REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL Annual Report on Research and Technological Development Activities of the European Union and Monitoring of Horizon 2020 in 2020
Date: 2021-08-05
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EAEC, EU research policy, European Institute of Innovation and Technology, Framework Programme for Research and Development, Joint Research Centre, activity report, coronavirus disease, epidemic, innovation, research and development

EN 

  EN 

   EUROPEAN COMMISSION  Brussels, 5.8.2021  COM(2021) 449 final  REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL Annual Report on Research and Technological Development Activities of the European Union and Monitoring of Horizon 2020 in 2020  
 
 
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND 
THE COUNCIL 

Annual Report on Research and Technological Development Activities of the European 
Union and Monitoring of Horizon 2020 in 2020 

1.  BACKGROUND  

This  report,  prepared  in  line  with  Article  190  of  the  Treaty  on  the  Functioning  of  the 
European Union (TFEU) and Article 7 of the Euratom Treaty, Article 31 of the Horizon 2020 
framework  programme  (FP)  and  Article  21  of  the  Euratom  programme  complementing 
Horizon 2020, provides a concise, non-exhaustive overview of key research and innovation 
(R&I)  activities  taken  in  2020.  It  refers  to  the  Horizon  Dashboard  for  more  detailed 
monitoring data.   

2.  POLITICAL CONTEXT  

2020  was  marked  by  the  COVID-19  outbreak  and  its  effects  on  society.  The  EU  and  the 
Commission had to tackle this challenge alongside other existing challenges.  

The 2021-2027  long-term  EU  budget,  coupled  with  NextGenerationEU,  will  be  the largest 
stimulus package ever financed in Europe. NextGenerationEU, an exceptional and temporary 
instrument,  is    designed  to  boost  the  recovery  from  the  economic,  social  and  health  crisis 
caused by the COVID-19 pandemic. The budget reflects the priorities of the Union for 2021-
2027,  underpinning  the  green  and  digital  transitions  to  make  the  European  economy  fairer, 
more  resilient  and  more  sustainable  for  future  generations.  The  R&I  supported  by  the  EU 
plays  a  significant  role  in  these  efforts  with  its  potential  to  drive  growth,  boost 
competitiveness, create jobs and leverage additional investments for each euro invested at EU 
level.  

The  new  industrial  strategy  for  a  green  and  digital  Europe,  adopted  on  10  March  2020, 
outlined the key priorities in maintaining the global competitiveness of the EU industry and a 
level playing field, becoming climate-neutral by 2050 and shaping the EU's digital future.  

Following  the  2019  Communication  on  the  European  Green  Deal  (EGD),  the  Commission 
put forward on 4 March 2020 a legislative proposal for a European climate law with the aim 
of achieving climate neutrality by 2050. On 17 September 2020, the Commission adopted a 
Communication  on  the  2030  climate  target  plan,  raising  the  EU’s  collective  ambition  to 
reduce  greenhouse  gas  emissions  by  at  least  55%  (compared  with  1990s  levels).  The 
Commission adopted on 9 December 2020 a Communication on the European Climate Pact, 
which led to a Commission Communication on the new EU strategy on adaptation to climate 
change  adopted  on  24  February  2021.  Following  the  Commission’s  work  programme  for 
2021, in order to achieve a climate-neutral Europe by 2050, the Commission will table a ‘fit 
for 55’ package to reduce emissions by at least 55% by 2030.  

In response to the COVID-19 crisis that has revealed the urgent need to accelerate Europe’s 
digital  transformation,  and  building  on  the  European  Data  Strategy  and  the  strategy  for 
Shaping  Europe’s  digital  future,  the  2030  Digital  Compass  Communication  sets  out:  (i)  a 
vision  for  the  digital  transformation  of  Europe  by  2030,  (ii)  clear  and  concrete  objectives 

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along  four  cardinal  points  -  skills,  infrastructures,  digitalization  of  business  and  of  public 
services  -  to  map  the  EU's  destination  for  2030,  (iii)  a  framework  for  identifying  digital 
principles  empowering  citizens  in  the  digital  world,  and  (iv)  a  robust  joint  governance 
structure  with  Member  States  to  ensure  effective  monitoring  and  delivery  of  the  2030 
objectives.  The  EU  must  build  a  truly  digital  single  market,  secure  digital  sovereignty, 
develop  and  deploy  strategic  digital  technologies,  capacities  and  infrastructure,  in  order  to 
reinforce  its  ability  to  define  its  own  rules  and  make  autonomous  technological  choices 
accordingly. 

