercial  deployment  activities  to  ensure  interoperability  and  scalability. 
Such  projects  should  aim  to  develop  common  procedures  to  collect,  collate  and  analyse 
energy  consumption  and  emissions  data  to  improve  the  measurability,  transparency,  social 
acceptability, planning and visibility of energy use and its environmental impacts.  

3.1.2.  Unlock the potential of efficient and renewable heating-cooling systems 

A substantial share of energy is consumed for heating or cooling purposes across the Union 
and  the  development  of  cost-effective  and  efficient  technologies,  system  integration 
techniques  e.g.  network  connectivity  with  standardised  languages  and  services  in  this  area 
would  have  a  major  impact  in  reducing  energy  demand.  This  requires  research  and 
demonstration  of  new  systems  and  components  for  industrial  as  well  as  residential 
applications, for example in decentralised and district supply of hot water, space heating and 
cooling.  This  should  encompass  different  technologies:  solar  thermal,  geothermal,  biomass, 
heat  pumps,  combined  heat  and  power  etc,  and  meet  the  requirements  of  near-zero  energy 
buildings  and  districts.  Further  breakthroughs  are  needed,  in  particular,  in  thermal  storage 
from  renewable  energy  sources  and  to  foster  the  development  and  deployment  of  efficient 
combinations  of  hybrid  heating  and  cooling  systems,  for  centralised  and  de-centralised 
applications.  

3.1.3.  Foster European Smart cities and Communities 

Urban  areas  are  one  of  the  largest  consumers  of  energy  in  the  Union  and  emit  a 
correspondingly large share of greenhouse gases, while generating a substantial amount of air 
pollutants.  At  the  same  time,  urban  areas  are  affected  by  decreasing  air  quality  and  climate 
change and have to develop their own mitigation and adaptation strategies. Finding innovative 
energy  solutions  (energy  efficiency,  electricity  and  heating  and  cooling  supply  systems), 
integrated  with  transport,  waste  and  water  treatment  as  well  as  ICT  solutions  for  the  urban 
environment  are  therefore  crucial  in  the  transformation  towards  a  low  carbon  society. 
Targeted  initiatives  in  support  to  the  convergence  of  industrial  value  chains  of  the  energy, 
transport and ICT sector for smart urban applications need to be envisaged. At the same time, 
new  technological,  organisational,  planning  and  business  models  need  to  be  developed  and 

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tested at full scale according to the needs and means of cities and communities. Research is 
also  needed  to  understand  the  social,  economic  and  cultural  issues  that  are  involved  in  this 
transformation.  

3.2. 

Low-cost, low-carbon electricity supply  

Electricity will play a central role in the establishment of an environmentally sustainable low-
carbon economy. The uptake of low-carbon electricity generation is too slow due to the high 
costs involved. There is a pressing need to find solutions that reduce costs significantly, with 
enhanced performance and sustainability, to accelerate the market deployment of low carbon 
electricity generation. In particular to: 

3.2.1.  Develop the full potential of wind energy 

The objective for wind energy is to reduce the cost of electricity production of onshore and 
offshore wind by up to about 20 % by 2020 compared to 2010, to increasingly move offshore, 
and to enable proper integration in the electricity grid. The focus will be on the development, 
testing and demonstration of next generation wind energy conversion systems of larger scale, 
higher conversion efficiencies and higher availabilities for both on- and off-shore (including 
remote  locations  and  hostile  weather  environments)  as  well  as  new  serial  manufacturing 
processes.  

3.2.2.  Develop efficient, reliable and cost-competitive solar energy systems 

The cost of solar energy, covering photovoltaics (PV) and concentrating solar power (CSP), 
should be halved by 2020 compared to 2010, if it is to gain share of the electricity market.  

For PV, this will need long term research on novel concepts and systems, demonstration and 
testing of mass production with a view to large-scale deployment.  

For CSP, the focus will be on developing ways to increase efficiency while reducing costs and 
environmental  impact,  enabling  industrial  up-scaling  of  demonstrated  technologies  by 
building first-of-a-kind power plants. Solutions to efficiently combine the production of solar 
electricity with water desalination will be tested. 

3.2.3.  Develop  competitive  and  environmentally  safe  technologies  for  CO2  capture, 

transport and storage 

Carbon  capture  and  storage  (CCS)  is  a  key  option  that  has  to  be  widely  deployed  on  a 
commercial  scale  at  global  level  to  meet  the  challenge  of  a  decarbonised  power  generation 
and low carbon industry by 2050. The objective is to minimise the extra-cost of CCS in the 
power sector for coal-fired and gas-fired power plants compared to equivalent plants without 
CCS and energy intensive industrial installations.  

Support  will  be  given,  in  particular,  to  demonstrate  the  full  CCS  chain  for  a  representative 
portfolio  of  different  capture,  transport  and  storage  technology  options.  This  will  be 
accompanied  by  research  to  further  develop  these  technologies  and  to  deliver  more 
competitive  capture  technologies,  improved  components,  integrated  systems  and  processes, 
safe  geological  storage  and  rational  solutions  for  the  large-scale  re-use  of  captured  CO2  to 
enable the commercial deployment of CCS technologies for fossil fuel power plants and other 
carbon-intensive industries going into operation after 2020.  

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3.2.4.  Develop geothermal, hydro, marine and other renewable energy options  

Geothermal, hydro, and marine energy as well as other renewable energies can contribute to 
the decarbonisation of the European energy supply while enhancing its flexibility to variable 
production and use of energy. The objective is to bring to commercial maturity cost-effective 
and sustainable technologies, enabling large-scale deployment at an industrial scale including 
grid  integration.  Ocean  energies  such  as  tidal,  current  or  wave  energy  offer  truly  zero-
emission,  predictable  energy.  Research  activities  should  include  laboratory  scale  innovative 
research  into  low-cost  reliable  components  and  materials  in  a  high  corrosion,  biofouling 
environment as well as demonstrations under the varied conditions found in European waters. 

3.3. 

Alternative fuels and mobile energy sources  

Meeting Europe's energy and CO2 reduction goals also requires the development of new fuels 
and  mobile  energy  sources.  This  is  particularly  important  to  meet  the  challenge  of  smart, 
green  and  integrated  transport.  Value  chains  for  these  technologies  and  alternative  fuels  are 
not sufficiently developed and must be accelerated to demonstration scale. 

3.3.1.  Make bio-energy competitive and sustainable 

The  objective  for  bio-energy  is  to  bring  to  commercial  maturity  the  most  promising 
technologies,  to  permit  large-scale,  sustainable  production  of  advanced  second  generation 
biofuels of different value chains for transport, and highly efficient combined heat and power 
from  biomass,  including  CCS.  The  aim  is  to  develop  and  demonstrate  the  technology  for 
different bio-energy pathways at different scales, taking account of differing geographical and 
climate  conditions  and  logistical  constraints.  Longer  term  research  will  support  the 
development  of  a  sustainable  bio-energy  industry  beyond  2020.  These  activities  will 
complement  upstream  (feedstock,  bio-resources)  and  downstream  (integration  into  vehicle 
fleets) research activities carried out in other relevant Societal Challenges. 

3.3.2.  Reducing time to market for hydrogen and fuel cells technologies 

Fuel cells and hydrogen have a great potential to contribute to addressing energy challenges 
facing Europe. Bringing these technologies to market competitiveness will require significant 
cost decrease. As an illustration the cost of fuel cell systems for transportation will have to be 
reduced by a factor 10 over the next 10 years. To do so, support will be given to large scale 
demonstrations  and  pre-commercial  deployment  activities  for  portable,  stationary,  transport 
applications  and  the  related  services,  as  well  as  long-term  research  and  technology 
development to build up a competitive fuel cell chain and a sustainable hydrogen production 
and infrastructure across the Union. Strong national and international cooperation is needed to 
enable  market breakthroughs of a sufficient scale,  including the development  of appropriate 
standards.  

3.3.3.  New alternative fuels  

There is a range of new options with long term potential, such as powdered metal fuel, fuel 
from  photosynthetic  microorganisms  (in  water  and  land  environments)  and  from  artificial 
photosynthesis  mimics.  These  new  paths  may  offer  potential  for  more  efficient  energy 
conversion,  more  cost-competitive  and  sustainable  technologies,  and  almost  neutral 
"greenhouse gases" emitting processes that do not compete for agricultural lands. Support will 

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be  given  notably  to  bring  these  new  and  other  potential  technologies  from  laboratory  to 
demonstration scale size in view of pre-commercial demonstration by 2020. 

3.4. 

A single, smart European electricity grid 

Electricity  networks  have  to  respond  to  three  interrelated  challenges  to  enable  a  consumer 
friendly  and  increasingly  decarbonised  electricity  system:  creating  a  pan-European  market; 
integrating  a  massive  increase  of  renewable  energy  sources;  and  managing  interactions 
between  millions  of  suppliers  and  customers  (where  increasingly  households  will  be  both), 
including owners of electrical vehicles. Future electricity networks will play a key role for the 
transition to a fully decarbonised electricity system, while providing additional flexibility and 
cost benefits to the consumers. The overriding goal by 2020 is to transmit and distribute about 
35 % of electricity from dispersed and concentrated renewable energy sources. 

A strongly integrated research and demonstration effort will support the development of new 
components  and  technologies  which  will  respond  to  the  particularities  of  both  the 
transmission and distribution side of the grid, as well as storage.  

All  options  to  successfully  balance  energy  supply  and  demand  must  be  considered  to 
minimise  emissions  and  costs.  New  power  systems  technologies  and  a  bi-directional  digital 
communication infrastructure must be researched and integrated into the electricity grid. This 
will contribute to better plan, monitor, control and securely operate networks in normal and 
emergency conditions as well as to manage the interactions between suppliers and customers 
and to transport, manage and trade energy flow. For the deployment of future infrastructure, 
indicators  and  cost  benefit  analysis  should  take  into  account  energy  system-wide 
considerations.  In  addition,  synergies  between  smart  grids  and  telecommunication  networks 
will be maximised in order to avoid duplication of investments and to accelerate the take up 
of smart energy services  

Novel  energy  storage  means  (including  both  large  scale  and  batteries)  and  vehicle  systems 
will  provide  the  required  flexibility  between  production  and  demand.  Improved  ICT 
technologies will further increase the flexibility of electricity demand by providing customers 
(industrial, commercial and residential) with the necessary automation tools.  

New  planning,  market  and  regulatory  designs  need  to  drive  the  overall  efficiency  and  cost-
effectiveness of the electricity supply chain and interoperability of infrastructures as well as 
the emergence of an open and competitive market for smart grid technologies, products and 
services.  Large-scale  demonstration  projects  are  needed  to  test  and  validate  solutions  and 
assess  the  benefits  for  the  system  and  for  individual  stakeholders,  before  deploying  them 
across  Europe.  This  should  be  accompanied  by  research  to  understand  how  consumers  and 
businesses react to economic incentives, behavioural changes, information services and other 
innovative opportunities provided by smart grids. 

3.5. 

New knowledge and technologies 

Novel,  more  efficient  and  cost-competitive  technologies  will  be  required  for  the  long  term. 
Progress  should  be  accelerated  through  multi-disciplinarily  research  to  achieve  scientific 
breakthroughs  in  energy  related  concepts  and  enabling  technologies  (e.g.  nano-science, 
material  science,  solid  state  physics,  ICT,  bio-science,  computation,  space);  as  well  as  the 
development of innovations in future and emerging technologies. 

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Advanced  research  will  also  be  needed  to  provide  solutions  to  adapt  energy  systems  to 
changing  climatic  conditions.  Priorities  may  be  adjusted  to  new  scientific  and  technological 
needs  and  opportunities  or  newly-observed  phenomena  which  could  indicate  promising 
developments or risks to society and that may emerge during the course of implementation of 
Horizon 2020. 

3.6. 

Robust decision making and public engagement 

Energy  research  should  support  and  be  strongly  aligned  with  the  energy  policy.  Extensive 
knowledge of energy technologies and services, infrastructure, markets (including regulatory 
frameworks)  and  consumer  behaviour  is  required  to  provide  policy  makers  with  robust 
analyses.  Support  will  be  given,  in  particular  in  the  frame  of  the  European  Commission's 
Information  System  of  the  SET-Plan,  to  develop  robust  and  transparent  tools,  methods  and 
models to assess the main economic and social issues related to energy; to build databases and 
scenarios  for  an  enlarged  Union  and  the  assessment  of  the  impact  of  energy  and  energy-
related  policies  on  security  of  supply,  the  environment  and  climate  change,  society  and 
competitiveness of the energy industry; to carry out socio-economic research activities. 

Taking  advantage  of  the  possibilities  offered  by  web  and  social  technologies,  consumer 
behaviour  including  that  of  vulnerable  consumers  like  persons  with  disabilities  and 
behavioural changes will be studied in open innovation platforms such as the Living Labs and 
large scale demonstrators for service innovation. 

3.7.  Market uptake of energy innovation, empowering markets and consumers 

Innovative  market  uptake  and  replication  solutions  are  essential  to  rollout  new  energy 
technologies in time and through a cost effective implementation. In addition to technology-
driven research and demonstration, this requires actions with clear Union added value aiming 
to  develop,  apply,  share  and  replicate  non-technological  innovations  with  a  high  leverage 
factor in Union's sustainable energy markets across disciplines and levels of governance.  

Such  innovations  will  focus  on  creating  favourable  market  conditions  at  the  regulatory, 
administrative  and  financing  level  for  low-carbon,  renewable  and  energy  efficiencies 
technologies  and  solutions.  Support  will  be  given  to  measures  facilitating  the  energy  policy 
implementation, preparing the ground for rollout of the investments, supporting the capacity 
building and acting on public acceptance. 

Research and analysis repeatedly confirms the crucial role of the human factor in the success 
and  failure  of  sustainable  energy  policies.  Innovative  organisational  structures,  the 
dissemination  and  exchange  of  good  practices  and  specific  training  and  capacity  building 
actions will be encouraged. 

3.8. 

Specific implementation aspects 

The priority setting for the implementation of the activities in this challenge is led by the need 
to strengthen the European dimension of energy research and innovation. A main aim will be 
to support the implementation of the research and innovation agenda of the Strategic Energy 
Technology  Plan  (SET  Plan)24  to  achieve  the  objectives  of  the  Union's  energy  and  climate 
change  policy.  The  SET-Plan  roadmaps  and  implementation  plans  will  therefore  provide  a 

24 

COM(2007) 723 

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valuable  input  for  the  formulation  of  the  work  programmes.  The  SET  Plan  governance 
structure will be used as a principle basis for strategic priority setting and the coordination of 
Energy Research and innovation across the Union. 

The  non-technological  agenda  will  be  guided  by  the  Union's  energy  policy  and  legislation. 
The  enabling  environment  for  mass  deployment  of  demonstrated  technological  and  service 
solutions, processes and policy initiatives for low-carbon technologies and energy efficiency 
across  the  Union  shall  be  supported.  This  may  involve  support  to  technical  assistance  for 
development and roll-out of energy efficiency and renewable energy investments. 

Partnering  with  European  stakeholders  will  be  important  to  share  resources  and  implement 
jointly.  It  may  be  envisaged,  on  a  case  by  case  basis,  that  existing  European  Industrial 
Initiatives  of  the  SET  Plan  are  turned  into  formalised  public-private  partnerships,  if 
considered  appropriate,  to  increase  the  level  and  coherence  of  national  funding  and  to 
stimulate joint research and innovation actions among Member States. Consideration will be 
given  to  provide  support,  including  with  Member  States,  to  alliances  of  public  research 
performers, in particular, the European Energy Research Alliance established under the SET 
Plan to pool public research resources and infrastructures to address critical research areas of 
European  interest.  International  coordination  actions  shall  support  the  SET  Plan  priorities 
according  to  the  variable  geometry  principle,  taking  account  of  countries  capabilities  and 
specificities. 

The  European  Commission's  Information  System  of  the  SET-Plan  will  be  mobilised  to 
develop,  together  with  stakeholders,  key  performance  indicators  (KPIs)  to  monitor  the 
progress  of  implementation  and  which  will  be  revised  on  a  regular  basis  to  account  of  the 
latest developments. More broadly, implementation under this Challenge will seek to improve 
the  coordination  of  relevant  Union  Programmes,  initiatives  and  policies,  such  as  Cohesion 
policy, in particular through the national and regional strategies for smart specialisation, and 
the Emission Trading Scheme mechanisms, for example concerning support to demonstration 
projects. 

4. 

SMART, GREEN AND INTEGRATED TRANSPORT 

4.1. 

Resource efficient transport that respects the environment 

Europe  has  set  a  policy  target  of  achieving  a  60  %  reduction  of  CO2  by  2050.  It  aims  at 
halving the use of ‘conventionally-fuelled’ cars in cities and achieving virtually CO2-free city 
logistics in major urban centres by 2030. Low-carbon fuels in aviation should reach 40 % by 
2050, and CO2 emissions from maritime bunker fuels should be reduced by 40 % by 2050. 

Research and innovation will substantially contribute to the development and take up of the 
necessary solutions for all transport modes, which will drastically reduce transport's emissions 
that  are  harmful  to  the  environment  (such  as  CO2, NOx, and SOx), lower its dependence  on 
fossil fuels, and hence reduce transport impact on biodiversity and preserve natural resources. 

This will be done through work on the following specific activities: 

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4.1.1.  Making aircraft, vehicles and vessels cleaner and quieter will improve environmental 

performance and reduce perceived noise and vibration  

The  activities  in  this  domain  will  focus  on  the  end  products,  but  will  also  address  lean  and 
ecological  design  and  manufacturing  processes,  with  recyclability  integrated  in  the  design 
phase.  

