COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT pursuant to Article 294(6) of the Treaty on the Functioning of the European Union concerning the position of the Council on the adoption of a Regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination
Date: 2021-03-17
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EU financing, EU office or agency, EU research policy, Framework Programme for Research and Development, competitiveness, diffusion of innovations, innovation, research and development, scientific cooperation

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   EUROPEAN COMMISSION  Brussels, 17.3.2021  COM(2021) 133 final 2018/0224 (COD)  COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT  pursuant to Article 294(6) of the Treaty on the Functioning of the European Union  concerning the position of the Council on the adoption of a Regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination (Text with EEA relevance)  
 
 
2018/0224 (COD) 

COMMUNICATION FROM THE COMMISSION 
TO THE EUROPEAN PARLIAMENT 

pursuant to Article 294(6) of the Treaty on the Functioning of the European Union 

concerning the 

position of the Council on the adoption of a Regulation of the European Parliament and 
of the Council establishing Horizon Europe – the Framework Programme for Research 
and Innovation, laying down its rules for participation and dissemination 

(Text with EEA relevance) 

1. 

BACKGROUND  

Date of transmission of the proposal to the European Parliament and 
to the Council (document COM(2018) 435 final – 2018/0224 COD) 

7 June 2018 

Date of Council agreement on a Partial general approach 

30 November 2018 

Date of trilogue (agreement on common understanding) 

19 March 2019 

Date  of  the  partial  provisional  compromise  agreement  (common 
understanding) endorsed in Coreper 

27 March 2019 

Date  of  the  position  of  the  European  Parliament,  first  reading 
(incorporating the common understanding): 

17 April 2019 

Date of the trilogue (agreement on the final text) 

10-11 December 2020 

Date  of  the  ITRE  Committee  of  the  European  Parliament  voted  to 
endorse the compromise agreement  

17 December 2020  

Date  of  political  agreement  in  the  Committee  of  Permanent 
Representatives 

18 December 2020 

Date of adoption of the Council first reading position 

16 March 2021 

2. 

OBJECTIVE OF THE PROPOSAL FROM THE COMMISSION 

The ‘Horizon Europe’ programme is in line with the Commission’s priorities as set out in its 
Agenda for Jobs, Growth, Fairness and Democratic Change and global policy priorities (the 
Sustainable Development Goals).  

The Programme will strengthen the Union’s scientific and technological bases in order to help 
tackle current and future global challenges and contribute to the green and digital transitions 
and  the  recovery  from  the  coronavirus  pandemic,  while  aiming  to  achieve  the  Sustainable 
Development  Goals  (SDGs).  At  the  same  time,  the  Programme  will  boost  the  Union’s 
competitiveness,  including  that  of  its  industry.  Horizon  Europe  will  help  deliver  on  the 

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Union’s  strategic  priorities  and  support  the  development  and  implementation  of  Union 
policies.  Horizon  Europe  will  contribue  to  the  transformation  of  excellent  scientific  results 
into innovation with a real beneficial impact on the european economy and quality of life of 
the citizens, and create new markets with more skilled jobs.  

3. 

COMMENTS ON THE POSITION OF THE COUNCIL 

The  Council's  position  fully  reflects  the  agreement  reached  in  the  trilogues.  The  most 

important changes introduced compared to the Commission’s proposal include:  

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Programme structure. Split of the proposed cluster Inclusive and Secure Society into 
"Culture, Creativity and Inclusive Society" and "Civil Security for Society". Inclusion 
of the word ‘space’ in the cluster “Digital, Industry and Space” and change of the 
title  of  cluster  “Food,  Bioeconomy,  Natural  Resources,  Agriculture  and 
Environment”.  Furthermore,  change  of  the  names  of  the  three  pillars  in  “Excellent 
Science”,  “Global  Challenges  and  European  Industrial  Competitiveness”  and 
“Innovative  Europe”.  With  the  change  of  Legal  Base  of  the  Specific  Programme 
Decision, the Annex on the European Institute for Innovation and Technology (EIT) 
was  moved  from  the  Specific  Programme  Decision  to  the  Framework  Programme 
Regulation. 

Widening participation and spreading excellence. Recital related to the budget of the 
Widening participation and spreading excellence strand, specifying that it should be 
at  least  3.3%  of  the  overall  Programme  budget.  Furthermore,  new  definition  of 
Widening countries, including a list of Member States in an article. 

European  Innovation  Council.  Expansion  of  mandate  in  the  corresponding  article 
and recital on the grant-only support of the EIC Accelerator to SMEs, including start-
ups. Regarding EIC, the Commission issued a declaration on the implementation of 
the EIC Accelerator budget.  

Missions and Partnerships. Inclusion of a list of 5 areas for possible missions and 8 
areas  for  institutionalised  partnerships  in  an  Annex  to  the  Framework  Programme 
and  an  ‘interim  evaluation’.  Furthermore,  addition  of  a  budget  cap  for  mission  and 
partnerships. 

Remuneration. Recital recognizing the existence of the remuneration gap in Europe 
and  encouraging  Member  States  to  take  measures  to  ensure  attractive  salaries  for 
researchers. 

Alignment  of  the  Horizon  Europe  Programme  to  the  duration  of  the  Multiannual 
Financial  Framework  (MFF)  2021  -  2027.  Provision  to  align  the  duration  of  the 
Programme with the Multiannual Financial Framework 2021 -2027. 

Biodiversity. Recital stating specific targets for biodiversity. 