3.  POLICY FRAMEWORK  

3.1 Horizon Europe  

During 2020, the last year of the Horizon 2020 programme, the co-legislators progressed on 
Horizon  Europe,  the  next  FP  for  R&I,  and  the  Commission  took  major  decisions  on  the 
implementation of this programme. 

On 11 December 2020, the European Parliament and the Council reached political agreement 
on  the  Horizon  Europe  Regulation  and  its  budget  of  EUR  95.5  billion  in  current  prices 
(including EUR 5.4 billion from NextGenerationEU). The Regulation was formally adopted 
on 28 April 2021. 

The Commission continued to work on the strategic planning for Horizon Europe (including 
via web-based consultations and the Research & Innovation Days 2020), and made progress 
on the first Horizon Europe strategic plan (2021-2024). In particular, the Commission:  

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used  the  reports  delivered  by  the  mission  boards  to  assess  the  feasibility  of 
developing the identified missions;  
worked  further  on  the  designated  European  Partnerships  (the  co-funded  and  co-
programmed  ones  were  identified  in  the  strategic  plan,  whereas  a  separate 
Commission  proposal  on  a  single  basic  act  on  institutionalised  European 
partnerships based on Article 187 TFEU has been tabled on 23 February 2021);  
drew up key strategic orientations, impact areas and impacts for  R&I support. 

The aim of this first strategic plan under Horizon Europe, adopted on 15 March 2021, is to 
ensure that R&I contributes to EU priorities, including a climate-neutral and green EU that is 
fit for the digital age, where the economy works for the people.  

On  this  basis,  the  Commission  has  made  great  progress  on  the  first  Horizon  Europe  work 
programmes  (taking  account  of  EU  policies  on  biodiversity,  energy,  climate  change, 
migration,  asylum  and  internal  security,  industrial  and  digital  aspects,  food  systems, 
bioeconomy,  a  new  global  approach  to  R&I  and  new  developments,  such  as  the  ‘do  no 
significant  harm’  principle).  It  has  also  advanced  on  other  necessary  implementation 
elements, e.g. the model grant agreement, which addresses approaches such as open science. 

On  synergies  between  Horizon  Europe  and  other  EU  programmes,  a  new  framework  was 
created to enable the alternative, combined or cumulative funding of actions and transfers of 
resources  between  programmes.  An  ongoing  review  of  the  General  Block  Exemption 
Regulation will facilitate synergies between Horizon Europe and other EU programmes and 
their combination with national and regional programmes. 

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3.2 Policy developments 

COVID-19 

EU leaders have committed to doing everything possible to support COVID-19 research, and 
have underlined the urgent need to share scientific information and to collaborate both within 
the  EU  and  worldwide.  To  translate  their  commitments  into  action,  the  Member  States 
quickly agreed the ERAvsCorona action plan.  

This plan supported the creation of the European COVID-19 data platform, which is hosted 
by the European Open Science Cloud. It is a free-to-use, open digital space for researchers to 
share  and  upload  data  sets.  Since  its  launch  on  20  April  2020,  it  has  seen  more  than  3.6 
million web requests from over 170 countries.  

The  Commission  also  played  a  key  role  in  increasing  cooperation  with  partners  around  the 
world  to  support  the EU’s global response to  the outbreak, including its contribution  to  the 
international  pledging  event  in  May  2020  and  by  mobilising  international  partners  through 
various outreach activities.  

R&I aspects were reflected in several Commission communications on COVID-19 including: 
(i) guidelines on different tests and their performance; (ii) the EU strategy for vaccines; (iii) 
considerations for vaccination strategies and vaccine deployment; (iv) European health union: 
preparedness  and  resilience  for  cross-border  health  threats;  (v)  the  pharmaceutical  strategy; 
(vi) an intellectual property action plan to support the EU’s recovery and resilience; and (vii) 
the EU strategy for continued control measures. 

The Commission  and the High Representative adopted  a Joint Communication on  Tackling 
COVID-19  disinformation  -  Getting  the  facts  right;  significant  R&I  aspects  involved  the 
setting-up  of  a  specific  section  on  the  Europa  website  on  how  research  supports  the  fight 
against disinformation and a factsheet on the role of R&I in the fight against disinformation.  

A  Horizon  2020  expert  group  published  a  study  on  the  impact  of  sex  and  gender  in  the 
COVID-19 pandemic. It highlights why gender matters when it comes to the risk of exposure 
to COVID-19 and the long-term socio-economic consequences in the areas of employment, 
domestic abuse and inequality. 