(a) 

(b) 

(c) 

Developing  and  accelerating  the  take-up  of  cleaner  propulsion  technologies  is 
important  for  reducing  or  eliminating  CO2  and  pollution  from  transport.  New  and 
innovative solutions are necessary, based on electric engines and batteries, fuel cells, 
or  hybrid  propulsion.  Technological  breakthroughs  will  also  help  improve  the 
environmental performance of traditional propulsion systems.  

Exploring  options for  the  use of low emission  alternative energies will help reduce 
the consumption of fossil fuels. This includes using sustainable fuels and electricity 
from renewable energy sources in all modes of transport including aviation, reducing 
fuel  consumption  through  energy  harvesting  or  diversified  energy  supply  and  other 
innovative  solutions.  New  holistic  approaches  will  be  pursued  encompassing 
vehicles,  energy  storage  and  energy  supply  infrastructure,  including  vehicle-to-grid 
interfaces and innovative solutions for the use of alternative fuels. 

the  weight  of  aircraft,  vessels  and  vehicles  and 

Reducing 
their 
aerodynamic,  hydrodynamic  or  rolling  resistance  by  using  lighter  materials,  leaner 
structures and innovative design, will contribute to lower fuel consumption. 

lowering 

4.1.2.  Developing smart equipment, infrastructures and services 

This will help optimise transport operations and reduce resource consumption. The focus will 
be  on  the  efficient  use  and  management  of  airports,  ports,  logistic  platforms  and  surface 
transport infrastructures, as well as on autonomous and efficient maintenance and inspection 
systems.  Particular  attention  will  be  given  to  the  climate  resilience  of  infrastructures,  cost-
efficient  solutions  based  on  a  life-cycle  approach,  and  the  wider  take-up  of  new  materials 
allowing  for  more  efficient  and  lower  cost  maintenance.  Attention  will  also  be  paid  to 
accessibility and social inclusiveness. 

4.1.3. 

Improving transport and mobility in urban areas 

This will benefit a large and increasing share of the population which lives and works in cities 
or uses them for services and leisure. New mobility concepts, transport organisation, logistics 
and  planning  solutions  need  to  be  developed  and  tested,  which  will  contribute  to  reduce  air 
pollution  and  noise,  and  improve  efficiency.  Public  and  non-motorised  transport  as  well  as 
other resource-efficient transport options should be developed as a real alternative to the use 
of private motor vehicles, supported by greater use of intelligent transport systems as well as 
by innovative demand management. 

4.2. 

Better mobility, less congestion, more safety and security 

Relevant European transport policy goals aim to optimise performance and efficiency in the 
face of growing demands for mobility, to make Europe the safest region for aviation and to 
move towards the target of zero fatalities in road transport by 2050. By 2030, 30 % of road 
freight  transport  over  300  kilometres  should  shift  to  rail  and  waterborne  transport.  A 
continuous  and  efficient  pan-European  transport  of  people  and  goods,  also  internalising 

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external costs, requires a new European multimodal transport management, information and 
payment system.  

Research  and  innovation  will  make  important  contributions  to  these  ambitious  policy  goals 
through activities in the following specific activities: 

4.2.1.  A substantial reduction of traffic congestion 

This can be achieved by implementing a fully intermodal ‘door-to-door’ transport system and 
by avoiding unnecessary use of transport. This means promoting greater integration between 
transport  modes,  the  optimisation  of  transportation  chains  and  better  integrated  transport 
services. Such innovative solutions will also facilitate accessibility, including for the ageing 
population and vulnerable users.  

4.2.2. 

Substantial improvements in the mobility of people and freight 

This  can  be  achieved  through  the  development  and  widespread  use  of  intelligent  transport 
applications  and  management  systems.  This  entails:  planning,  demand  management, 
information and payment systems that are interoperable Europe-wide; and the full integration 
of information flows, management systems, infrastructure networks and mobility services into 
a  new  common  multi-modal  framework  based  on  open  platforms.  This  will  also  ensure 
flexibility  and  rapid  responses  to  crisis  events  and  extreme  weather  conditions  by 
reconfiguring travel across modes. New positioning, navigation and timing applications, made 
possible through the Galileo and EGNOS satellite navigation systems, will be instrumental in 
achieving this objective. 

(a) 

(b) 

(c) 

Innovative  air  traffic  management  technologies  will  contribute  to  a  step-change  in 
safety  and  efficiency  with  rapidly  increasing  demand,  to  achieve  improved 
punctuality,  to  reduce  time  spent  in  travel-related  procedures  at  airports  and  to 
achieve  resilience  in  the  air  transport  system.  The  implementation  and  further 
development  of  the  ‘Single  European  Sky’  will  be  supported  with  solutions  for 
increased  automation  and  autonomy  in  air  traffic  management  and  aircraft  control, 
better integration of air and ground components, and novel solutions for the efficient 
and seamless handling of passengers and freight throughout the transport system. 

For  waterborne  transport,  improved  and  integrated  planning  and  management 
technologies  will  contribute  to  the  emergence  of  a  ‘Blue  Belt’  in  the  seas  around 
Europe,  improving  port  operations,  and  to  a  suitable  framework  for  inland 
waterways. 

For rail and road, the optimisation of network management will improve efficient use 
of 
infrastructure  and  make  cross-border  operations  easier.  Comprehensive 
cooperative  road  traffic  management  and  information  systems  will  be  developed, 
relying on vehicle to vehicle and vehicle to infrastructure communication. 

4.2.3.  Developing and applying new concepts of freight transport and logistics 

This  can  reduce  pressure  on  the  transport  system  and  improve  safety  and  freight  capacity. 
They  can,  for  example,  combine  high  performance  and  low  environmental  impact  vehicles 
with smart, secure on-board and infrastructure-based systems (e.g. road trains). Activities will 
also support the development of the e-Freight vision of a paperless freight transport process, 

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where electronic information flows, services and payments are linked to physical freight flows 
across transport modes. 

4.2.4.  Reducing accident rates and fatal casualties and improving security 

This  will  be  achieved  by  addressing  aspects  inherent  to  the  organisation,  management  and 
monitoring of performance and risk of transport systems; and by focusing on the design and 
operations of aircraft, vehicles and vessels, infrastructures and terminals.. The focus will be 
on  passive  and  active  safety,  preventive  safety,  and  enhanced  automation  and  training 
processes to reduce the impact of human errors. To better anticipate, assess and mitigate the 
impact  of  weather  and  other  natural  hazards,  special  tools  and  techniques  will  be  devised. 
Activities  will  also  focus  on  the  integration  of  security  aspects  in  the  planning  and 
management  of  passenger  and  freight  flows,  on  the  conception  of  aircraft,  vehicles  and 
vessels, on traffic and system management and on the design of terminals.  

4.3. 

Global leadership for the European transport industry 

By  staying  ahead  in  new  technologies  and  reducing  the  costs  of  existing  manufacturing 
processes,  research  and  innovation  will  contribute  to  growth  and  highly  skilled  jobs  in  the 
European transport industry, in the face of growing competition. At stake is the preservation 
of the competitiveness of a major economic sector that directly represents 6.3 % of the Union 
GDP  and  employs  nearly  13  million  people  in  Europe.  Specific  objectives  include  the 
development of the next generation of innovative transport means and to prepare the ground 
for the following one, by working on novel concepts and designs, smart control systems and 
efficient  production  processes.  Europe  aims  at  becoming  the  world-leader  in  efficiency  and 
safety in all modes of transport.  

Research and innovation will focus on the following specific activities: 

4.3.1.  Developing the next generation of transport means as the way to secure market share 

in the future  

It  will  help  enhance  European  leadership  in  aircraft,  high  speed  trains,  (sub)urban  rail 
transport,  road  vehicles,  electromobility,  passenger  cruise  ships,  ferries  and  specialised  high 
technology  ships  and  marine  platforms.  It  will  also  spur  the  competitiveness  of  European 
industries  in  upcoming  technologies  and  systems  and  support  their  diversification  towards 
new  markets,  including  in  sectors  other  than  transport.  This  includes  the  development  of 
innovative safe aircraft, vehicles and vessels that incorporate efficient propulsion units, high 
performance and intelligent control systems. 

4.3.2.  On board, smart control systems 

These are needed to realise higher levels of performance and system integration in transport. 
Appropriate 
interfaces  for  communications  between  aircraft,  vehicles,  vessels  and 
infrastructures  in  all  relevant  combinations  will  be  developed,  with  a  view  to  defining 
common operational standards.  

4.3.3.  Advanced production processes 

These will allow customization, lower lifecycle cost and development time and facilitate the 
standardisation  and  certification  of  aircraft,  vehicles  and  vessels,  and  related  infrastructure. 
Activities  in  this  area  will  develop  fast  and  cost  efficient  design  and  manufacturing 

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techniques, including assembly, construction, maintenance and recycling, through digital tools 
and  automation,  and  capacity  to  integrate  complex  systems.  This  will  foster  competitive 
supply chains able to deliver with short time-to-market and reduced costs.  

4.3.4.  Exploring entirely new transport concepts 

This  will  help  enhance  Europe's  competitive  edge  in  the  longer  term  perspective.  Strategic 
research  and  proof  of  concept  activities  shall  address  innovative  transport  systems  and 
services, including fully automated and other new types of aircraft, vehicles and vessels with 
long term potential. 

4.4. 

Socio-economic research and forward looking activities for policy making 

Actions to support policy analysis and development including on socio-economic aspects of 
transport  are  necessary  to  promote  innovation  and  meet  the  challenges  raised  by  transport. 
Activities  will  target  the  development  and  implementation  of  European  research  and 
innovation  policies  for  transport,  prospective  studies  and  technology  foresight,  and 
strengthening of the European Research Area. 

Understanding  user  behaviour,  social  acceptance,  impact  of  policy  measures,  mobility 
patterns  and  business  models  and  their  implications  are  of  paramount  importance  for  the 
evolution  of  the  European  transport  system.  Scenario  development  taking  into  account 
societal  trends,  policy  objectives  and  technology  foresight  in  a  2050  perspective  will  be 
carried out. In view of better understanding the links between territorial development and the 
European transport system, robust models are needed on which sound policy decisions can be 
taken. 

Research  will  focus  on  how  to  prevent  social inequalities in access to  mobility,  and how to 
improve  the  position  of  vulnerable  road  users.  Economic  issues  must  also  be  addressed, 
focusing  on  ways  to  internalise  the  externalities  from  transport  across  modes,  as  well  as 
taxation and pricing models. Prospective research is needed to assess future requirements for 
skills and jobs. 

4.5. 

Specific implementation aspects 

In establishing the priorities in the work programme, in addition to the input of the external 
independent advice and of the various European Technology Platforms, account will be taken 
of the work carried out in the framework of the Strategic Transport Technology Plan. 

5. 

CLIMATE ACTION, RESOURCE EFFICIENCY AND RAW MATERIALS 

5.1. 

Fighting and adapting to climate change 

Current CO2 concentrations in the atmosphere are close to 40 % higher than those at the start 
of  the  industrial  revolution  and  at  the  highest  levels  experienced  in  the  last  2 million  years. 
Non-CO2 greenhouse gases also contribute to climate change and are playing an increasingly 
significant role. Without decisive action, climate change could cost the world at least 5 % of 
GDP each year; and up to 20 % under some scenarios. In contrast, with early and effective 
action the net costs could be limited to around 1 % of GDP per year. Meeting the 2°C target 
and  avoiding  the  worst  impacts  of  climate  change  will  require  developed  countries  to  cut 
greenhouse gas emissions by 80-95 % by 2050 compared to 1990 levels. 

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The  aim  of  this  activity  is  therefore  to  develop  and  assess  innovative,  cost-effective  and 
sustainable adaptation and mitigation measures, targeting both CO2 and non-CO2 greenhouse 
gases, and underlining both technological and non-technological green solutions, through the 
generation  of  evidence  for  informed,  early  and  effective  action  and  the  networking  of  the 
required competences. 

To achieve this, research and innovation will focus on the following: 

5.1.1. 

Improve  the  understanding  of  climate  change  and  the  provision  of  reliable  climate 
projections 

Better understanding of the causes and evolution of climate change and more accurate climate 
projections  are  crucial  for  society  to  protect  lives,  goods  and  infrastructures  and  ensure 
effective decision making. It is essential to further improve the scientific knowledge-base of 
climate  drivers,  processes,  mechanisms  and  feedbacks  associated  with  the  functioning  of 
oceans, terrestrial ecosystems and the atmosphere. Improved climate predictions at pertinent 
temporal and spatial scales will be supported via the development of more accurate scenarios 
and models, including fully coupled Earth-system models. 

5.1.2.  Assess impacts, vulnerabilities and develop innovative cost-effective adaptation and 

risk prevention measures:  

There is incomplete knowledge on the ability of society and the economy to adapt to climate 
change.  Effective,  equitable  and  socially  acceptable  measures  towards  a  climate  resilient 
environment  and  society  require  the  integrated  analysis  of  current  and  future  impacts, 
vulnerabilities,  population  exposure,  risks,  costs  and  opportunities  associated  with  climate 
change  and  variability,  taking  into  account  extreme  events  and  related  climate-induced 
hazards and their recurrence. This analysis will also be developed on the adverse impacts of 
climate  change  on  biodiversity,  ecosystems  and  ecosystem  services,  infrastructures  and 
economic  and  natural  assets.  Emphasis  will  be  placed  on  the  most  valuable  natural 
ecosystems  and  built  environments,  as  well  as  key  societal,  cultural  and  economic  sectors 
across  Europe.  Actions  will  investigate  the  impacts  and  growing  risks  for  human  health 
stemming  from  climate  change  and  increased  greenhouse  gases  concentrations  in  the 
atmosphere.  Research  will  evaluate  innovative,  equitably  distributed  and  cost-effective 
adaptation  responses  to  climate  change,  including  the  protection  and  adaptation  of  natural 
resources  and  ecosystems,  and  related  effects,  to  inform  and  support  their  development  and 
implementation at all levels and scales. This will also include the potential impacts, costs and 
risks,  of  geo-engineering  options.  The  complex  inter-linkages,  conflicts  and  synergies  of 
adaptation and risk-prevention policy choices with other climate and sectoral policies will be 
investigated, including impacts on employment and the living standards of vulnerable groups. 

5.1.3. 

Support mitigation policies 

The  Union's  transition  to  a  competitive,  resource  efficient  and  climate  change  resilient 
economy  by  2050  requires  the  design  of  effective,  long-term,  low-emission  strategies  and 
major advancements in our capacity to innovate. Research will assess the environmental and 
socio-economic  risks,  opportunities  and  impacts  of  climate  change  mitigation  options. 
Research  will  support  the  development  and  validation  of  new  climate-energy-economy 
models, taking into account economic instruments and relevant externalities, with the aim of 
testing mitigation policy options and low carbon technology pathways at different scales and 
for  the  key  economic  and  societal  sectors  at  Union  and  global  level.  Actions  will  facilitate 

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technological,  institutional  and  socio-economic  innovation  by  improving  the  links  between 
research  and  application  and  between  entrepreneurs,  end  users,  researchers  and  knowledge 
institutions. 

5.2. 

Sustainably managing natural resources and ecosystems 

Societies face a major challenge to establish a sustainable balance between human needs and 
the  environment.  Environmental  resources,  including  water,  air,  biomass,  fertile  soils, 
biodiversity,  ecosystems  and  the  services  they  provide,  underpin  the  functioning  of  the 
European  and  global  economy  and  quality  of  life.  Global  business  opportunities  related  to 
natural  resources  are  expected  to  amount  to  over  EUR  2  trillion  by  205025.  Despite  this, 
ecosystems  in  Europe  and  globally  are  being  degraded  beyond  nature's  ability  to  regenerate 
them and environmental resources are being over-exploited. For example, 1000 km² of some 
of  the  most  fertile  soils  and  valuable  ecosystems  are  lost  every  year  in  the  Union,  while  a 
quarter  of  fresh  water  is  wasted.  Continuing  these  patterns  is  not  an  option.  Research  must 
contribute  to  reversing  the  trends  that  damage  the  environment  and  to  ensuring  that 
ecosystems continue to provide the resources, goods and services that are essential for well-
being and economic prosperity. 

The  aim  of  this  activity  is  therefore  to  provide  knowledge  for  the  management  of  natural 
resources  that  achieves  a  sustainable  balance  between  limited  resources  and  the  needs  of 
society and the economy. 

To achieve this, research and innovation will focus on the following: 

5.2.1.  Further  our  understanding  of  the  functioning  of  ecosystems,  their  interactions  with 
social systems and their role in sustaining the economy and human well-being. 

Society's  actions  risk  triggering  changes  in  the  environment  that  are  irreversible  and  which 
alter the character of ecosystems. It is vital to anticipate these risks by assessing, monitoring 
and  forecasting  the  impact  of  human  activities  on  the  environment,  and  environmental 
changes  on  human  well-being.  Research  on  marine,  (from  coastal  zones  to  the  deep  sea), 
fresh-water,  terrestrial  and  urban  ecosystems,  including  groundwater  dependent  ecosystems, 
will  improve  our  understanding  of  the  complex  interactions  between  natural  resources  and 
social, economic, and ecological systems, including natural tipping points, and the resilience, 
or fragility, of human and biological systems. It will examine how ecosystems function and 
react to anthropogenic impacts, how they can be restored, and how this will affect economies 
and human well-being. It will also investigate solutions for addressing resource challenges. It 
will contribute to policies and practices that ensure that social and economic activities operate 
within the limits of the sustainability and adaptability of ecosystems and biodiversity.  