Retroactivity  clause.  In  order  to  ensure  continuity  in  the  implementation  of  the 
Programme, the Regulation should apply, with retroactive effect, from the beginning 
of  the  2021  financial  year  and  enter  into  force  as  a  matter  of  urgency.  In  duly 
justified  cases  specified  in  the  financing  decision,  activities  supported  under  the 
Regulation and the underlying costs may be considered eligible as of 1 January 2021, 

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even  if  they  were  implemented  and  incurred  before  the  grant  application  was 
submitted 

Inclusion  of  provision  on  academic  freedom.  Recital  referring  to  the  academic 
freedom and links with the Programme.  

Budget.  Modification  of  the  article  related  to  budget.  “Landing  provisions”  (recital 
and  article)  for  the  use  of  NGEU  funds  in  the  context  of  the  Programme.  New 
paragraph  concerning  the  amount  from  fines  allocated  to  the  Programme.  The 
proposed overall financial envelope is EUR 95,5 billion EUR. The amount includes 
revenues 
reconstitution  of 
decommitments.  The  indicative  distribution  of  decommitted  funds  in  the  budget  of 
the  Programme  has  not  been  included  in  the  text  of  the  Regulation  but  in  a  Joint 
political statement between the co-legislators and the Commission. 

fines,  Next  Generation  EU 

funds  and 

from 

Inclusion of the respect of human rights. Addition of the respect of human rights in 
the article containing the set of criteria for category d) third countries and territories 
to fulfil in order to be eligible for association. A Commission declaration on human 
rights has been adopted. The declaration recalls that the Commission fully subscribes 
to  the  respect  of  human  rights  as  laid  down  in  Article  21  of  the  Treaty  on  the 
European  Union;  however,  the  Commission  regrets  the  inclusion  of  the “respect  of 
human rights” in the set of criteria for third countries to fulfil in order to be eligible 
for association to the Programme.  

Inclusion  of  the  analysis  of  the  benefits  for  the  Union  in  the  scope  of  association. 
Addition of the analysis of the benefits of the Union to the article regarding the scope 
of association. 

Allocation  of  financial  contributions  from  Associated  Countries.  Paragraph  in  an 
article that specifies that the allocation of the financial contributions  in  the parts of 
the Programme shall take into account the level of participation of entities from the 
associated countries in the abovementioned parts. 

Information  about  financial  contributions  to  Associated  Countries.  Recital  that 
provides  for  a  regular  information  by  the  Commission  to  the  Parliament  and  the 
Council  on  the  amount  of  the  Union's  financial  contributions  provided  to  entities 
established in associated and non-associated third countries. 

Limitation of the participation or exclusion of legal entities to protect EU strategic 
assets,  interests,  autonomy  or  security.  A  provision  was  included  that  provides  for 
possible  additional  measures  limiting  participation  of  entities  controlled  by  third 
countries  or  their  entities  in  certain  sensitive  actions  to  safeguard  the  strategic 
interests of the Union and its Member States.  

Merge  of  synergy  relevant  provisions.  Merging  of  all  the  provisions  related  to 
synergies with other EU programmes in one article. 

Synergies  with  other  EU  programmes.  Addition  in  an  Annex  of  four  new 
programmes  for  possible  synergies  with  Horizon  Europe,  namely  Creative  Europe, 
the Just Transition Mechanism, the Recovery and Resilience Facility and EU4Health. 

Horizontal  alignment  of  provisions  related  to  the  transfer  back  of  unused  funds  to 
Horizon  Europe  from  resources  under  shared  management.  Paragraph  in  article 

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related  to  the  transfer  back  of  unused  funds  transferred  to  Horizon  Europe  from 
resources under shared management, mirroring the Common Provisions regulation. 

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Horizontal  provision  applied  to  all  sectorial  programmes  for  the  period  2021-2027, 
namely: 

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Climate.  Update  to  30%  of  the  overall  climate  spending  target  for  the  entire 
MFF (initially 25%). 

Rule  of  Law.  Reference  to  the  protection  of  the  Union’s  budget  in  case  of 
deficiencies by a Member State on the Rule of Law. 

Protection  of  financial  interests  of  the  Union:  Article  referring  to  the  general 
regime of conditionality for the protection of the Union budget. 

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Other  declarations  issued  by  the  Commission  in  the  context  of  Horizon  Europe 
concern: 

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Defence  research.  Specification  of  the  fact  that  defence  research  actions  in 
Horizon Europe coincide with the research actions under the European Defence 
Fund. 

Involvement  of  the  European  Parliament  in  the  implementation  of  Horizon 
Europe. Commitment to exchange views with responsible European Parliament 
Committees regarding the list of Partnerships, the list of Mission, the results of 
the Strategic Programme and the work programmes. 

No-opinion clause. Clarification concerning the possibility for the Commission 
to issue an opinion in the Committee procedure on implementing acts in case 
of  no  opinion  by  the  Programme  Committee  (issued  in  the  context  of  the 
Specific Programme). 

Ethics,  in  particular  human  embryonic  stem  cells:  specifications  related  to 
research activities in Horizon Europe in order to align the Programme with the 
ethical framework on the EU funding of human embryonic stem cell research, 
as in Horizon 2020. 

Association  of  third  countries  to  Union Programmes:  This  declaration, which 
serves  as  a  ‘counter  statement’  to  a  Council  declaration  on  the  cooperation 
between  Council  and  Commission  during  the  negotiations  of  agreements 
associating  third  countries  to  Union  programmes,  would  be  issued  after  such 
Council’s declaration is made. 

The  agreement  reached  preserves  the  objectives  of  the  Commission’s  original 
proposal,  maintaining  the  level  of  ambition  of  the  minimum  requirements  but 
allowing a certain degree of flexibility in implementing the new rules.  

4. CONCLUSION 

The  Commission  supports  the  results  of  the  inter-institutional  negotiations  and  therefore 
accepts the position taken by the Council.  

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