The temporary framework for State aid measures includes provisions to accelerate COVID-
19  relevant  research  and  development  (R&D)  and  to  support  the  testing  and  upscaling  of 
infrastructures that help to develop products for tackling the pandemic.  

Industry 

The  2020  edition  of  the  EU  Industrial  R&D  Investment  Scoreboard  showed  that  421 
companies  based  in  the  EU  account  for  20.9%  of  total  R&D  and  that  their  investment  in 
R&D  grew  for  the  10th  consecutive  year,  an  increase  driven  by  the  automotive,  ICT  and 
health  sectors.  The  trends  for  ‘green  investments’  in  line  with  the  United  Nations  (UN) 
sustainable development goals (SDGs) are particularly promising.  

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The  report  Industry  5.0  –  Towards  a  sustainable,  human-centric  and  resilient  European 
industry  demonstrates  the  importance  of  industry  for  achieving  societal  goals  beyond  jobs 
and growth, and its role as a constant contributor to prosperity in the EU.  
Work  continued  on  the  second  important  project  of  common  European  interest  on  battery 
innovation and development, which is the Member States’ largest investment in this field to 
date. Proposals submitted by EU industries were in line with the wider context of the EGD, 
the European Battery Alliance and the strategic action plan for batteries. 

In July 2020, the Commission adopted a package to modernise the research programme of the 
Research Fund for Coal and Steel by revising its legal basis. Its main objective is to support 
collaborative research in the sectors related to coal and steel in line with the EGD, while also 
supporting breakthrough technologies leading to near zero-carbon steel-making and research 
projects for managing the ‘just transition’ in the coal sector and mining regions, in line with 
the Just Transition Mechanism. 

Energy and mobility 

A host of Commission initiatives highlighted the value of R&I: 

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the Communication on Powering a climate-neutral economy: An EU strategy for 
energy  system  integration  presents  R&I  as  a  key  enabler  for  creating  and 
exploiting new synergies in the energy system;  
the Communication on A hydrogen strategy for a climate-neutral Europe provides 
a  summary  of  the  R&I  efforts  that  the  EU  needs  to  make  on  hydrogen  through 
Horizon  Europe  (including  the  clean  hydrogen  partnership),  the  innovation  fund 
instruments  combined  with  regional,  national  and 
and  other  dedicated 
international initiatives (e.g. ‘hydrogen valleys’);  
the  Communication  on  An  EU  strategy  to  harness  the  potential  of  offshore 
renewable  energy  for  a  climate  neutral  future  underlines  the  importance  of 
Horizon Europe in supporting the development and testing of new and innovative 
offshore renewable energy technologies, components and solutions;  
the  Communication  on  A  renovation  wave  for  Europe  -  greening  our  buildings, 
creating jobs, improving lives aims for a doubling of the annual energy renovation 
rate  of  buildings  by  2030  and  pays  special  attention  to  renovating  public 
buildings, 
tackling  energy  poverty  and  worst  performing  buildings  and 
decarbonising heating and cooling;  
the  Communication  on  Sustainable  and  smart  mobility  strategy  –  putting 
European  transport  on  track  for  the  future  points  to  a  future  with  significantly 
reduced emissions, thanks largely to EU investments in R&I;  
under  the ‘European strategic  energy technology  plan’ (known  as the SET-Plan) 
an internal reflection is taking place on how to align priorities with the EGD. Its 
annual  conference  focused  on  various  2020  EGD  energy-related  initiatives  (e.g. 
hydrogen,  energy  system  integration,  offshore  renewable  energy  and  the 
renovation  wave).  This  was  a  good  way  of  kick-starting  new  approaches  for 
working together, in  line with  the objective of the new European Research Area 
(ERA)  to  jointly  prioritise  and  programme  R&I  investments  and  activities  in 
support of specific policy objectives, and 
The  first  Competitiveness  Progress  Report  under  the  State  of  the  Energy  Union 
which identified a decrease in clean energy R&I spending (both public in private) 
putting at risk the achievement of our energy and climate ambition. Moreover, the 

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report analysed the competitive status of key clean energy technologies through a 
value chain  analysis, therewith  strengthening the analysis on the 5th  pillar of the 
Energy Union on research, innovation and competitiveness.  