5.2.2.  Provide knowledge and tools for effective decision making and public engagement 

Social,  economic  and  governance  systems  still  need  to  address  both  resource  depletion  and 
the damage to ecosystems. Research and innovation will underpin policy decisions needed to 

25 

Estimates  developed  by  PricewaterhouseCoopers 
for  “sustainability-related  global  business 
opportunities in natural resources (including energy, forestry, food and agriculture, water and metals)” 
and  WBCSD  (2010)  Vision  2050:  The  New  Agenda  for  Business,  World  Business  Council  for 
Sustainable  Development:  Geneva,  URL:  http://www.wbcsd.org/web/projects/BZrole/Vision2050-
FullReport_Final.pdf 

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manage natural resources and ecosystems so as to avoid, or adapt to, disruptive climate and 
environmental change and to promote institutional, economic, behavioural and technological 
change that ensure sustainability. Emphasis will be put on critical policy relevant ecosystems 
and  ecosystem  services,  such  as  fresh  water,  seas  and  oceans,  air  quality,  biodiversity,  land 
use  and  soil.  The  resilience  of  societies  and  ecosystems  to  catastrophic  events,  including 
natural  hazards,  will  be  supported  through  improving  capacities  for  forecasting,  early 
warning,  and  assessing  vulnerabilities  and  impacts,  including  the  multi-risk  dimension. 
Research and innovation will thus provide support for environmental and resource efficiency 
policies,  and  options  for  effective  evidence-based  governance  within  safe  operating  limits. 
Innovative  ways  will  be  developed  to  increase  policy  coherence,  resolve  trade-offs  and 
manage  conflicting  interests,  and  improve  public  awareness  of  research  results  and  the 
participation of citizens in decision-making. 

5.3. 

Ensuring  the  sustainable  supply  of  non-energy  and  non-agricultural  raw 
materials 

Sectors  such  as  construction,  chemicals,  automotive,  aerospace,  machinery  and  equipment, 
which have a combined added value in excess of EUR 1,000 billion and provide employment 
for some 30 million people, all depend on access to raw materials. The Union is self-sufficient 
in construction minerals. Nonetheless, whilst the Union is one of the world's largest producers 
of  certain  industrial  minerals,  it  remains  a  net  importer  of  most  of  them.  Furthermore,  the 
Union is highly dependent on imports of metallic minerals and is totally import dependent for 
some critical raw materials. 

Recent  trends  indicate  that  demand  for  raw  materials  will  be  driven  by  the  development  of 
emerging economies and by the rapid diffusion of key enabling technologies. Europe has to 
ensure a sustainable management and secure a sustainable supply of raw materials from inside 
and outside its borders for all sectors that depend on access to raw materials. Policy targets for 
critical raw materials are outlined in the Commission's Raw Materials Initiative26. 

The  aim  of  this  activity  is  therefore  to  improve  the  knowledge  base  on  raw  materials  and 
develop innovative solutions for the cost-effective and environmentally friendly exploration, 
extraction,  processing,  recycling  and  recovery  of  raw  materials  and  for  their  substitution  by 
economically attractive alternatives with a lower environmental impact. 

To achieve this, research and innovation will focus on the following: 

5.3.1. 

Improve the knowledge base on the availability of raw materials 

The assessment of the long-term availability of global and Union resources, including access 
to urban mines (landfills and mining waste), deep-sea resources (e.g., the sea-bed mining of 
rare  earth  minerals)  and  the  associated  uncertainties  will  be  improved.  This  knowledge  will 
help  society  reach  a  more  efficient  use,  recycling  and  reuse  of  scarce  or  environmentally 
harmful  raw  materials.  It  will  also  develop  global  rules,  practices  and  standards  governing 
economically  viable,  environmentally  sound  and  socially  acceptable  resource  exploration, 
extraction and processing, including practices in land use and marine spatial planning. 

26 

COM (2008) 699 

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5.3.2.  Promote  the  sustainable  supply  and  use  of  raw  materials,  covering  exploration, 

extraction, processing, recycling and recovery  

Research and innovation is needed over the entire life cycle of materials, in order to secure an 
affordable,  reliable,  and  sustainable  supply  and  management  of  raw  materials  essential  for 
European industries. Developing and deploying economically viable, socially acceptable and 
environmentally  friendly  exploration,  extraction  and  processing  technologies  will  boost  the 
efficient  use  of  resources.  This  will  also  exploit  the  potential  of  urban  mines.  New  and 
economically  viable  recycling  and  materials  recovery  technologies,  business  models  and 
processes will also contribute to reducing the Union’s dependence on the supply of primary 
raw materials. This will include the need for longer use, high-quality recycling and recovery, 
and the need to drastically reduce resource wastage. A full life-cycle approach will be taken, 
from the supply of available raw materials to end of life, with minimum energy and resources 
requirements.  

5.3.3.  Find alternatives for critical raw materials 

In anticipation of the possible reduced global availability of certain materials, due for example 
to  trade  restrictions,  sustainable  substitutes  and  alternatives  for  critical  raw  materials,  with 
similar  functional  performance,  will  be  investigated  and  developed.  This  will  reduce  the 
Union's dependence on primary raw materials and improve the impact on the environment. 

5.3.4. 

Improve societal awareness and skills on raw materials 

The  necessary  move  to  a  more  self-reliant  and  resource  efficient  economy  will  require 
cultural,  behavioural,  socio-economic  and  institutional  change.  In  order  to  address  the 
growing  problem  of  skills  shortage  in  the  Union's  raw  materials  sector,  (including  the 
European  mining  industry),  more  effective  partnerships  between  universities  and  geological 
surveys and industry will be encouraged. It will also be essential to support the development 
of innovative green skills. In addition there is still limited public awareness of the importance 
of  domestic  raw  materials  for  the  European  economy.  To  facilitate  the  necessary  structural 
changes, research and innovation will aim to empower citizens, policy-makers, practitioners 
and institutions. 

5.4. 

Enabling the transition towards a green economy through eco-innovation 

The Union cannot prosper in a world of ever increasing resource consumption, environmental 
degradation  and  biodiversity  loss.  Decoupling  growth  from  the  use  of  natural  resources 
requires  structural  changes  in  how  such  resources  are  used,  re-used  and  managed,  while 
safeguarding  our  environment.  Eco-innovations  will  enable  us  to  reduce  pressure  on  the 
environment,  increase  resource  efficiency,  and  put  the  Union  on  the  path  to  a  resource  and 
energy  efficient  economy.  Eco-innovation  also  creates  major  opportunities  for  growth  and 
jobs, and increases European competitiveness within the global market, which is estimated to 
grow to a trillion Euro market after 201527. Already 45 % of companies have introduced some 
type of eco-innovation. It has been estimated that around 4 % of eco-innovations led to more 

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European Parliament "Policy Department Economic and Scientific Policy, Eco-innovation - putting the 
EU on the path to a resource and energy efficient economy, Study and briefing notes", March 2009 

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than  a  40  %  reduction  of  material  use  per  unit  of  output28,  highlighting  the  great  future 
potential. 

The  aim  of  this  activity  is  therefore  to  foster  all  forms  of  eco-innovation  that  enable  the 
transition to a green economy. 

To achieve this, research and innovation will focus on the following: 

5.4.1. 

Strengthen eco-innovative technologies, processes, services and products and boost 
their market uptake.  

innovation,  both 

incremental  and  radical,  combining 

All  forms  of 
technological, 
organisational,  societal,  behavioural,  business  and  policy  innovation,  and  strengthening  the 
participation of civil society, will be supported. This will underpin a more circular economy, 
while  reducing  environmental  impacts  and  taking  account  of  rebound  effects  on  the 
environment.  This  will  include  business  models,  industrial  symbiosis,  product  service 
systems,  product  design,  full  life  cycle  and  cradle-to-cradle  approaches.  The  aim  will  be  to 
improve resource efficiency by reducing, in absolute terms, inputs, waste and the release of 
harmful  substances  along  the  value  chain  and  foster  re-use,  recycling  and  resource 
substitution.  Emphasis  will  be  given  to  facilitate  the  transition  from  research  to  market, 
involving  industry  and  notably  SMEs,  from  the  development  of  prototypes  to  their 
introduction in the market and replication. Networking among eco-innovators will also seek to 
enhance the dissemination of knowledge and better link supply with demand. 

5.4.2. 

Support innovative policies and societal changes 

Structural  and  institutional  changes  are  needed  to  enable  the  transition  towards  a  green 
economy.  Research  and  innovation  will  address  the  main  barriers  to  societal  and  market 
change  and  will  aim  to  empower  consumers,  business  leaders  and  policy  makers  to  adopt 
innovative  and  sustainable  behaviour.  Robust  and  transparent  tools,  methods  and  models  to 
assess and enable the main economic, societal and institutional changes needed to achieve a 
paradigm  shift  towards  a  green  economy  will  be  developed.  Research  will  explore  how  to 
promote  sustainable  consumption  patterns,  encompassing  socio-economic 
research, 
behavioural  science,  user  engagement  and  public  acceptance  of  innovation,  as  well  as 
activities  to  improve  communication  and  public  awareness.  Full  use  will  be  made  of 
demonstration actions. 

5.4.3.  Measure and assess progress towards a green economy 

It  is  necessary  to  develop  robust  indicators  at  all  appropriate  spatial  scales  that  are 
complementary to GDP, methods and systems to support and assess the transition towards a 
green  economy  and  the  effectiveness  of  relevant  policy  options.  Driven  by  a  life-cycle 
approach,  research  and  innovation  will  improve  the  quality  and  availability  of  data, 
measurement  methods  and  systems  relevant  to  resource  efficiency  and  eco-innovation  and 
facilitate the development of innovative offset schemes. Socio economic research will provide 
a  better  understanding  of  the  root  causes  of  producer  and  consumer  behaviour  and  thus 
contribute  to  the  design  of  more  effective  policy  instruments  to  facilitate  the  transition  to  a 
resource  efficient  and  climate  change  resilient  economy.  Moreover,  technology  assessment 

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Eco-innovation Observatory "The Eco-Innovation Challenge - Pathways to a resource-efficient Europe - 
Annual Report 2010", May 2011 

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methodologies and integrated modelling will be developed to support resource efficiency and 
eco-innovation  policies  at  all  levels,  while  increasing  policy  coherence  and  resolving  trade-
offs. The results will enable the monitoring, assessment and reduction in material and energy 
flows involved in production and consumption, and will enable policy-makers and businesses 
to integrate environmental costs and externalities into their actions and decisions. 

5.4.4.  Foster resource efficiency through digital systems 

Innovations  in  information  and  communication  technologies  can  constitute  a  key  tool  to 
support  resource  efficiency.  To  achieve  this  objective,  modern  and  innovative  ICT  will 
contribute  to  significant  efficiency  gains  in  productivity,  notably  through  automated 
processes,  real  time  monitoring  and  decision  support  systems.  The  use  of  ICT  will  look  to 
accelerate  a  progressive  dematerialisation  of  the  economy,  by  increasing  the  shift  towards 
digital  services,  and  to  facilitate  changes  of  consumption  behaviours  and  business  models 
through the use of the ICT of the future. 

5.5. 

Developing comprehensive and sustained global environmental observation and 
information systems 

Comprehensive  environmental  observation  and  information  systems  are  essential  to  ensure 
the delivery of the long-term data and information required to address this challenge. These 
systems  will  be  used  to  assess  and  predict  the  condition,  status  and  trends  of  the  climate, 
natural  resources  including  raw  materials,  ecosystems  and  ecosystem  services,  as  well  as  to 
evaluate  low-carbon  and  climate  mitigation  and  adaptation  policies  and  options  across  all 
sectors  of  the  economy.  Information  and  knowledge  from  these  systems  will  be  used  to 
stimulate the smart use of strategic resources; to support the development of evidence-based 
policies; to foster new environmental and climate services; and to develop new opportunities 
in global markets.  

Capabilities, technologies and data infrastructures for earth observation and monitoring must 
build  on  advances  in  ICT,  space  technologies  and  enabled  networks,  remotely  sensed 
observations,  novel  in  situ  sensors,  mobile  services,  communication  networks,  participatory 
web-service  tools  and  improved  computing  and  modelling  infrastructure,  with  the  aim  of 
continuously providing timely and accurate information, forecasts and projections. Free, open 
and unrestricted access to interoperable data and information will be encouraged, as well as 
the effective storage, management and dissemination of research results.  

5.6. 

Specific implementation aspects 

Activities will enhance the Union's participation in and financial contribution to multilateral 
processes and initiatives, such as the Intergovernmental Panel on Climate Change (IPCC), the 
Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES), and the Group 
on  Earth  Observations  (GEO).  Cooperation  with  other  major  public  and  private  research 
funders  will  improve  global  and  European  research  efficiency  and  contribute  to  global 
research governance. 

S&T cooperation will contribute to the UNFCCC global technology mechanism and facilitate 
technology  development,  innovation  and  transfer  in  support  of  climate  adaptation  and  the 
mitigation of greenhouse gases. 

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Building  on  the  outcomes  of  the  UN  Rio+20  Conference,  a  mechanism  will  be  explored  to 
systematically  collect,  collate  and  analyse  scientific  and  technological  knowledge  on  key 
sustainable  development  and  green  economy  issues,  which  will  include  a  framework  for 
measuring  progress.  This  will  complement  existing  scientific  panels  and  bodies  and  seek 
synergies with them. 

Research actions under this challenge will contribute to Global Monitoring for Environment 
and Security (GMES) operational services by providing a developmental knowledge base for 
GMES. 

Specific measures will ensure that results from Union research and innovation in the fields of 
climate,  resource  efficiency  and  raw  materials  are  used  downstream  by  other  Union 
programmes,  such  as  the  LIFE  +  programme,  regional  and  structural  funds,  and  external 
cooperation programmes. 

An Advisory Network of Institutes may be established to provide: the continuous analysis of 
scientific and technological progress in the Union and its major partner countries and regions; 
an  early  investigation  of  market  opportunities  for  new  environmental  technologies  and 
practices; foresight for research & innovation and policy. 

6. 

INCLUSIVE, INNOVATIVE AND SECURE SOCIETIES 

6.1. 

Inclusive societies 

Current trends at play in European societies bring with them opportunities for a more united 
Europe but also risks. These opportunities and risks need to be understood and anticipated in 
order  for  Europe  to  evolve  with  adequate  solidarity  and  cooperation  at  social,  economic, 
political and cultural levels, taking into account an increasingly interconnected world. 

In  this  context,  the  objective  is  to  enhance  social,  economic  and  political  inclusion,  combat 
poverty,  enhance  human  rights,  digital  inclusiveness,  equality,  solidarity  and  inter-cultural 
dynamics  by  supporting  interdisciplinary  research,  indicators,  technological  advances, 
organisational solutions and new forms of collaboration and co-creation. Research and other 
activities  shall  support  the  implementation  of  the  Europe  2020  strategy  as  well  as  other 
relevant  Union  foreign  policies.  Humanities  research  may  have  an  important  role  to  play  in 
this context. Specifying, monitoring and assessing the objectives of European strategies and 
policies will require focused research on high-quality statistical information systems, and the 
development  of  adapted  instruments  that  allow  policy  makers  to  assess  the  impact  and 
effectiveness of envisaged measures, in particular in favour of social inclusion. 

The following specific objectives will be pursued: 

6.1.1.  Promoting smart, sustainable and inclusive growth 

The  constant  quest  for  economic  growth  carries  a  number  of  important  human,  social, 
environmental  and  economic  costs.  A  smart,  sustainable  and  inclusive  growth  in  Europe 
implies substantial changes in the way growth and wellbeing are defined, measured (including 
through the measurement of progress beyond the commonly used GDP indicator), generated 
and sustained over time. Research will analyse the development of sustainable lifestyles and 
socio-economic behaviours and values and how they relate to paradigms, policies and to the 
functioning  of  institutions,  markets,  firms,  governance  and  belief  systems  in  Europe.  It  will 

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develop tools for a better assessment of the contextual and mutual impacts of such evolutions 
and  policy  options  in  areas  such  as  employment,  taxation,  inequalities,  poverty,  social 
inclusion,  education  and  skills,  community  development,  competitiveness  and  the  Internal 
Market. It will also analyse how national economies evolve and which forms of governance at 
European  and  international  level  could  help  prevent  macro-economic  imbalances,  monetary 
difficulties, fiscal competition, unemployment and employment problems and other forms of 
economic  and  financial  disorders.  It  will  take  into  account  the  growing  interdependencies 
between Union and global economies, markets and financial systems.  

6.1.2.  Building resilient and inclusive societies in Europe 

Understanding social transformations in Europe requires the analysis of changing democratic 
practices  and  expectations  as  well  as  of  the  historical  evolution  of  identities,  diversity, 
territories, religions, cultures and values. This includes a good understanding of the history of 
European  integration.  Besides,  understanding  the  strains  and  opportunities  arising  from  the 
uptake of ICT, both at individual and collective levels, is important in order to open new paths 
of  inclusive  innovation.  It  is  essential  to  identify  ways  to  adapt  and  improve  the  European 
welfare systems, public services and the broader social security dimension of policies in order 
to  achieve  cohesion  and  promote  more  social  and  economic  equality  and  intergenerational 
solidarity. Research will analyse how societies and politics become more European in a broad 
sense through evolutions of identities, cultures and values, the circulation of ideas and beliefs 
and combinations of principles and practices of reciprocity, commonality and equality. It will 
analyse  how  vulnerable  populations  can  participate  fully  in  society  and  democracy,  notably 
through the acquisition of various skills and the protection of human rights. The analysis of 
how  political  systems  respond  or  not  to  such  social  evolutions  and  themselves  evolve  will 
thus  be  central.  Research  will  also  address  the  evolution  of  key  systems  that  provide 
underlying forms of social bonds, such as family, work, education and employment and help 
combat poverty. It will take into account the importance of migration and demography in the 
future development of European policies.  