Other sustainability policies 

The following have highlighted the role of R&I: 

  The farm to fork strategy, which aims to accelerate the transition to a fair, healthy and 
environmentally-friendly  food  system  and  acknowledges  R&I  and  technology  as 
enablers for food systems transformation;  

  The chemicals strategy for sustainability, which highlights the importance of R&I to 
address  pressing  environmental  and  health  concerns  and  introduces  a  ‘safe  and 
sustainable  by  design’  approach  for  chemicals  and  materials,  which  is  a  pre-market 
approach that focuses on providing a function, while avoiding volumes and chemical 
properties that may be harmful to human health or the environment; 

  The  biodiversity  strategy  for  2030,  which  acknowledges  the  importance  of  R&I  to 

improve knowledge, education and skills in order to develop green solutions.  

Security and migration  

The  Commission  presented  three  key  policy  strategies  on  security  and  migration:  the  EU 
Security  Union  Strategy,  A  Counter-Terrorism  Agenda  for  the  EU:  Anticipate,  Prevent, 
Protect,  Respond,  and  the  Communication  on  a  New  Pact  on  Migration  and  Asylum.  The 
different policy documents make explicit reference to the importance of modern technologies 
and  relevance  of  the  R&I  cycle.  As  such,  the  development  and  deployment  of  innovative 
security  technologies  and  solutions  along  the  security  value  chain  will  enable  attaining  the 
intended policy objectives.  

International aspects  

The COVID-19 pandemic showed that international cooperation on R&I is more crucial than 
ever  to  tackle  pressing  global  challenges.  The  Commission  worked  throughout  2020  on 
revamping its strategy with a view to a Communication on a global approach to R&I, which 
was adopted in May 2021. This approach has been designed to contribute to help deliver the 
Commission’s  key  strategic  objectives  and  to  adapt  to  the  current  geopolitical  context, 
supporting  the  post-COVID-19  economic  recovery  and  promoting  and  protecting  Europe’s 
values and increasing its resilience in line with its model of open strategic autonomy.  

The  Commission  continued  strengthening  R&I  cooperation  with  strategic  partners  and 
regions, e.g. with Africa with the organisation of the first EU-African Union R&I ministerial 
meeting,  and  the  work  on  an  ambitious  EU-China  joint  roadmap  for  future  science, 
technology  and  innovation  cooperation,  focused  on  reaching  a  level  playing  field  and 
reciprocity. The partnership for Africa provided the frame for further developing in Horizon 
Europe the cooperation initiated in Horizon 2020 between the EU and the African Union on 
renewable  energy.  Cooperation  with  Latin  America  and  the  Caribbean  region  was 
strengthened  in  particular  through  the  successful  organisation  of  the  EU-CELAC  joint 
initiative on R&I senior officials meeting, which paved the way for the adoption of a 2021-
2023  strategic  roadmap  covering  infrastructures,  mobility,  global  societal  challenges  and  a 
new pillar of cooperation on innovation.  

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The  Western  Balkans  ministerial  meeting  to  further  strengthen  regional  ties  to  the  EU  in 
education and training, and R&I, which took place in December 2020, endorsed the content 
of the Western Balkans agenda on innovation, research, education, culture, youth and sport. 
The  panel  on  R&I  under  the  Eastern  partnership  discussed  a  proposal  for  new  post-2020 
deliverables for R&I.  

Mission Innovation (one of the key international cooperation platforms through which the EU 
promotes the  global outreach of the EGD) reached the  end of its first  5-year mandate.  It  is 
now ready to launch its second phase at the next ministerial meeting in Chile in June 2021.  

The  UN  Educational,  Scientific  and  Cultural  Organization  (UNESCO)  published  a  draft 
recommendation  on  open  science  (to  which  the  Commission  has  contributed),  which  puts 
forward  shared  values  and  principles,  and  sets  out  concrete  measures  and  commitments  to 
facilitate the production and dissemination of scientific knowledge and research data around 
the world.  

The International Rare Disease Research Consortium, co-led by the Commission, published 
an Orphan drug development guidebook, which aims to accelerate drug development for rare 
diseases  by  organising  the  resources  and  tools  available  in  the  EU,  the  United  States,  and 
Japan in a standardised framework. 

Preparations  for  non-EU  countries’  associate  membership  of  Horizon  Europe  intensified. 
Negotiations with the United Kingdom led to the EU-UK Trade and Cooperation Agreement 
that covers the participation of that country in Union programmes. 