Given the increasing socio-economic importance of digital inclusion, research and large-scale 
innovation actions will promote inclusive ICT solutions and the effective acquisition of digital 
skills leading to the empowerment of citizens and a competitive workforce. Emphasis will be 
given 
in 
personalisation,  user-friendliness  and  accessibility  through  a  better  understanding  of  citizen, 
consumer  and  user  behaviours  and  values,  including  persons  with  disabilities.  This  will 
require an "inclusion by design" research and innovation approach.  

that  will  enable  a  radical 

technological  advances 

improvement 

to  new 

6.1.3. 

Strengthening Europe's role as a global actor.  

Europe's  distinct  historical,  political,  social  and  cultural  system  is  increasingly  confronted 
with  the  impact  of  global  changes.  In  order  to  further  develop  its  external  action  in  its 
neighbourhood and beyond and its role as a global actor, Europe has to improve its capacities 
for defining, prioritising, explaining, assessing and promoting its policy objectives with other 
world regions and societies to further cooperation or prevent or solve conflicts. In this regard, 
it  also  has  to  improve  its  capacities  for  anticipating  and  responding  to  the  evolution  and 
impacts  of  globalisation.  This  requires  a  greater  understanding  of  the  history,  cultures  and 
political-economic  systems  of  other  world  regions,  as  well  as  of  the  role  and  influence  of 
transnational actors. Finally, Europe also has to contribute effectively to global governance in 
key domains like trade, development, work, economic cooperation, human rights, defence and 
security. This implies the potential to build new capacities whether in terms of tools, systems 

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and  instruments  of  analysis  or  in  terms  of  diplomacy  in  formal  and  informal  international 
arena with governmental and non governmental actors. 

6.1.4.  Closing the research and innovation divide in Europe  

There  are  significant  regional  disparities  across  Europe  in  research  and  innovation 
performance  which  need  to  be  addressed.  Measures  will  aim  at  unlocking  excellence  and 
innovation  and  will  be  distinct,  complementary  and  synergistic  with  policies  and  actions  of 
the Cohesion policy Funds. They include: 

– 

– 

– 

– 

Linking  in  a  competition  emerging  institutions,  centres  of  excellence  and 
innovative  regions  in  less  developed  Member  States  to  international  leading 
counterparts  elsewhere  in  Europe.  This  will  involve  teaming  of  excellent 
research  institutions  and  less  developed  regions,  twinningof  staff  exchanges, 
expert  advice  and  assistance  and  the  development  of  joint  strategies  for  the 
establishment of centres of excellence that may be supported by the Cohesion 
policy funds in less developed regions. Building links with innovative clusters 
and  recognising  excellence  in  less  developed  regions,  including  through  peer 
reviews  and  awarding  labels  of  excellence  to  those  institutions  that  meet 
international standards, will be considered.  

Establishing 'ERA Chairs' to attract outstanding academics to institutions with 
a clear potential for research excellence, in order to help these institutions fully 
unlock  this  potential  and  hereby  create  a  level  playing  field  for  research  and 
innovation  in  the  European  Research  Area.  This  will  include  institutional 
support  for  creating  a  competitive  research  environment  and  the  framework 
conditions necessary for attracting, retaining and developing top research talent 
within these institutions. 

Supporting  access  to  international  networks  for  excellent  researchers  and 
innovators  who  lack  sufficient  involvement  in  European  and  international 
networks.  This  will  include  support  provided  through  COST  and  National 
Contact Points. 

Supporting the development and monitoring of smart specialisation strategies. 
A policy support facility will be developed and policy learning at regional level 
will  be  facilitated  through  international  evaluation  by  peers  and  best  practice 
sharing. 

6.2. 

Innovative societies 

The shrinking Union share of global knowledge production emphasizes the need to maximise 
the socio-economic impacts and efficiency of research and innovation policies and to increase 
substantially transnational policy synergies and coherence. Innovation will be addressed in a 
wide sense, including large scale policy, user- and market-driven innovation. These activities 
will support the achievement and functioning of the European Research Area and in particular 
the Flagship initiatives of the Europe 2020 strategy in favour of the 'Innovation Union' and the 
'Digital Agenda for Europe'. 

The following specific objectives will be pursued: 

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6.2.1. 

Strengthening the evidence base and support for the Innovation Union and European 
Research Area 

In  order  to  assess  and  prioritise  investments  and  strengthen  the  Innovation  Union  and  the 
European Research Area, the analysis of research and innovation policies, systems and actors 
in Europe and third countries as well as the development of indicators, data and information 
infrastructures  will  be  supported.  Forward-looking  activities  and  pilot  initiatives,  economic 
analysis,  policy  monitoring,  mutual  learning,  coordination  tools  and  activities  and  the 
development  of  methodologies  for  impact  assessment  and  evaluations  will  also  be  needed, 
exploiting  direct  feedback  from  research  stakeholders,  enterprises,  public  authorities  and 
citizens.  

To  ensure  a  single  market  for  research  and  innovation,  measures  to  incentivise  ERA 
compatible  behaviour  will  be  implemented.  Activities  underpinning  policies  related  to  the 
quality of research training, mobility and career development of researchers will be supported, 
including initiatives to provide for mobility services, open recruitment, researchers' rights and 
links  with  global  researcher  communities.  These  activities  will  be  implemented  seeking 
synergies  and  close  coordination  with  the  Marie  Curie  Actions  under  'Excellent  science'. 
Institutions  presenting  innovative  concepts  for  the  rapid  implementation  of  ERA  principles, 
including the European Charter for Researchers and the Code of Conduct for the Recruitment 
of Researchers, will be supported. 

As regard coordination of policies, a facility for policy advice will be set up to make expert 
policy  advice  available  to  national  authorities  when  defining  their  National  Reform 
Programmes and research and innovation strategies. 

To  implement  the  Innovation  Union  initiative,  there  is  also  a  need  to  support  (private  and 
public) market-driven innovation in view of enhancing the innovation capacity of firms and 
fostering  European  competitiveness.  This  will  require  improving  the  overall  framework 
conditions  for  innovation  as  well  as  tackling  the  specific  barriers  preventing  the  growth  of 
innovative  firms.  Powerful  innovation  support  mechanisms  (for  e.g.  improved  cluster 
management,  public-private  partnerships  and  network  cooperation),  highly  specialised 
innovation  support  services  (on  e.g.  IPR  management/exploitation,  innovation  management, 
networks  of  procurers)  and  reviews  of  public  policies  in  relation  to  innovation  will  be 
supported. Issues specific to SMEs will be supported under the specific objective 'Innovation 
in SMEs'. 

6.2.2.  Exploring new forms of innovation, including social innovation and creativity  

Social  innovation  generates  new  goods,  services,  processes  and  models  that  meet  societal 
needs and create new social relationships. It is important to understand how social innovation 
and  creativity  may  lead  to  change  in  existing  structures  and  policies  and  how  they  can  be 
encouraged  and  scaled-up.  Grassroots  on-line  and  distributed  platforms  networking  citizens 
and allowing them to collaborate and co-create solutions based on an extended awareness of 
the social, political and environmental context can be a powerful tool to support the objectives 
of Europe 2020. Support will also be given to networking and experimentation of the use of 
ICT for improving learning processes, as well as to networks of social innovators and social 
entrepreneurs.  

It will be essential to promote innovation in order to foster efficient, open and citizen-centric 
public  services  (eGovernment).  This  will  require  multidisciplinary  research  on  new 

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related 

innovation 

large-scale 

in  particular 

technologies  and 
to  digital  privacy, 
interoperability,  personalised  electronic  identification,  open  data,  dynamic  user  interfaces, 
citizen-centric  public  service  configuration  and  integration  and  innovation  driven  by  users, 
including in social sciences and the humanities. Such actions will also address social-network 
dynamics  and  crowd-sourcing  and  smart-sourcing  for  co-production  of  solutions  addressing 
social problems, based on open data sets. They will help to manage complex decision-making, 
in  particular  the  handling  and  analysis  of  huge  quantities  of  data  for  collaborative  policy 
modelling,  simulation  of  decision-making,  visualisation  techniques,  process  modelling  and 
participatory  systems  as  well  as  to  analyse  changing  relationships  between  citizens  and  the 
public sector.  

6.2.3.  Ensuring societal engagement in research and innovation.  

Enabling all societal actors to interact in the innovation cycle increases the quality, relevance, 
acceptability and sustainability of innovation outcomes by integrating society's interests and 
values.  This  requires  developing  specific  skills,  knowledge  and  capacities  at  individual  and 
organisational  as  well  as  at  national  and  transnational  levels.  A  scientifically  literate, 
responsible  and  creative  society  will  be  nurtured  through  the  promotion  of  and  research  on 
appropriate  science  education  methods.  Gender  equality  will  be  promoted  in  particular  by 
supporting changes in the organisation of research institutions and in the content and design 
of  research  activities.  In  order  to  improve  knowledge  circulation  within  the  scientific 
community  and  the  wider  public,  the  accessibility  and  use  of  the  results  of  publicly  funded 
research will be further developed. An Ethics Framework for research and innovation, based 
on the fundamental ethical principles including those reflected in the Charter of Fundamental 
Rights  and  all  the  relevant  Union  laws  and  Conventions,  will  be  promoted  in  coordination 
with relevant international organisations.  

6.2.4.  Promoting coherent and effective cooperation with third countries.  

Horizontal activities will ensure the strategic development of international cooperation across 
Horizon  2020  and  address  cross-cutting  policy  objectives.  Activities  to  support  bilateral, 
multilateral and bi-regional policy dialogues in research and innovation with third countries, 
regions,  international  fora  and  organisations  will  facilitate policy  exchange,  mutual  learning 
and  priority  setting,  promote  reciprocal  access  to  programmes  and  monitor  the  impact  of 
cooperation.  Networking  and  twinning  activities  will  facilitate  optimal  partnering  between 
research  and  innovation  actors  on  both  sides  and  improve  competencies  and  cooperation 
capacity in less advanced third countries. Activities will promote coordination of Union and 
national cooperation policies and programmes as well as joint actions of Member States and 
Associated Countries with third countries in order to enhance their overall impact. Finally, the 
European  research  and  innovation  'presence'  in  third  countries  will  be  consolidated  and 
strengthened, notably by promoting the creation of European 'science and innovation houses', 
services  to  European  organisations  extending  their  activities  into  third  countries  and  the 
opening  of  research  centres  established  jointly  with  third  countries  to  organisations  or 
researchers from other Member States and Associated Countries. 

6.3. 

Secure societies 

The European Union, its citizens and its international partners are confronted with a range of 
security  threats  like  crime,  terrorism  and  mass  emergencies  due  to  man-made  or  natural 
disasters. These threats can span across borders and aim at physical targets or the cyberspace. 
Attacks  against  Internet  sites  of  public  authorities  and  private  entities  for  instance  not  only 

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undermine  the  citizen's  trust  but  may  seriously  affect  such  essential  sectors  as  energy, 
transport, health, finance or telecommunications. 

In order to anticipate, prevent and manage these threats, it is necessary to develop and apply 
innovative  technologies,  solutions,  foresight  tools  and  knowledge,  stimulate  cooperation 
between providers and users, find civil security solutions, improve the competitiveness of the 
European security, ICT and services industries and prevent and combat the abuse of privacy 
and breaches of human rights in Internet. 

The  coordination  and  improvement  of  the  security  research  area  will  thus  be  an  essential 
element  and  will  help  to  map  present  research  efforts,  including  foresight,  and  improve 
relevant legal conditions and procedures for coordination, including pre-normative activities. 

Activities  will  follow  a  mission-oriented  approach  and  integrate  the  relevant  societal 
dimensions. They will support the Union's policies for internal and external security, defence 
policies, and the relevant new provision of the Lisbon Treaty, and ensure cyber security, trust 
and privacy in the Digital single Market. The following specific objectives will be pursued:  

6.3.1.  Fighting crime and terrorism.  

The  ambition  is  both  to  avoid  an  incident  and  to  mitigate  its  potential  consequences.  This 
requires new technologies and capabilities (including against cyber crime and cyber terrorism) 
for the support to health, food, water and environmental security which are essential for the 
good functioning of society and economy. New technologies and dedicated capabilities will 
help  to  protect  critical  infrastructures,  systems  and  services  (including  communications, 
transport, health, food, water, energy, logistic and supply chain, and environment). This will 
include  analysing  and  securing  public  and  private  critical  networked  infrastructures  and 
services against any type of threats. 

6.3.2. 

Strengthening security through border management  

Technologies  and  capabilities  are  also  required  to  enhance  systems,  equipments,  tools, 
processes,  and  methods  for  rapid  identification  to  improve  border  security,  including  both 
control and surveillance issues, while exploiting the full potential of EUROSUR. These will 
be  developed  and  tested  considering  their  effectiveness,  compliance  with  legal  and  ethical 
principles,  proportionality,  social  acceptability  and  the  respect  of  fundamental  rights. 
Research will also support the improvement of the integrated European border management, 
including  through  increased  cooperation  with  candidate,  potential  candidate  and  European 
Neighbourhood Policy countries. 

6.3.3.  Providing cyber security 

Cyber  security  is  a  prerequisite  for  people,  business  and  public  services  in  order  to  benefit 
from  the  opportunities  offered  by  the  Internet.  It  requires  providing  security  for  systems, 
networks, access devices, and software and services, including cloud computing, while taking 
into  account  the  interoperability  of  multiple  technologies.  Research  will  prevent,  detect  and 
manage  in  real-time  cyber-attacks  across  multiple  domains  and  jurisdictions,  and  to  protect 
critical  ICT  infrastructures.  The  digital  society  is  in  full  development  with  constantly 
changing  uses  and  abuses  of  the  Internet,  new  ways  of  social  interaction,  new  mobile  and 
location-based services and the emergence of the Internet of Things. This requires a new type 
of research which should be triggered by the emerging applications, usage and societal trends. 

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Nimble research initiatives will be undertaken including pro-active R&D to react quickly to 
new contemporary developments in trust and security. 

6.3.4. 

Increasing Europe's resilience to crises and disasters  

This requires the development of dedicated technologies and capabilities to support different 
types of emergency management operations (such as civil protection, fire fighting and marine 
pollution,  humanitarian  aid,  civil  defence,  conflict  prevention,  development  of  medical 
information  infrastructures  rescue  tasks  and  post-crisis-stabilisation)  as  well  as  law 
enforcement. Research will cover the whole crisis management chain and societal resilience, 
and support the establishment of a European emergency response capacity.  

Activities  across  all  mission  areas  will  also  address  the  integration  and  interoperability  of 
systems and services including aspects such as communication, distributed architectures and 
human factors. This also requires integrating civilian and military capabilities in tasks ranging 
from civil protection to humanitarian relief, border management or peace-keeping. This will 
include technological development in the sensitive area of dual-use technologies to guarantee 
interoperability  between  civil  protection  and  military  forces  and  amongst  civil  protection 
forces worldwide, as well as reliability, organisational, legal and ethical aspects, trade issues, 
protection  of  confidentiality  and  integrity  of  information  and  traceability  of  all  transactions 
and processing.  

6.3.5.  Ensuring privacy and freedom in the internet and enhancing the societal dimension 

of security 

Safeguarding the human right of privacy in the digital society will require the development of 
privacy-by-design  frameworks  and  technologies  since  the  conception  of  products  and 
services. Technologies will be developed allowing users to control their personal data and its 
use by third parties; as well as tools to detect and block illegal content and data breaches and 
to protect human rights on-line preventing that people's behaviours individually or in groups 
is limited by unlawful searching and profiling.  

Any new security solution and technology needs to be acceptable to the society, comply with 
Union and international law, be effective and proportionate in identifying and addressing the 
security  threat.  Better  understanding  the  socioeconomic,  cultural,  and  anthropological 
dimensions of security, the causes of insecurity, the role of media and communication and the 
citizen's  perceptions,  are  therefore  essential.  Ethical  issues  and  protection  of  human  values 
and fundamental rights will be addressed.  

6.3.6. 

Specific implementation aspects 

Whereas research will have a civil security orientation, coordination with the activities of the 
European Defence Agency (EDA) will be actively pursued in order to strengthen cooperation 
with  EDA,  notably  through  the  already  established  European  Framework  Cooperation, 
recognising  that  there  are  areas  of  dual  use  technology  relevant  for  both  civil  and  military 
applications.  Coordination  mechanisms  with  relevant  Union  Agencies,  such  as  e.g. 
FRONTEX,  EMSA  and  Europol,  will  also  be  further  strengthened  in  order  to  improve  the 
coordination  of  Union  Programmes  and  policies  in  the  field  of  both  internal  and  external 
security, and of other Union initiatives. 

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Taking  into  account  the  particular  nature  of  security,  specific  arrangements  will  be  put  in 
place  with  regards  to  programming  and  governance,  including  arrangements  with  the 
Committee  refered  to  in  Article  9  of  this  Decision.  Classified  or  otherwise  sensitive 
information  related  to  security  will  be  protected  and  particular  requirements  and  criteria  for 
international cooperation may be specified in work programmes. This will also be reflected in 
the  programming  and  governance  arrangements  for  Secure  Societies  (including  the 
comitology aspects). 

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PART IV 

Non-Nuclear Direct Actions of the Joint Research Centre (JRC) 

1. 

EXCELLENT SCIENCE  

The JRC will carry out research to enhance the scientific evidence base for policy making, to 
promote  understanding  of  natural  processes  underlying  societal  challenges,  and  to  examine 
emerging  fields  of  science  and  technology,  including  through  an  exploratory  research 
programme.  

2. 

INDUSTRIAL LEADERSHIP  

The JRC will contribute to innovation and competitiveness through: 

(a) 

(b) 

Continuing  to  contribute  to  the  strategic  orientation  and  science  agenda  of  relevant 
instruments of indirect research, such as European Innovation Partnerships as well as 
public-private partnerships and public-public partnerships.  

Support  to  knowledge  and  technology  transfer  through  definition  of  appropriate 
Intellectual  Property  Rights  frameworks  for  different  research  and  innovation 
instruments,  and  promotion  of  cooperation  in  knowledge  and  technology  transfer 
among large public research organisations. 

(c) 

Contributions  to  facilitating  the  use,  standardisation  and  validation  of  space 
technologies and data, in particular to tackle the societal challenges. 

3. 

SOCIETAL CHALLENGES 

3.1. 

Health, demographic change and wellbeing  

The JRC will contribute to harmonisation of methods, standards, and practices in support of 
Union legislation targeting health and consumer protection through: 

(a) 

Assessment of risks and opportunities of new technologies and chemicals, including 
nanomaterials, in food, feed and consumer products; development and validation of 
harmonised  measurement,  identification  and  quantification  methods,  integrated 
testing  strategies  and  state-of-the-art  tools  for  toxicological  hazard  assessment, 
including  alternative  methods  to  animal  testing;  assessment  of  health  effects  of 
environmental pollution. 

(b) 

Development  and  quality  assurance  of  health  testing  and  screening  practices 
including genetic testing and cancer screening. 

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3.2. 

Food  security,  sustainable  agriculture,  marine  and  maritime  research  and  the 
bio-economy 

The  JRC  will  support  the  development,  implementation  and  monitoring  of  European 
agriculture  and  fisheries  policies,  including  food  security  and  development  of  the  bio-
economy through: 

(a) 

(b) 

(c) 

(d) 

Establishment  of  a  global  system  and  tools  for  crop  forecasting  and  monitoring  of 
crop  productivity;  support  to  improve  short-  to  mid-term  outlooks  of  agricultural 
commodities, including the predicted effects of climate change  

Contribution  to  biotechnological  innovation  and  improved  resource  efficiency  to 
produce ‘more with less’ through techno-economic analyses and modelling. 

Scenario  modelling  for  decision-making  in  agricultural  policies  and  analyses  of 
policy  impact  at  macro/regional/micro  levels;  analysis  of  the  impact  of  the  "CAP 
towards 2020" on developing/emerging economies. 

Further  development  of  methods  for  fisheries  control  and  enforcement  and 
traceability  of  fish  and  fish  products;  development  of  robust  ecosystem  health 
indicators  and  bio-economic  modelling  to  better  understand  the  direct  effects  (e.g. 
fishing)  and  indirect  effects  (climate  change)  of  human  activities  on  the  fish  stock 
dynamics, the marine environment, and their socio-economic impact.  

3.3. 

Secure, clean and efficient energy  

The JRC will focus on the 20/20/20 climate and energy targets and the Union's transition to a 
competitive low-carbon economy by 2050 with research on technological and socio-economic 
aspects of: 

(a) 

(b) 

(c) 

(d) 

Security of energy supply, in particular as regards links and interdependencies with 
the  extra-European  energy  supply  and  transmission  systems;  mapping  indigenous 
primary and external energy sources and infrastructures on which Europe depends. 

Energy/electricity  transmission  networks,  in  particular  modelling  and  simulation  of 
trans-European energy networks, analysis of smart/super grid technologies, and real-
time simulation of power systems. 

Energy  efficiency,  in  particular  methodologies  for  monitoring  and  assessing  the 
achievements  of  energy  efficiency  policy  instruments,  techno-economic  analysis  of 
the use of energy-efficient technologies and instruments and of smart grids. 

Low-carbon  technologies  (including  safety  of  nuclear  energy  in  the  Euratom 
programme),  in  particular  performance  assessment  and  pre-normative  research  of 
prospective low-carbon technologies; analysis and modelling of drivers and barriers 
of  their  development  and  deployment;  assessment  of  renewable  resources  and 
bottlenecks,  such  as  critical  raw  materials,  in  the  supply  chain  of  low-carbon 
technologies;  continuous  development  of  the  Strategic  Energy  Technology  Plan 
Information System (SETIS) and related activities. 

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3.4. 

Smart, green and integrated transport 

The JRC will support the 2050 goals of a competitive, smart, resource efficient and integrated 
transport system for safe and secure transport of people and goods through laboratory studies, 
modelling and monitoring approaches on: 

(a) 

(b) 

(c) 

(d) 

Strategic  low-carbon  transport  technologies  for  all  transport  modes,  including  road 
transport electrification and alternative fuelled aircrafts/vessels/vehicles, and further 
internal  clearing  house  for  collecting  and 
development  of  a  Commission 
disseminating  information  on  relevant  technologies;  availability  and  costs  of  non-
fossil based fuels and energy sources, including impacts of electrified road transport 
on electricity grids and electricity generation. 

Clean  and  efficient  vehicles,  in  particular  definition  of  harmonised  test  procedures 
and  assessment  of  innovative  technologies  in  terms  of  emissions,  conventional  and 
alternative  fuel  efficiency  and  safety;  developing  improved  methodologies  for 
emission  measurements  and  environmental pressures  calculations;  coordinating  and 
harmonizing emissions inventorying and monitoring activities at European level. 

Smart  mobility  systems  to  achieve  secure,  intelligent  and  integrated  mobility, 
including  techno-economic  assessment  of  new  transport  systems  and  components, 
applications  for  improved  traffic  management  and  contribution  to  the  design  of  an 
integrated approach to transport demand and management. 

Integrated transport safety, in particular provision of tools and services for collecting, 
sharing and analysing incidents and accidents information in the aviation, maritime 
and land transport sectors; enhance accidents prevention through analysis and cross 
modal safety lessons while contributing to cost savings and efficiency gains. 

3.5. 

Climate action, resource efficiency and raw materials 

The JRC will contribute to the greening of Europe, security of resource supply and a global 
sustainable management of natural resources through: 

(a) 

(b) 

(c) 

Enabling  access  to  interoperable  environmental  data  and  information  through  the 
further development of standards and interoperability arrangements, geo-spatial tools 
and  innovative  information  communication  technology  infrastructures  such  as  the 
Infrastructure  for  Spatial  Information  in  the  European  Union  (INSPIRE),  and  other 
Union and global initiatives.  

Measuring  and  monitoring  key  environmental  variables  and  assessing  the  state  and 
change of natural resources by further developing indicators and information systems 
infrastructures.  Assessing  ecosystem  services 
contributing 
including their valuation and climate change effects. 

to  environmental 

Developing  an  integrated  modelling  framework  for  sustainability  assessment  based 
on  thematic  models  such  as  soil,  land  use,  water,  air  quality,  greenhouse  gas 
emissions, forestry, agriculture, energy and transport, also addressing effects of and 
responses to climate change.  

(d) 

Supporting  Union  development  policy  goals  by  promoting  technology  transfer, 
monitoring of essential resources (such as forests, soils, food supply), and research to 

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limit  impacts  of  climate  change  and  environmental  impacts  of  resource  use,  and  to 
resolve trade-offs in the competition for land to produce food or energy with land for 
e.g. biodiversity.  

(e) 

(f) 

Integrated  assessment  related  to  sustainable  production  and  consumption  policies, 
including  security  of  supply  of  strategic  raw  materials,  resource  efficiency,  low 
carbon  and  clean  production  processes  and  technologies,  products  and  services 
development,  consumption  patterns  and  trade.  Further  development  and  integration 
in policy analyses of Life Cycle Assessment.  

Integrated impact analysis of options for climate change mitigation and/or adaptation 
based on the development of a quantitative tool set of models at regional and global 
scale, ranging from the sectoral to the macro-economic level. 

3.6. 

Inclusive, innovative and secure societies  

The JRC will contribute  to  the  goals of the Innovation  Union,  Security and  Citizenship and 
Global Europe through the following activities:  

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

Comprehensive  analyses  of  drivers  and  barriers  of  research  and  innovation  and 
development of a modelling platform for the assessment of their micro- and macro-
economic impacts.  

Contributions  to  the  monitoring  of  the  implementation  of  the  Innovation  Union  via 
scoreboards,  development  of  indicators  etc.  and  operation  of  a  public  information 
and intelligence system to host relevant data and information.  

Operation of a public information and intelligence platform for assisting national and 
regional authorities  with  smart  specialisation; quantitative economic analysis of the 
spatial  pattern  of  economic  activity,  in  particular  addressing  economic,  social  and 
territorial  disparities  and  changes  in  the  pattern  in  response  to  technological 
developments. 

Econometrics and macro-economic analysis of the reform of the financial system to 
contribute to maintain an efficient Union framework for financial crisis management; 
continuing  to  provide  methodological  support  for  monitoring  of  Member  State 
budget positions in relation to the Stability and Growth Pact. 

Monitor the functioning of the European Research Area (ERA) and analysing drivers 
of and barriers to some of its key elements (such as mobility of researchers, opening 
up of national research programmes) and proposing relevant policy options; continue 
to  play  an  important  role  in  the  ERA  through  networking,  training,  opening  its 
facilities  and  databases  to  users  in  Member  States  and  Candidate  and  Associated 
Countries.  

Develop quantitative economic analysis of the Digital Economy; carry out research 
on  the  impact  of  information  and  communication  technologies  on  the  goals  of  the 
Digital  Society;  study  the  impact  of  sensitive  security  issues  on  the  lives  of 
individuals (Digital Living).  

(g) 

Focus on identification and assessment of the vulnerability of critical infrastructures 
(including  global  navigation  systems,  financial  markets);  improvement  of  tools  for 

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fighting  fraud  against  the  Union  budget  and  for  maritime  surveillance;  as  well  as 
operational performance assessment of technologies for or affecting personal identity 
(digital identity). 

(h) 

(i) 

Enhance the Union's capacity for disaster risk reduction and management of natural 
and  man-made  disasters  notably  through  the  development  of  global  multi-hazard 
early  warning  and  risk  management  information  systems,  making  use  of  Earth 
Observation technologies.  

Continue  to  provide  tools  for  the  assessment  and  management  of  global  security 
challenges such as terrorism and non-proliferation (chemical, biological, radiological 
and  nuclear  (in  the  Euratom  programme)),  threats  arising  from  socio-political 
instability  and  communicable  diseases.  New  areas  to  be  addressed  include 
vulnerability  and  resilience  to  emerging  or  hybrid  threats,  e.g.  accessibility  to  raw 
materials,  piracy,  resource  scarcity/competition  and  effects  of  climate  change  on 
occurrence of natural disasters.  

4. 

SPECIFIC IMPLEMENTATION ASPECTS 

In  line  with  the  priorities  of  Global  Europe,  the  JRC  will  strengthen  scientific  cooperation 
with key international organisations and third countries (e.g. UN bodies, OECD, United States 
of  America,  Japan,  Russia,  China,  Brazil,  India)  in  areas  having  a  strong  global  dimension 
such as climate change, food security, or nanotechnologies.  

In  order  to  provide  an  enhanced  service  to  policy-making,  the  JRC  will  further  develop  its 
capacity to analyse and provide cross-sectoral policy options and to carry out related impact 
assessments. This capacity will be supported in particular through strengthening of: 

(a) 

(b) 

Modelling in key areas (e.g., energy and transport, agriculture, climate, environment, 
economics).  The  focus  will  be  on  both  sectoral  and  integrated  models  (for 
sustainability  assessments),  and  cover  scientific-technical  as  well  as  economic 
aspects. 

Forward-looking studies which will provide analyses of trends and events in science, 
technology  and  society  and  on  how  these  may  affect  public  policies,  influence 
innovation, reinforce competitiveness and sustainable growth. This would enable the 
JRC  to  draw  attention  to  issues  that  may  require  future  policy  intervention  and  to 
anticipate customers' needs. 

research,  development  of 

The  JRC  will  strengthen  its  support  to  the  standardisation  process  and  standards  as  a 
horizontal  component  in  support  of  European  competitiveness.  Activities  will  include  pre-
reference  materials  and  measurements,  and 
normative 
harmonization  of  methodologies.  Five  focal  areas  have  been  identified  (energy;  transport; 
Digital Agenda; security and safety (including nuclear in the Euratom programme); consumer 
protection).  Moreover,  the  JRC  will  continue  to  promote  dissemination  of  its  results  and 
provide support on the management of Intellectual Property Rights to Union institutions and 
bodies. 

The JRC will establish a capacity in behavioural sciences to support the development of more 
effective regulation, complementing JRC activities in selected fields such as nutrition, energy 
efficiency and product policies. 

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Socio-economic  research  will  be  part  of  activities  in  relevant  areas  such  as  Digital  Agenda, 
sustainable production and consumption or public health. 

In order to fulfil its mission as reference centre for the Union, to continue to play a vital role 
in the ERA, and to enter into new fields of research, it is essential that the JRC disposes of 
state-of-the-art  infrastructure.  The  JRC  will  continue  its  renovation  and  refurbishment 
programme  to  ensure  compliance  with  applicable  environmental  and  safety  and  security 
regulations,  and  will  invest  into  scientific  infrastructure,  including  the  development  of 
modelling platforms, facilities for new areas such as genetic testing etc. Such investments will 
be done in close coordination with the roadmap of the European Strategy Forum of Research 
Infrastructures (ESFRI) and take into account existing facilities in the Member States. 

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Annex II 
Performance indicators 

The following table specifies for the specific objectives of Horizon 2020 a limited number of 
key indicators for assessing results and impacts.  

1. 

PART I. PRIORITY 'EXCELLENT SCIENCE'  

Specific objectives: 

• 

European Research Council 

– 

– 

Share of publications from ERC funded projects which are among the top 1 % 
highly cited 

Number  of  institutional  policy  and  national/regional  policy  measures  inspired 
by ERC funding 

• 

Future and Emerging Technologies 

– 

– 

Publications in peer-reviewed high impact journals  

Patent applications in Future and Emerging Technologies  

• 

Marie Curie actions on skills, training and career development 

– 

Cross-sector  and  cross-country  circulation  of  researchers,  including  PhD 
candidates 

• 

European research infrastructures (including eInfrastructures) 

– 

Research infrastructures which are made accessible to all researchers in Europe 
and beyond through Union support 

2. 

PART II. PRIORITY 'INDUSTRIAL LEADERSHIP'  

Specific objectives: 

• 

Leadership  in  enabling  and  industrial  technologies  (ICT,  Nanotechnologies, 
Advanced Materials, Biotechnologies, Advanced manufacturing and Space) 

– 

Patent  applications  obtained 
technologies  

in 

the  different  enabling  and 

industrial 

• 

Access to risk finance 

– 

investments  mobilised  via  debt  financing  and  Venture  Capital 

Total 
investments 

• 

Innovation in SMEs 

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– 

Share  of  participating  SMEs  introducing  innovations  new  to  the  company  or 
the market (covering the period of the project plus three years)  

3. 

PART III. PRIORITY 'SOCIETAL CHALLENGES' 

Specific objectives: 

For each of the challenges, progress shall be assessed against the contribution to the following 
specific objectives which are detailed in Annex I of Horizon 2020 together with descriptions 
of  the  substantive  advancement  needed  for  the  achievement  of  the  challenges  and  policy 
relevant indicators: 

– 

– 

– 

– 

– 

– 

Improve the lifelong health and wellbeing of all 

Secure sufficient supplies of safe and high quality food and other bio-based products, 
by  developing  productive  and  resource-efficient  primary  production  systems, 
fostering ecosystem services, along side competitive and low carbon supply chains.  

Make the transition to a reliable, sustainable and competitive energy system, in the 
face of increasingly scarce resources, increasing energy needs and climate change.  

Achieve  a  European  transport  system  that  is  resource-efficient,  environmentally-
friendly, safe and seamless for the benefit of citizens, the economy and society 

Achieve a resource efficient and climate change resilient economy and a sustainable 
supply of raw materials, in order to meet the needs of a growing global population 
within the sustainable limits of the planet's natural resources.  

Foster  inclusive,  innovative  and  secure  European  societies  in  a  context  of 
unprecedented transformations and growing global interdependencies. 

Additional performance indicators are: 

Publications  in  peer-reviewed  high  impact  journals  in  the  area  of  the  different  Societal 
Challenges 

– 

– 

Patent applications in the area of the different Societal Challenges  

Number of Union pieces of legislation referring to activities supported in the area of 
the different Societal Challenges 

4. 

PART IV. NON-NUCLEAR DIRECT ACTIONS OF THE JOINT RESEARCH CENTRE 

Specific objectives: 

• 

Provide customer-driven scientific and technical support to Union policies  

– 

Number  of  occurrences  of  tangible  specific  impacts  on  European  policies 
resulting from technical and scientific support provided by the Joint Research 
Centre 

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– 

Number of peer reviewed publications 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget 
line(s) affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

The Specific Programme implementing Horizon 2020 – The Framework Programme 
for Research and Innovation (2014-2020) 

1.2. 

Policy area(s) concerned in the ABM/ABB structure29  

- 08 - Research and Innovation 

- 09 - Information Society and Media 

- 02 - Enterprise and Industry 

- 05 - Agriculture 

- 32 - Energy 

- 06 - Mobility and Transport 

- 15 - Education and Culture 

- 07 - Environment and climate action  

- 10 - Joint Research Centre 

1.3. 