3.3 Partnership with Member States  

The Commission adopted the Communication on A new ERA for research and Innovation (a 
New ERA) on 30 September 2020 for a revitalised European Research Area with a forward-
looking agenda. This announced, among other measures: (i) dedicated actions to update and 
develop guiding principles for creating value from knowledge; (ii) a code of practice for the 
smart use of intellectual property; and (iii) actions to develop common industrial technology 
roadmaps, supporting the implementation of the new industrial strategy and speeding up the 
transfer  of  research  results  into  the  real  economy.  This  will  help  EU  industry  to  tackle  the 
twin  – green  and digital  -  transitions  and become more resilient. Following the adoption of 
the Council conclusions on the new ERA in December 2020, and in  close relation with  the 
European Research Area and Innovation Committee, the Commission set up the ERA Forum 
for Transition.  

In  the  domain  of  researchers’  careers  and  mobility,  the  new  ERA  aims  to:  (i)  provide  a 
framework  for  research  careers,  including  a  skills  taxonomy  for  researchers  to  raise  the 
profile of their profession; (ii) build on the commitment to encourage “brain circulation” and 
ensure inclusiveness; and (iii) create attractive conditions for researchers.  

The October 2020 report  Towards  a 2030 vision on the future of  universities  in  Europe  set 
out thematic and cross-cutting strands of R&I action. Further synergies between the ERA and 
the  European  Education  Area  in  the  form  of  a  ‘European  Strategy  for  Universities’  to  be 
developed  with  the  Member  States  and  stakeholders  in  2021  will  benefit  European 
universities. 

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As part of the 2020 European semester cycle of  economic policy coordination, 21 Member 
States  received  a  country  specific  recommendation  to  boost  R&I  investment.  In  support  of 
this,  the  2021  annual  sustainable  growth  strategy  (issued  on  17  September  2020)  set  out 
broad  lines  for  the  Recovery  and  Resilience  Facility  and  the  Commission  helped  Member 
States draw up recovery and resilience plans (RRPs) for 2021-2023, which will allow them to 
access the Facility’s support for reforms and investment. So far, most of the Member States 
that  have  produced  RRPs  are  focusing  on  R&I  investment  and  reforms  in  hydrogen,  clean 
energy, sustainable mobility, climate-friendly renovation and construction, and decarbonising 
industry.  

The policy support facility has already provided specific support activities for Cyprus, Latvia, 
Armenia and Malta, as well as knowledge exchange on international cooperation.  

The first transitions performance index report provides a simplified framework for Member 
States to  monitor progress  and identify  priority  actions on the four transitions  Europe must 
address to ensure sustainability: economic, social, environmental and governance. 

4.  IMPLEMENTATION OF HORIZON 2020 

4.1 Response to calls (for the time period 2014-2020) 

According to the Horizon Dashboard (as of 21 June 2021), 967 Horizon 2020 call deadlines 
had passed by end-2020 and 283 078 eligible proposals had been submitted, requesting a total 
EU contribution of EUR 473.2 billion. Of these proposals, 33 791 were selected for funding, 
bringing the overall success rate of eligible proposals in the first 6 years to 11.94%. 35 027 
grant agreements had been signed, with an EU budget allocation of EUR 66.23billion. 

Higher  education  organisations  remain  the  largest  group  of  recipients  (39.4%  of  all 
recipients),  while  24.73%  of  EU  funding  under  the  ‘industrial  leadership’  and  ‘societal 
challenges’ priorities goes to SMEs. 

4.2 Selected features of Horizon 2020  

COVID-19  

The first priority in 2020 was to mobilise Horizon 2020-supported R&I efforts conducted in 
the  EU  and  together  with  international  partners  to  combat  the  pandemic.  The  Commission 
launched dedicated R&I activities already in January, as part of a pledge to address various 
challenges  arising  from  the  pandemic,  where  the  EU  has  taken  the  lead  at  global  level, 
including  as  a  contributor  of  aid.  Horizon  2020  funding  has  helped  existing  multilateral 
research  platforms  accelerate  their  efforts  to  develop  effective  treatments,  vaccines, 
therapeutics and diagnostics, and to ensure universal availability at an affordable price. 

So far, EUR 602.3 million of Horizon 2020 funding has been awarded to projects aiming to 
develop diagnostics, treatments (including repurposing of existing treatments, blood plasma, 
monoclonal  antibodies),  vaccines,  epidemiology,  preparedness  and  response  to  outbreaks, 
socioeconomics,  mental  health,  production  and  digital  technologies,  as  well  as  the 
infrastructures and data resources that enable this research.  