Nature of the proposal/initiative  

(cid:58) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action30  

(cid:133) The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The  Commission's  multiannual 

strategic  objective(s) 

targeted  by 

the 

proposal/initiative  

The Specific Programme implementing Horizon 2020 – The Framework Programme 
for Research and Innovation (2014-2020) (‘SP’) is pursuing the general objective of 
Horizon  2020  –  The  Framework  Programme  for  Research  and  Innovation  (2014-
2020) (‘Horizon 2020’), which is to contribute to the Europe 2020 strategy, including 

29 
30 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

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the completion of the European Research Area, by stimulating smart, sustainable and 
inclusive growth: 

-  Smart  growth  –  develop  an  economy  based  on  knowledge  and  innovation 
(implementing the Innovation Union flagship initiative). 

-  Sustainable  growth  –  promote  a  more  resource  efficient,  greener  and  more 
competitive economy. 

- Inclusive growth – foster a high-employment economy delivering economic, social 
and territorial cohesion. 

1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

- Part I: Priority 'Excellent Science' 

- Part II: Priority 'Industrial Leadership' 

- Part III: Priority 'Societal Challenges' 

- Part IV: Non-nuclear direct actions of the Joint Research Centre 

ABM/ABB activity(ies) concerned 

- 08 - Research and Innovation 

- 09 - Information Society and Media 

- 02 - Enterprise and Industry 

- 05 - Agriculture 

- 32 - Energy 

- 06 - Mobility and Transport 

- 15 - Education and Culture 

- 07 - Environment and climate action  

- 10 - Joint Research Centre 

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1.4.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

The SP will cover the most substantial part of the Horizon 2020. It is estimated that 
by 2030 Horizon 2020 is expected to generate an extra 0.92 per cent of GDP, 1.37 
per cent of exports, -0.15 per cent of imports, and 0.40 per cent of employment.  

For  more  information,  please  read  the  Commission  Staff  Working  Paper  on  the 
impact assessment of Horizon 2020 (‘IA’) accompanying this legislative proposal.  

1.4.4. 

Indicators of results and impact  

Specify the indicators for monitoring implementation of the proposal/initiative. 

The  following  table  specifies  for  the  general  and  specific  objectives  of  the  SP  a 
limited number of key indicators for assessing results and impacts.  

Additional  –  including  newly  developed  –  indicators  will  be  used  to  capture  the 
various types of results and impacts for the different specific activities. 

General objective: 

Contribute to the objectives of the Europe 2020 strategy and to the completion of the 
European Research Area 

- The Europe 2020 R&D target (3 % of GDP) 

Current: 

2.01 % of GDP (EU-27, 2009) 

Target 

3 % of GDP (2020) 

- The Europe 2020 innovation headline indicator 

Current: 

New approach 

Target: 
economy 

Substantial  weight  of  fast-growing  innovative  enterprises  in  the 

Part I: Priority 'Excellent Science' 

Specific Objectives 

* European Research Council 

-  Share  of  publications  from  ERC  funded  projects  which  are  among  the  top  1  % 
highly cited 

Current: 

0.8 % (EU publications from 2004 to 2006, cited until 2008) 

Target: 

1.6 % (ERC publications 2014 - 2020) 

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-  Number  of  institutional  policy  and  national/regional  policy  measures  inspired  by 
ERC funding 

Current: 

20 (estimate 2007 – 2013) 

Target: 

100 (2014 – 2020) 

* Future and Emerging Technologies 

- Publications in peer-reviewed high impact journals  

Current: 

New approach 

Target: 

25 publications per 10 Million € funding (2014 - 2020) 

- Patent applications in Future and Emerging Technologies  

Current: 

New approach 

Target: 

1 patent application per 10 Million € funding (2014 – 2020) 

* Marie Curie actions on skills, training and career development 

- Cross-sector and cross-country circulation of researchers, including PhD candidates 

Current: 

50.000, around 20 % PhD candidates (2007 - 2013) 

Target: 

65.000, around 40 % PhD candidates (2014 - 2020)  

* European research infrastructures (including eInfrastructures) 

- Research infrastructures which are made accessible to all researchers in Europe and 
beyond through Union support 

Current: 

650 (2012) 

Target: 

1000(2020) 

Part II: Priority 'Industrial Leadership' 

Specific Objectives 

*  Leadership  in  enabling  and  industrial  technologies  (ICT,  Nanotechnologies, 
Advanced Materials, Biotechnologies, Advanced manufacturing and Space) 

- Patent applications obtained in the different enabling and industrial technologies  

Current: 

New approach 

Target: 

3 patent applications per 10 Million € funding (2014 – 2020) 

* Access to risk finance 

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- Total investments mobilised via debt financing and Venture Capital investments 

Current: 

New approach 

Target: 
contribution (2014 - 2020) 

EUR  100  million  total  investment  per  EUR  10  million  Union 

* Innovation in SMEs 

-  Share  of  participating  SMEs  introducing  innovations  new  to  the  company  or  the 
market (covering the period of the project plus three years) 

Current: 

New approach 

Target: 

50 % 

Part III: Priority 'Societal Challenges' 

Specific Objectives 

For each of the challenges, progress shall be assessed against the contribution to the 
following specific objectives which are detailed in Annex I of Horizon 2020 together 
with descriptions of the substantive advancement needed for the achievement of the 
challenges and policy relevant indicators: 

- Improve the lifelong health and wellbeing of all. 

-  Secure  sufficient  supplies  of  safe  and  high  quality  food  and  other  bio-based 
products,  by  developing  productive  and  resource-efficient  primary  production 
systems, fostering ecosystem services, along side competitive and low carbon supply 
chains.  

- Make the transition to a reliable, sustainable and competitive energy system, in the 
face of increasingly scarce resources, increasing energy needs and climate change.  

-  Achieve  a  European  transport  system  that  is  resource-efficient,  environmentally-
friendly, safe and seamless for the benefit of citizens, the economy and society. 

-  Achieve  a  resource  efficient  and  climate  change  resilient  economy  and  a 
sustainable supply of raw materials, in order to meet the needs of a growing global 
population within the sustainable limits of the planet's natural resources.  

-  Foster  inclusive,  innovative  and  secure  European  societies  in  a  context  of 
unprecedented transformations and growing global interdependencies. 

Additional performance indicators are: 

-  Publications  in  peer-reviewed  high  impact  journals  in  the  area  of  the  different 
Societal Challenges 

Current: 
preliminary figure) 

New  approach  (For  FP7(2007-2010),  8149  publications  in  total  - 

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Target: 

On average, 20 publications per 10 Million € funding (2014 – 2020) 

- Patent applications in the area of the different Societal Challenges  

Current: 

153 (FP7 Cooperation Programme 2007-10, preliminary figures) 

Target: 
2020) 

On  average,  2  patent  applications  per  10  Million  €  funding  (2014  – 

- Number of Union pieces of legislation referring to activities supported in the area 
of the different Societal Challenges 

Current: 

New approach 

Target: 

On average, 1 per 10 Million € funding (2014 - 2020) 

Part IV: Non-nuclear direct actions of the Joint Research Centre  

Provide customer-driven scientific and technical support to Union policies  

- Number of occurrences of tangible specific impacts on European policies resulting 
from technical and scientific policy support provided by the Joint Research Centre 

Current: 

175 (2010) 

Target: 

230 (2020) 

- Number of peer reviewed publications  

Current: 

430 (2010) 

Target: 

500 (2020) 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

-Improve the contribution of research and innovation to the resolution of key societal 
challenges.  

-Boost  Europe’s 
leadership and getting good ideas to market. 

industrial  competitiveness 

through  promoting 

technological 

-Strengthen Europe’s science base. 

-Achieve  the  European  Research  Area  and  increase  its  effectiveness  (cross-cutting 
objectives).  

-For  more  information,  please  read  the  Commission  Staff  Working  Paper  on  the 
impact assessment of Horizon 2020 (‘IA’) accompanying this legislative proposal. 

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1.5.2.  Added value of EU involvement 

There is a clear case for public intervention to tackle the problems outlined in 1.5.1 
above.  Markets  alone  will  not  deliver  European  leadership  in  the  new  techno-
economic  paradigm.  Large-scale  public  intervention  through  both  supply  and 
demand  measures  will  be  needed  to  overcome  the  market  failures  associated  with 
systemic shifts in basic technologies. 

However, Member States acting alone will not be able to make the required public 
intervention.  Their  investment  in  research  and  innovation  is  comparatively  low,  is 
fragmented  and  suffers  from  inefficiencies  -  a  crucial  obstacle  when  it  comes  to 
technological  paradigm  shifts.  It  is  difficult  for  Member  States  on  their  own  to 
technology  development  over  a  sufficiently  broad  portfolio  of 
accelerate 
technologies, or to tackle the lack of transnational coordination. 

As  highlighted  in  the  proposal  for  the  next  Multi-annual  Financial  Framework,  the 
Union  is  well  positioned  to  add  value  by  delivering  the  large-scale  investment  in 
"blue  sky"  frontier  research,  in  targeted  applied  R&D,  and  in  the  associated 
education, training and infrastructures which will help to strengthen our performance 
in  thematically  focused  R&D  and  enabling  technologies;  by  supporting  companies' 
efforts  to  exploit  research  results  and  to  turn  them  into  marketable  products, 
processes and services; and by stimulating the uptake of these innovations. A series 
of  cross-border  actions  -  concerning  the  coordination  of  national  research  funding, 
Union-wide  competition  for  research  funding,  researcher  mobility  and  training, 
coordination  of  research  infrastructures,  transnational  collaborative  research  and 
innovation, and innovation support - are most efficiently and effectively organised at 
European  level.  Ex-post  evaluation  evidence  has  convincingly  demonstrated  that 
Union research and innovation programmes support research and other activities that 
are  of  great  strategic  importance  for  participants,  and  that  in  the  absence  of  Union 
support  would  simply  not  take  place.  In  other  words,  there  are  no  substitutes  for 
Union level support. 

Evidence  also  demonstrates  the  European  added  value  of  policy  support  actions, 
which  derives  from  bringing  together  knowledge  and  experience  from  different 
contexts,  supporting  cross-country  comparisons  of  innovation  policy  tools  and 
experiences,  and  providing  the  opportunity  to  identify,  promote  and  test  best 
practices from over the widest possible area. 

The  direct  actions  of  the  Joint  Research  Centre  (‘JRC’)  provide  European  added 
value  because  of  their  unique  European  dimension.  These  benefits  range  from 
responding  to  Commission’s  need  to  have  in-house  access  to  scientific  evidence 
independent of national and private interests to direct benefits to the Union citizens 
through  contributions  to  policies  which  lead  to  improved  economic,  environmental 
and social conditions.  

For  more  information,  please  read  the  Commission  Staff  Working  Paper  on  the 
impact assessment of Horizon 2020 (‘IA’) accompanying this legislative proposal. 

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1.5.3.  Lessons learned from similar experiences in the past 

The  programme  builds  on  the  experience  accumulated  from  past  Framework 
Programmes 
the 
Competitiveness  and  Innovation  Programme  (CIP),  and  the  European  Institute  of 
Technology and Innovation (EIT).  

and  Technological  Demonstration 

for  Research 

(FP), 

Over a period spanning several decades, Union programmes have: 

- succeeded in involving Europe's best researchers and institutes,  

-  produced  large-scale  structuring  effects,  scientific,  technological  and  innovation 
impacts,  micro-economic  benefits,  and  downstream  macro-economic,  social  and 
environmental impacts for all Member States.  

Together with the success, there are important lessons to be learned from the past: 

-  Research,  innovation  and  education  should  be  addressed  in  a  more  coordinated 
manner; 

- Research results better disseminated and valorised into new products, processes and 
services; 

- The intervention logic should be more focused, concrete, detailed and transparent; 

- Programme access should be improved and participation increased from start-ups, 
SMEs, industry, less performing Member States and extra-Union countries; 

- Monitoring and evaluation of the programme need to be strengthened. 

The recommendations for direct actions in recent evaluation reports note i.a. that the 
JRC can 

- promote stronger integration in the production of knowledge in the Union;  

- introduce impact analyses and cost-benefit studies of specific work;  

- enhance cooperation with industry in order to strengthen effects for the benefit of 
the competitiveness of the European economy. 

For  more  information,  please  read  the  Commission  Staff  Working  Paper  on  the 
impact assessment of Horizon 2020 (‘IA’) accompanying this legislative proposal. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

In  the  context  of  the  achievement  of  the  Europe  2020  objectives,  synergies  will  be 
established  and  developed  with  the  other  Union  programmes  like  the  Common 
Strategic  Framework  for  Economic,  Social  and  Territorial  Cohesion  and  with  the 
Competitiveness and SMEs Programme. 

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1.6. 

Duration and financial impact  

(cid:58) Proposal/initiative of limited duration  

–  (cid:58)  Proposal/initiative in effect from 01/01/2014 to 31/12/2020 

–  (cid:58)  Financial impact from 2014 to 2026 

(cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged31 

(cid:58) Centralised direct management by the Commission  

(cid:58) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:58)  executive agencies  

–  (cid:58)  bodies set up by the Communities32 

–  (cid:58)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title 
V of the Treaty on European Union and identified in the relevant basic act within 
the meaning of Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:58)  Joint  management  with  international  organisations,  including  the  European  Space 
Agency 

If more than one management mode is indicated, please provide details in the "Comments" section. 

Comments  

The  Commission  intends  to  use  a  variety  of  management  modes  to  implement  this 
activity  building  on  the  management  modes  used  under  the  current  financial 
perspectives.  These  management  modes  include  centralised  management  and  joint 
management.  

Management  will  be  through  the  services  of  the  Commission,  through  the  existing 
Executive Agencies of the Commission renewing and extending their mandates in a 

31 

32 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the 
BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

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balanced manner and through other externalised bodies such as entities created under 
Articles  187  (e.g.  Joint  Undertakings  with  renewed  mandates  after  assessment  and 
new  ones to be set up in the context of implementing e.g. the 'Societal Challenges' 
part), 185 (programmes undertaken jointly by several member states, where national 
public-sector  bodies/bodies  with  public-service  mission  will  play  a  role)  of  the 
Lisbon Treaty as well as through financial instruments.  

Activities  already  externalised  under  the  current  financial  perspective  (e.g.  Frontier 
Research,  Marie  Curie  Actions,  SME  actions),  which  will  be  continued  under  this 
SP, will be implemented keeping the current form of externalisation. This may entail 
deepening  the  specialisation  and  simplifying  management  of  the  respective 
externalised bodies and brining them to a comparable operational size.  

Externalisation  of  further  activities  of  the  SP,  in  particular  through  recourse  to 
existing  Executive  Agencies  of  the  Commission,  is  foreseen  as  long  as  it  is 
compatible with keeping core policy competences within Commission services. The 
externalisation  means  retained  to  implement  these  activities  will  be  selected  on  the 
basis  of  their  proven  effectiveness  and  efficiency.  At  the  same  time,  the  staff 
assigned  to  the  Executive  Agencies  of  the  Commission  will  have  to  increase  in 
proportion to the part of the budget corresponding to the externalised activities and 
taking into account the commitment on staffing made by the Commission (A Budget 
for Europe 2020 COM(2011) 500). 

Where  higher  leverages  can  be  achieved,  the  European  Space  Agency  may  be 
involved in the implementation of space-related activities of Horizon 2020. 

EN 

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2. 

MANAGEMENT MEASURES  

Simplification 

The SP must attract the most excellent researchers and the most innovative European 
enterprises.  This  can  only  be  reached  by  a  programme  with  the  least  possible 
administrative  burden  for  participants  and  by  appropriate  funding  conditions. 
Simplification in the SP will therefore target three overarching goals: to reduce the 
administrative  costs  of  the  participants;  to  accelerate  all  processes  of  proposal  and 
grant management and to decrease the financial error rate. Moreover, simplification 
of research and innovation funding will also result from the revision of the Financial 
Regulation  (e.g.  no  interest  bearing  accounts  for  pre-financing,  eligible  VAT, 
limitation of extrapolation of systematic errors). 

Simplification in the SP will be achieved along several dimensions.  

Structural simplification is provided through 

- Integration of Union research and innovation related funding instruments into this 
SP; 

- This single Specific Programme implementing Horizon 2020; 

- One single set of participation rules covering all components of Horizon 2020. 

Major  simplification  of  funding  rules  will  make  the  preparation  of  proposals  and 
the management of projects easier. At the same time, they will reduce the number of 
financial errors. The following approach is proposed: 

Main funding model for grants: 

-  Simplified  reimbursement  of  real  direct  costs,  with  a  broader  acceptance  of 
beneficiaries’ usual accounting, including the eligibility of certain taxes and charges; 

-  The  possibility  of  using  unit  personnel  costs  (average  personnel  costs)  for 
beneficiaries  for  which  this  is  their  usual  accounting  method,  and  for  SME  owners 
without a salary; 

- Simplification of  time-recording  by providing a clear and simple set of minimum 
conditions,  in  particular  abolition  of  time-recording  obligations  for  staff  working 
exclusively on a Union project; 

-  One  single  reimbursement  rate  for  all  participants  instead  of  3  different  rates  by 
type of participant; 

-  One  single  flat  rate  covering  indirect  costs,  instead  of  4  methods  to  calculate 
indirect costs, as a general rule; 

-  Continuation  of  the  system  of  unit  costs  and  flat  rates  for  mobility  and  training 
actions (Marie Curie); 

EN 

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- Output-based funding with lump sums for whole projects in specific areas. 

A revised control strategy, as described in section 2.2.2, achieving a new balance 
between  trust  and  control  will  further  reduce  the  administrative  burden  for 
participants.  

Beyond  the  simpler  rules  and  controls,  all  procedures  and  processes  for  project 
implementation  will  be  rationalised.  This  includes  the  detailed  provisions  on  the 
content and shape of proposals, the processes for turning proposals into projects, the 
requirements for reporting and monitoring, as well as the related guidance documents 
and  support  services.  A  major  contribution  to  reduced  administrative  costs  for 
participation will come from a single user-friendly IT platform, based on the Union’s 
Seventh Framework Programme for R&D (2007-2013) (‘FP7’) Participant Portal. 

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

A  new  system  will  be  developed  for  the  evaluation  and  monitoring  of  the  indirect 
actions of the SP. It will be based on a comprehensive, well-timed and harmonised 
strategy,  with  a  strong  focus  on  throughput,  output,  results  and  impacts.  It  will  be 
supported by an appropriate data archive, experts, a dedicated research activity, and 
increased  cooperation  with  Member  States  and  Associated  States,  and  it  will  be 
valorised  through  appropriate  dissemination  and  reporting.  For  direct  actions,  the 
JRC  will  continue  to  improve  its  monitoring  by  further  adjusting  its  indicators 
measuring output and impact. 

The  system  will  include  information  concerning  cross-cutting  topics  such  as 
sustainability and climate change. Climate related expenditure will be calculated in 
accordance with the tracking system based on Rio markers. 

2.2.  Management and control system  

A 2 % error limit was adopted as chief indicator in the area of legality and regularity 
concerning  the  area  of  research  grants.  However,  this  has  caused  a  number  of 
unexpected or undesirable side-effects. There has been a strong feeling, amongst the 
beneficiaries as well as amongst the legislative authority, that the control burden has 
become  too  great.  This  runs  the  risk  of  lowering  the  attractiveness  of  the  Union's 
Research programme, and so negatively affecting Union research and innovation. 

The  European  Council  of  February  4th  2011  concluded  that  ‘it  is  crucial  that  EU 
instruments aimed at fostering R&D&I be simplified in order to facilitate their take-
up by the best scientists and the most innovative companies, in particular by agreeing 
between  the  relevant  institutions  a  new  balance  between  trust  and  control  and 
between risk taking and risk avoidance’ (see EUCO 2/1/11 REV1, Brussels 8 March 
2011). 

The  European  Parliament, 
its  Resolution  of  11  November  2010 
(P7_TA(2010)0401) on simplifying the implementation of the Research Framework 
Programmes  explicitly  supports  a  higher  risk  of  errors  for  research  funding  and 
"expresses its concern that the current system  and  the  practice  of  FP7  management 

in 

EN 

105 

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are  excessively  control-oriented,  thus  leading  to  waste  of  resources,  lower 
participation  and  less  attractive  research  landscapes;  notes  with  concern  that  the 
current  management  system  of  ‘zero  risk  tolerance’  seems  to  avoid,  rather  than  to 
manage, risks". 

The  sharp  increase  in  the  number  of  audits  and  the  subsequent  extrapolation  of 
results has also provoked a wave of complaints from the world of research (e.g. the 
Trust Researchers initiative33, with over 13,800 signatures so far). 

There is therefore an acceptance among stakeholders and Institutions that the current 
approach  needs  to  be  reviewed.  There  are  other  objectives  and  interests,  especially 
the  success  of  the  Research  policy,  international  competitiveness  and  scientific 
excellence, which should also be considered. At the same time, there is a clear need 
to manage the budget in an efficient and effective manner, and to prevent fraud and 
waste. These are the challenges for the SP. 

It remains the ultimate objective of the Commission to achieve a residual error rate 
of less than 2% of total expenditure over the lifetime of the programme, and to that 
end,  it  has  introduced  a  number  of  simplification  measures.  However,  other 
objectives  such  as  the  attractiveness  and  the  success  of  the  EU  research  policy, 
international  competitiveness,  scientific  excellent  and  in  particular  the  costs  of 
controls (see point 2.2.2) need to be considered. 

Taking  these  elements  in  balance,  it  is  proposed  that  the  Directorates  General 
charged with the implementation of the research and innovation budget will establish 
a  cost-effective  internal  control  system  that  will  give  reasonable  assurance  that  the 
risk of error over the course of the multiannual expenditure period is, on an annual 
basis, within a range of 2-5 %, with the ultimate aim to achieve a residual level of 
error as close as possible to 2 % at the closure of the multi-annual programmes, once 
the financial impact of all audits, correction and recovery measures have been taken 
into account. 

2.2.1. 

Internal control framework  

The internal control framework for grants is built on: 

- the implementation of the Commission's Internal Control Standards; 

-  procedures  for  selecting  the  best  projects  and  translating  them  into  legal 
instruments; 

- project and contract management throughout the lifetime of every project; 

-  ex-ante  checks  on  100%  of  claims,  including  receipt  of  audit  certificates  and  ex-
ante certification of cost methodologies;  

- ex post audits on a sample of claims; 

- and scientific evaluation of project results.  

33 

http://www.trust-researchers.eu/ 

EN 

106 

   EN 

 
                                                 
For direct actions, financial circuits include ex-ante checks for procurement and ex-
post controls. Risks are assessed annually and progress in the execution of work and 
the consumption of resources is monitored regularly, based on defined objectives and 
indicators. 

2.2.2.  Costs and benefits of the controls  

The cost of the internal control system for the Directorates General charged with the 
implementation of the research and innovation budget is estimated at €267m per year 
(based on the 2009 Tolerable Risk of Error exercise). It has also led to a considerable 
burden on beneficiaries and Commission services.  

43 % of the total costs of control of the Commission services (not including the costs 
of the beneficiary) are borne at the stage of project management, 18 % on selection 
of proposals, and 16 % on negotiation of contracts (16 %). Ex post audits and their 
resulting implementation amounted to 23 % (€61m) of the total. 

However,  this  considerable  control  effort  has  not  managed  to  fully  achieve  its 
objective.  The  estimated  "residual"  error  rate  for  FP6,  after  taking  account  of  all 
recoveries and corrections that have been or will be implemented, remains over 2 %. 
The current rate of error from audits of FP7 carried out by the Directorate  General 
Research and Innovation is around 5 %, and although this will be reduced due to the 
effects  of  the  audits,  and  is  somewhat  biased  because  it  is  concentrated  on 
beneficiaries not previously audited, it is unlikely whether the 2 % residual error will 
be  attained.  The  rate  of  error  identified  by  the  European  Court  of  Auditors  is  in  a 
similar range.  

2.2.3.  Expected level of risk of non-compliance  

The starting point is the status quo, based on audits carried out in FP7 so far. This 
preliminary  representative  error  rate  is  close  to  5  %  (for  the  Directorate  General 
Research and Innovation). The majority of errors detected arise because the present 
system of research funding is based on the reimbursement of the actual costs of the 
research  project  declared  by  the  participant.  This  leads  to  considerable  complexity 
regarding the assessment of eligible costs. 

An analysis of error rates has been carried out for the FP7 audits so far performed in 
the Directorate General Research and Innovation shows that:  

-  Around  27%  by  number,  and  35%  by  amount,  relate  to  errors  in  the  charging  of 
personnel costs. Regular problems identified are charging average or budgeted costs 
(rather  than  actual  costs),  failure  to  keep  adequate  records  of  time  spent  on  the 
programme, charging of ineligible items. 

-  Around  40%  by  number,  and  37%  by  value,  relate  to  other  direct  costs  (not 
personnel). Regular errors identified are the inclusion of VAT, lack of a clear link to 
the project, failure to provide invoices or proof of payment and incorrect calculation 
of  depreciation  charging  the  full  cost  of  equipment  rather  than  the  depreciated 
amount, subcontracting without prior authorization, or without respecting the rules of 
value for money, etc. 

EN 

107 

   EN 

 
- Around 33% by number, and 28% by amount, relate to errors in indirect costs. The 
same risks apply as for personnel costs, with the additional risk of an inaccurate or 
unfair allocation of overheads to Union projects. 

In a number of cases the indirect costs are a flat rate percentage of direct costs, and 
so the error in indirect costs is proportional to the error in direct costs. 

Horizon 2020 introduces a significant number of important simplification measures 
(see  point  2  above)  applicable  to  this  SP  that  will  lower  the  error  rate  in  all  the 
categories of error. However, the consultation of stakeholders and the institutions on 
further simplification, and the Horizon 2020 impact assessment, clearly indicate that 
the continuation of a funding model based on the reimbursement of actual costs is the 
favoured option. A systematic resort to output based funding, flat rates or lump sums 
appears  premature  at  this  stage  as  such  a  system  has  not  been  tested  in  previous 
programmes.  Retaining  a  system  based  on  the  reimbursement  of  actual  costs  does 
however mean that errors will continue to occur. 

An analysis of errors identified during audits of FP7 suggests that around 25-35% of 
them would be avoided by the simplification measures proposed. The error rate can 
then be expected to fall by 1.5%, i.e. from close to 5% to around 3.5%, a figure that 
is referred to in the Commission Communication striking the right balance between 
the administrative costs of control and the risk of error. 

The Commission considers therefore that, for research spending under Horizon 2020, 
a  risk  of  error,  on  an  annual  basis,  within  a  range  between  2-5  %  is  a  realistic 
objective  taking  into  account  the  costs  of  controls,  the  simplification  measures 
proposed to reduce the complexity of rules and the related inherent risk associated to 
the reimbursement of costs of the research project. The ultimate aim for the residual 
level of error at the closure of the programmes after the financial impact of all audits, 
correction and recovery measures will have been taken into account is to achieve a 
level as close as possible to 2 %.  

The ex-post audit strategy for expenditure under Horizon 2020 takes account of this 
target.  It  will  be  based  on  the  financial  audit  of  a  single  representative  sample  of 
expenditure  across  the  whole  programme,  complemented  by  a  sample  compiled  on 
the basis of risk considerations.  

The overall number of ex-post audits will be limited to that strictly necessary to the 
achievement  of  this  target  and  the  strategy.  The  governance  of  the  ex-post  audit 
activities will ensure that the audit burden on participants is minimized. As a guide, 
the  Commission  considers  that  a  maximum  of  7%  of  participants  in  Horizon  2020 
would be subject to audit over the whole programming period. Past experience shows 
that the expenditure subject to audit would be considerably higher.  

The ex-post audit strategy regarding legality and regularity will be complemented by 
reinforced scientific evaluation and the anti-fraud strategy (see point 2.3 below). 

This scenario is based on the assumption that the measures of simplification are not 
subject to substantial modifications in the decision making process. 

EN 

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Note: this section only concerns the process of grant management, for administrative 
and operational expenditure implemented through public procurement processes the 
2% ceiling will apply as tolerable risk of error.  

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

The  Directorates  General  charged  with  the  implementation  of  the  research  and 
innovation  budget  are  determined  to  fight  against  fraud  at  all  stages  of  the  grant 
management  process.  They  have  developed,  and  are  implementing,  anti-fraud 
strategies,  including  an  enhanced  use  of  intelligence,  especially  using  advanced  IT 
tools,  and  training  and  information  for  staff.  Sanctions  have  been  developed  to 
provide  deterrents  to  fraud,  as  well  as  appropriate  penalties  if  they  are  identified. 
These  efforts  will  continue.  The  proposals  for  Horizon  2020  have  been  subject  to 
fraud  proofing  and  an  assessment  of  their  impact.  Overall  the  measures  proposed 
should  have  a  positive  impact  on  the  fight  against  fraud,  especially  the  greater 
emphasis on risk based audit and reinforced scientific evaluation and control. 

It should be underlined that detected fraud has been very low in proportion to total 
expenditure, nevertheless the Directorates General charged with the implementation 
of the research budget remain committed to combat it.  

The  Commission  shall  take  appropriate  measures  ensuring  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 deterrent penalties. 

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 
the Programme. 

The  European  Anti-fraud  Office  (OLAF)  may  carry  out  on-the-spot  checks  and 
inspections on economic operators concerned directly or indirectly by such funding 
in  accordance  with  the  procedures  laid  down  in  Regulation  (Euratom,  EC) 
No 2185/96 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 a grant agreement or grant decision or a contract concerning Union funding. 

Without  prejudice  to  the  paragraphs  above,  cooperation  agreements  with  third 
countries  and  international  organisations  and  grant  agreements  and  grant  decisions 
and  contracts  resulting  from  the  implementation  of  this  Regulation  shall  expressly 
empower the Commission, the Court of Auditors and OLAF to conduct such audits, 
on-the-spot checks and inspections.  

EN 

109 

   EN 

 
3. 

3.1. 

Heading of 
multiannual 
financial 
framework 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines (Not applicable) 

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

Diff./non-
diff 
(34) 

from 
35
EFTA
countries 

from 
candidate 
36
countries

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

[XX.YY.YY.YY] 

Diff./non-
diff. 

YES/N
O 

YES/N
O 

YES/N
O 

YES/NO 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditu
re 

Contribution  

Heading of 
multiannual 
financial 
framework  Number  

[Heading 1 - Smart and Inclusive Growth] 

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the 
meaning of 
Article 
18(1)(aa) of 
the Financial 
Regulation  

NDA 

YES 

YES 

YES 

YES 

Administrative Expenditures  

Indirect Research:  

XX 01 05 01 Expenditure related to Research 
Staff 

XX 01 05 02 External staff for Research 

XX 01 05 03 Other  management expenditure 
for Research 

Direct Research: 

10  01  05  01  Expenditure  related  to  Research 
Staff 

10 01 05 02 External staff for Research 

10  01  05  03  Other  management  expenditure 
for Research 

34 
35 
36 

Diff. = Differentiated appropriations / Non-Diff. = Non-differentiated appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

110 

   EN 

 
 
 
 
 
 
                                                 
10  01  05  04  Other  expenditure  for  major 
research infrastructures37 

Operational Expenditures 

XX 02 01 01 Horizontal Actions 

Excellent science 

08 02 02 01 European Research Council 

15  02  02  00  Marie  Curie  actions  on  skills, 
training and career development 

02 

08 
Infrastructures (including eInfrastructures) 

02  European  Research 

02 

02 

09 
Infrastructures (including eInfrastructures) 

01  European  Research 

02 

DA 

YES 

YES 

YES 

YES 

08  02  02  03  Future  and  Emerging 
Technologies 

09  02  02  02  Future  and  Emerging 
Technologies 

Industrial leadership  

08  02  03  01  Leadership  in  enabling  and 
industrial technologies 

09  02  03  00  Leadership  in  enabling  and 
industrial technologies 

02  02  02  01  Leadership  in  enabling  and 
industrial technologies 

08 02 03 02 Access to risk finance 

02 02 02 02 Access to risk finance 

08 02 03 03 Innovation in SMEs 

02 02 02 03 Innovation in SMEs 

Societal challenges 

37 

The  JRC  requests  a  new budget  line for  infrastructure  investments.  Most  of  the  JRC  facilities  date  from  the 
60's and 70's and are not state of the art anymore. As a consequence, new facilities and the upgrading of the 
existing  infrastructure  are  necessary  to  carry  out  the JRC multi-annual  work-programme  in  compliance  with 
EU  safety  and  security  standards  as  well  as  with  the  EU/20/20/20  environmental  objectives.  The  JRC  has 
established its "Infrastructure Development plan 2014 – 2020"; identifying the investment needs till 2020 for 
all JRC sites that are reflected in the new budget line proposed. 

EN 

111 

   EN 

 
 
 
 
 
 
                                                                                                                                                                  
08 02 04 01 Health, demographic change and 
wellbeing 

08  02  04  02  Food  security,  sustainable 
agriculture, marine and maritime research and 
the bio-economy 

05  02  01  00  Food  security,  sustainable 
agriculture, marine and maritime research and 
the bio-economy 

08 02 04 03 Secure, clean and efficient energy 

32 02 02 00 Secure, clean and efficient energy 

08  02  04  04  Smart,  green  and  integrated 
transport 

06  02  02  00  Smart,  green  and  integrated 
transport 

08  02  04  05  Climate  action,  resource 
efficiency and raw materials 

07  02  02  00  Climate  action,  resource 
efficiency and raw materials 

02  02  03  01  Climate  action,  resource 
efficiency and raw materials 

08  02  04  06  Inclusive,  innovative  and  secure 
societies 

02  02  03  02  Inclusive,  innovative  and  secure 
societies 

09  02  04  00  Inclusive,  innovative  and  secure 
societies 

10 02 01 00 Non-nuclear direct actions of the 
Joint Research Centre 

EN 

112 

   EN 

 
 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

Number 

[Heading 1 - Smart and Inclusive Growth]] 

EUR million (to 3 decimal places) 

DGs: Research and Innovation / 
Information Society and Media/ 
Education and Culture/ 
Enterprise and Industry/ 
Agriculture and Rural 
Development/ Energy/ Mobility 
and Transport/ JRC direct 
research/ Environment 

(cid:121) Operational appropriations  

Commitments 

Payments 

Commitments 

Payments 

Commitments 

Payments 

(1a) 

(2a) 

(1b) 

(2b) 

(1c) 

(2c) 

Horizontal actions 
XX 02 01 01 

08 02 02 01 
European 
Research 
Council 
08 02 02 02 
European 
Research 
Infrastructures 
(including 
eInfrastructures)

2014 

2015 

2016 

2017 

2018 

2019 

2020 

≥2021 

TOTAL 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

1640,417 

204,154 

1753,575 

1055,485 

1879,819 

1335,717 

2009,349 

1661,563 

2144,525 

1868,955 

2284,826 

2063,161 

2427,130 

2199,449 

  14139,641 
3751,158  14139,641 

199,794 

24,865 

211,723 

128,015 

225,177 

161,107 

238,964 

199,448 

253,364 

223,066 

268,311 

244,699 

283,451 

259,212 

1680,784 

440,372 

1680,784 

EN 

113 

EN 

 
  
 
 
 
 
 
Commitments 

(1d) 

283,318 

300,310 

320,217 

469,448 

606,917 

642,722 

678,989 

3301,921 

Payments 

(2d) 

48,847 

251,487 

316,496 

391,819 

438,217 

480,715 

509,225 

865,115 

3301,921 

Commitments 

Payments 

(1e) 

(2e) 

545,193 

67,851 

577,744 

349,323 

614,457 

439,624 

652,078 

544,249 

691,372 

608,697 

732,159 

667,728 

773,472 

4586,474 

707,329 

1201,673 

4586,474 

Commitments 

(1f) 

447,955 

474,700 

Payments 

(2f) 

447,955 

474,700 

504,865 

504,865 

535,776 

568,062 

601,574 

635,520 

3768,450 

535,776 

568,062 

601,574 

635,520 

0 

3768,450 

Commitments 

(1g) 

Payments 

(2g) 

78,373 

9,754 

83,053 

50,216 

88,330 

63,197 

93,738 

78,238 

99,387 

87,502 

105,250 

111,189 

659,320 

95,988 

101,681 

172,744 

659,320 

Commitments 

Payments 

(1h) 

(2h) 

1030,952 

126,578 

1051,848 

651,675 

1073,128 

820,134 

950,146 

1015,317 

1398,959 

1135,546 

1481,491 

1245,671 

1565,088 

8551,612 

1319,549 

2237,142 

8551,612 

08 02 02 
03Future and 
Emerging 
Technologies** 

09 02 02 02 
Future and 
Emerging 
Technologies** 

08 02 03 01 
Leadership in 
enabling and 
industrial 
technologies 

08 02 03 02 
Access to risk 
finance** 

02 02 02 02 
Access to risk 
finance** 

08 02 03 03 
Innovation in 
SMEs** 

02 02 02 03 
Innovation in 
SMEs** 

08 02 04 01 
Health, 
demographic 
change and 
wellbeing 

EN 

114 

EN 

 
  
 
 
 
 
 
 
Commitments 

(1i) 

525,695 

557,082 

592,481 

628,757 

666,645 

705,974 

745,810 

4422,444 

Payments 

(2i) 

65,424 

336,830 

423,901 

524,785 

586,927 

643,848 

682,032 

1158,697 

4422,444 

Commitments 

(1j) 

732,073 

775,781 

825,079 

875,596 

928,359 

983,126 

1038,601 

6158,614 

Payments 

(2j) 

91,108 

469,063 

590,317 

730,805 

817,344 

896,610 

949,786 

1613,580 

6158,614 

Commitments 

(1k) 

861,218 

912,637 

970,631 

1030,059 

1092,129 

1156,559 

1221,820 

7245,052 

Payments 

(2k) 

107,180 

551,811 

694,454 

859,727 

961,532 

1054,781 

1117,337 

1898,231 

7245,052 

08 02 04 02 
Food security, 
sustainable 
agriculture, 
marine and 
maritime 
research and the 
bio-economy** 

05 02 01 00 
Food security, 
sustainable 
agriculture, 
marine and 
maritime 
research and the 
bio-economy** 

08 02 04 03 
Secure, clean 
and efficient 
energy** 

32 02 02 00 
Secure, clean 
and efficient 
energy** 

08 02 04 04 
Smart, green 
and integrated 
transport** 

06 02 02 00 
Smart, green 
and integrated 
transport** 

EN 

115 

EN 

 
  
 
 
 
Commitments 

(1l) 

400,096 

423,983 

450,925 

478,534 

507,370 

537,302 

567,620 

3365,830 

Payments 

(2l) 

49,793 

256,354 

322,622 

399,403 

446,698 

490,019 

519,081 

881,860 

3365,830 

Commitments 

(1m) 

483,533 

512,402 

544,963 

578,329 

613,179 

649,353 

685,994 

4067,754 

Payments 

(2m) 

60,177 

309,815 

389,903 

482,696 

539,855 

592,210 

627,332 

1065,767 

4067,754 

08 02 04 05 
Climate action, 
resource 
efficiency and 
raw materials** 

02 02 03 01 
Climate action, 
resource 
efficiency and 
raw materials 
** 

07 02 02 00 
Climate action, 
resource 
efficiency and 
raw materials 
** 

08 02 04 06 
Inclusive, 
innovative and 
secure 
societies** 

09 02 04 00 
Inclusive, 
innovative and 
secure 
societies** 

02 02 03 02 
Inclusive, 
innovative and 
secure 

EN 

116 

EN 

 
  
 
 
societies** 

09 02 02 01 
European 
Research 
Infrastructures 
(including 
eInfrastructures)
09 02 03 00 
Leadership in 
enabling and 
industrial 
technologies 

02 02 02 01 
Leadership in 
enabling and 
industrial 
technologies 

15 02 02 00 
Marie Curie 
actions on 
skills, training 
and career 
development 

10 02 01 00 
Non-nuclear 
direct actions of 
the Joint 
Research Center 

Commitments 

Payments 

(1n) 

(2n) 

113,951 
14,181 

120,755 
73,012 

128,428 
91,886 

136,291 
113,754 

144,504 
127,224 

153,029 
139,562 

161,664 
147,839 

251,163 

958,622 
958,622 

Commitments 

Payments 

(1o) 

(2o) 

1005,176 
125,096 

1065,189 
644,049 

1132,878 
810,537 

1202,241 
1003,436 

1274,686 
1122,258 

1349,886 
1231,095 

1426,056 
1304,108 

2215,533 

8456,112 
8456,112 

Commitments 

(1p) 

Payments 

(2p) 

194,477 

24,203 

206,088 

124,608 

219,184 

156,819 

232,604 

194,140 

246,620 

217,129 

261,169 

238,186 

275,907 

1636,048 

252,313 

428,651 

1636,048 

Commitments 

Payments 

(1q) 

(2q) 

728,274 
90,635 

771,756 
466,629 

820,798 
587,254 

871,052 
727,013 

923,542 
813,103 

978,025 
891,958 

1033,212 
944,858 

1605,208 

6126,659 
6126,659 

Commitments 

(1r) 

Payments 

(2r) 

32,459 

12,325 

33,108 

27,672 

33,771 

31,582 

34,445 

35,134 

35,838 

36,554 

241,311 

33,891 

34,568 

35,261 

35,965 

30,048 

241,311 

* An additional amount of EUR 1628,002 million shall be made available for the years 2018-2020 pro-rata from the budgets of the Societal challenges 
and Leadership in enabling and industrial technologies, on an indicative basis and subject to the review set out in Article 26(1). 

EN 

117 

EN 

 
  
 
 
 
 
 
** The repartition between DGs is not determined at this stage.  

(cid:121) TOTAL operational 
appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative 
nature  financed  from  the  envelope  for  specific 
programmes  

XX  01  05  01  Expenditure  related  to  Research 
Staff* 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

≥2021 

TOTAL 

9302,954  9831,734  10425,13  11017,41  12194,75  12926,59 

13668,08 

1570,126  6220,744  7740,415  9496,06  10596,68  11613,07 

12312,62 

0 

79366,65 
19816,94  79366,65 

(4) 

(5) 

(6) 

(6a) 

225,330 

229,437 

234,401 

239,375 

244,140 

249,023 

254,004 

  1675,710 

XX 01 05 02 External staff for Research* 

(6b) 

163,655 

226,831 

250,789 

281,464 

307,748 

333,028 

367,472 

  1930,987 

XX 01 05 03 Other management expenditure for 
Research* 

(6c) 

136,441 

160,039 

170,285 

182,771 

193,866 

204,350 

218,071 

  1265,823 

10 01 05 01 Expenditure related to Research Staff 

(6d) 

151,686 

156,996 

162,490 

168,178 

174,064 

180,156 

186,461 

1180,031 

10 01 0,5 02 External staff for Research 

(6e) 

34,280 

35,052 

35,840 

36,647 

37,471 

38,314 

39,176 

(6f) 

65,312 

66,618 

67,950 

69,309 

70,695 

72,109 

73,551 

(6g) 

6,551 

6,682 

6,816 

6,952 

7,091 

7,233 

7,378 

48,703 

(cid:121) TOTAL administrative appropriations  

(6) 

783,255 

881,655 

928,571 

984,696  1035,075  1084,213 

1146,113 

10086,21 

10713,39 

11353,70 

12002,11 

13229,83 

14010,8 

14814,19 

256,781 

485,545 

6843,58 

86210,23 

10  01  05  03  Other  management  expenditure  for 
Research 

10 01 05 04 Other expenditure for major research 
infrastructures 

TOTAL appropriations  
under HEADING 1 
of the multiannual financial 
framework 

Commitments 

Payments 

=4+ 
6 

=5+ 
6 

2353,381  7102,399  8668,986  10480,76  11631,76  12697,28 

13458,73 

19816,94  86210,23 

* These figures are based on an almost full use of the authorised maximum administrative expenditures foreseen in the legal base. They are presented for 
illustrative purposes in terms of the numbers of personnel that could be employed with these amounts. 

EN 

118 

EN 

 
  
 
 
 
 
 
 
 
 
If more than one heading is affected by the proposal / initiative: 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

(4) 

(5) 

(6) 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

Payments 

=5+ 6 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

EN 

119 

EN 

 
  
Heading of multiannual financial framework:  

5 

" Administrative expenditure " 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  

TOTAL 

EUR million (to 3 decimal places) 

DG: <…….> 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total commitments  
= Total payments) 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year  
2019 

Year  
2020 

Year ≥2021 

TOTAL 

Commitments  10086,21  10713,39  11353,7  12002,11  13229,83  14010,80  14814,19 

0 

86210,23 

EUR million (to 3 decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 

of the multiannual financial framework   Payments 

2353,381  7102,399  8668,986  10480,76  11631,76  12697,28  13458,73  19816,94  86210,23 

EN 

120 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

–  (cid:59)  The proposal/initiative requires the use of operational appropriations, as explained below: 

Commitment appropriations in EUR million (to 3 decimal places)/ current prices 

Indicate 
objectives 
and 
outputs  

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year  
2019 

Type of 
output38 

Average 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

(cid:216) 

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

OUTPUTS 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Year  
2020 

Cost 

TOTAL 

Total  
cost 

r
e
b
m
u
n

l
a
t
o
T

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 139 
Excellent science  

- Output 

- Output 

- Output 

Sub-total for specific 
objective N°1 Excellent 
science  

SPECIFIC OBJECTIVE No 2 
Industrial leadership  

- Output 

2965,755 

3158,119 

3374,440 

3725,105 

4072,852 

4326,913 

4584,446 

26207,628 

38 
39 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 

121 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Sub-total for specific 
objective N°2 Industrial 
leadership  

SPECIFIC OBJECTIVE No 3 
Societal challenges 

- Output 

Sub-total for specific 
objective N°3 Societal 
challenges 

SPECIFIC OBJECTIVE No 4 
Provide integrated and timely 
scientific and technical support 
to the European policy making 
process : Joint Research Centre 

- Output 

Sub-total for specific 
objective N°4 Provide 
integrated and timely 
scientific and technical 
support to the European 
policy making process : Joint 
Research Centre  

TOTAL COST 

2271,175 

2406,774 

2559,714 

2716,437 

2880,127 

3050,036 

3222,143 

19106,407 

4033,56
5 

4233,73
1 

4457,207 

4541,423 

5206,640 

5513,803 

5824,934 

33811,304 

32,459 

33,108 

33,771 

34,445 

35,134 

35,838 

36,554 

241,311 

9302,95
4 

0 

9831,7
32 

0 

10425,1
3 

0 

11017,4
1 

0 

12194,7
5 

0 

12926,5
9 

0 

13668,0
8 

0 

79366,6
5 

EN 

122 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:59)  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
2014 40 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 541 
of the multiannual 
financial framework  

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

n.a. 

Human resources*  

574,951 

648,316 

683,520 

725,664 

763,423 

800,521 

847,113  5043,509 

Other expenditure  
of an administrative 
nature* 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

208,304 

233,339 

245,051 

259,032 

271,652 

283,692 

299  1800,071 

783,255 

881,655 

928,571 

984,696  1035,075  1084,213  1146,113 

6843,58 

TOTAL** 

783,255 

881,655 

928,571 

984,696  1035,075  1084,213  1146,113 

6843,58

* These figures are based on an almost full use of the authorised maximum administrative expenditures 
foreseen  in  the  legal  base.  They  are  presented  for  illustrative  purposes  in  terms  of  the  numbers  of 
personnel that could be employed with these amounts. 

** These figures might be adjusted as a result of the envisaged externalisation procedure.  

40 
41 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

123 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  (cid:59)  The  proposal/initiative  requires  the  use  of  Commission  human  resources,  as 

explained below: 

Estimate expressed in full amounts (or at most to one decimal place) 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

(cid:121) Establishment plan posts (officials and temporary agents) 

XX 01 01 01 
(Headquarters and 
Commission’s 
Representation 
Offices) 

XX 01 01 02 
(Delegations) 

XX 01 05 01 
(Indirect research)** 

10 01 05 01 (Direct 
research) 

100 

100 

100 

100 

100 

100 

100 

1677.5 

1677.5 

1677.5 

1677.5 

1677.5 

1677.5 

1677.5 

1390 

1390 

1390 

1390 

1390 

1390 

1390 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)42 

XX 01 02 01 (CA, 
INT, SNE from the 
"global envelope") 

XX 01 02 02 (CA, 
INT, JED, LA and 
SNE in the 
delegations) 

XX 
01 
04 
yy 
43 

- at 
Headquart
ers44 

- in 
delegation
s  

XX 01 05 02 (CA, 
INT, SNE - Indirect 
research)* 

10 01 05 02 (CA, 
INT, SNE - Direct 
research) 

865 

865 

865 

865 

865 

865 

865 

593 

593 

593 

593 

593 

593 

593 

42 

43 
44 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

124 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Other budget lines 
(specify) 

TOTAL 

4625.5 

4625.5 

4625.5 

4625.5 

4625.5 

4625.5 

4625.5 

* The above figures will be adjusted in accordance with the results of the envisaged externalisation process. 

**  The  workload  corresponding  to  the  implementation  of  EIT  and  Innovation  is  estimated  at  some  100 
establishment plan posts for the Commission. 

XX is the policy area or budget title concerned. 

The human resources required will be met by staff from the DG who are already assigned to 
management of the action and/or have been redeployed within the DG, together if necessary 
with any additional allocation which may be granted to the managing DG under the annual 
allocation procedure and in the light of budgetary constraints. 

Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

The  total  number  of  officials  and  temporary  agents  will  be  used  to  contribute  to  the 
objectives of Horizon  2020 during  all  the  process,  from  the  preparation  of  the Work 
Programme  to  the  final  dissemination  of  results  during  2014-2020.  These  human 
resources include all the needs in the various management modes as indicated in point 
1.7 of the LFS 

The  total  number  of  external  personnel  will  assist  officials  and  temporary  agents 
to contribute  to  the  objectives  of  Horizon  2020  during  all  the  process,  from  the 
preparation of the Work Programme to the final dissemination of results during 2014-
2020. These human resources include all the needs in the various management modes 
as indicated in point 1.7 of the LFS 

3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:59)  Proposal/initiative is compatible the current multiannual financial framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

Not applicable 

. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework45. 

Not applicable 

. 

3.2.5.  Third-party contributions  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

45 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

125 

   EN 

 
 
 
 
 
 
 
 
                                                 
Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
co-financed * 

Third countries associated to the programme 

pm 

* Bilateral Association Agreements are not fixed yet and that is why they will be added at a 
later stage. 

EN 

126 

   EN 

 
 
 
3.3. 

Estimated impact on revenue  

–  (cid:133)  Proposal/initiative has no financial impact on revenue. 

–  (cid:59)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:59) 

on own resources  

on miscellaneous revenue  

Budget revenue line: 

Appropriations 
available for the 
ongoing budget 
year 

Item 6011 

Item 6012 

Item 6013 

Item 6031 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative46* 

Year 
2014 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

pm 

pm 

pm 

pm 

pm 

pm 

pm 

*  Bilateral  Association  Agreements  are  not  fixed  yet  and  that  is  why  they  will  be 
added at a later stage. 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

02 03 01 Appropriations accruing from contributions form third parties 

05 03 01 Appropriations accruing from contributions from third parties 

06 03 01 Appropriations accruing from contributions form third parties 

07 03 01 Appropriations accruing from contributions form third parties 

08 04 01 Appropriations accruing from contributions form third parties 

09 03 01 Appropriations accruing from contributions form third parties 

10 02 02 Appropriations accruing from contributions form third parties 

15 03 01 Appropriations accruing from contributions form third parties 

32 03 01 Appropriations accruing form contributions from third parties 

Specify the method for calculating the impact on revenue. 

Certain  associated  states  may  contribute  to  a  supplementary  funding  of  the 
framework  programme  through  association  agreements.  The  method  of  calculation 

46 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

127 

   EN 

 
 
 
                                                 
will be agreed in these Association Agreements and is not necessarily the same in all 
agreements.  Mostly  the  calculations  are  based  on  the  GDP  of  the  Associated  State 
compared  to  the  GDP  of  the  Member  States  whilst  applying  this  percentage  to  the 
overall budget voted.  

EN 

128 

   EN