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A first emergency call to address the pandemic was launched under the ‘Health’ part of the 
work  programme  in  record  time  on  30  January  2020,  the  day  on  which  the  World  Health 
Organisation  declared  COVID-19  a  public  health  emergency  of  international  concern, 
possibly making it the  first  call worldwide. This  resulted in  18 projects  receiving a total  of 
EUR 48.2 million in EU funding. A second call under the same work programme part in May 
resulted  in  23  projects  receiving  EUR  128  million  in  EU  funding.  An  additional 
approximately  EUR  22.7  million  in  funding  was  mobilised  and  awarded  to  seven  ongoing 
grant agreements to cover additional activities relating to the pandemic.  

Furthermore,  EUR  400  million  from  the  Horizon  2020  InnovFin  has  been  allocated  to 
accelerate  the  development  of  vaccines  (e.g.  from  BioNTech  and  CureVac)  and  other 
interventions,  drugs,  medical  and  diagnostic  devices  (e.g.  Scope  Fluidics)  or  novel  critical 
R&I  infrastructures  (including  production  facilities).  Other  EU-funded  projects  (e.g. 
EAVI2020,  EHVA,  TBVAC2020,  Rabyd-vax)  are  developing  and  making  use  of  a  wide 
range of technologies (DNA, RNA and viral vectors) to expand vaccine candidate pipelines. 
ADITEC  and  OptiMalVax  are  among 
immunisation 
technologies and taking these forward in clinical trials to make vaccines more effective – also 
for unmet needs of the elderly and young. 

the  projects  developing  new 

An additional 586 projects funded by Horizon 2020 and its predecessor, the 7th framework 
programme  (FP7),  were  identified  as  having  contributed  to  scientific  knowledge  or 
technologies,  such  as  new  disinfectant  coatings  for  protective  clothing,  safe  transport  of 
patients, wastewater treatment and digital applications. 

The  European  and  developing  countries  clinical  trials  partnership  (EDCTP)  launched  three 
successive  emergency  calls  for  research  activities  to  manage  and/or  prevent  the  spread  of 
COVID-19 with a combined budget of EUR 35 million. In addition, the two major EDCTP 
networks for strengthening African countries’ capacities to respond to outbreaks of infectious 
diseases immediately redirected efforts to address COVID-19 issues. 

The fast-track ‘Call 21’ under the innovative medicines initiative was launched for research 
proposals  responding  to  the  COVID-19  outbreak,  with  funding  of  EUR  72  million  from 
Horizon 2020 and industry commitments of EUR 45 million.  

As part of the policy response to address the economic disruption caused by COVID-19, the 
InnovFin  SME  Guarantee  Facility  was  amended  to  facilitate  the  availability  of  finance  to 
innovative businesses, in particular liquidity facilities and working capital finance. As at 31 
December  2020,  over  3  300  companies,  primarily  SMEs,  received  funding  amounting  to 
EUR  1.7  billion.  Moreover,  a  new  Recovery  Equity  Facility  for  Innovative  Technology 
companies was established under InnovFin Equity to alleviate the impact of the COVID-19 
crisis on the venture capital market and in particular, the increased cash burn at the level of 
the  portfolio  companies.  An  amount  of  EUR  100  million  was  made  available  to 
provide InnovFin Financial  Intermediaries  with  additional  investment  capacity  necessary  to 
support portfolio companies negatively impacted by the COVID-19 crisis. 

The ‘research infrastructures’ part of the work programme was amended to include tailored 
additional  ad-hoc  support  in  specific  areas  of  need.  These  included  the  EU-wide  and 
worldwide dissemination of the SARS-Cov2 diagnostic assay (with the European Centre for 
Disease Control and the World Health Organisation) and targeted vaccine R&D support, and 

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the  creation  of  a  new  population  health  information  research  infrastructure  (which  is  at  the 
same time a starting point for building a European health data space). 

Specific exploitation obligations were introduced for the COVID-19 emergency calls, along 
with a Manifesto for EU COVID research to maximise research results that already has over 
2 200 signatories and has been endorsed by the World Health Organisation. 

The  portfolio  of  projects  on  climate  neutrality  modelling  (mainly  integrated  assessment 
models)  was  mobilised  with  the  aim  to  investigate  the  impacts  of  the  pandemic  on  climate 
action and to  formulate  policy recommendations for a  green  and resilient  recovery. Several 
research  projects  are  also  under  way  to  assess  the  links  between  pandemic  risk  and 
biodiversity loss.  

To  cope  with  the  administrative  problems  created  by  the  pandemic,  consortia  receiving 
funding from Horizon 2020 were invited to request at their discretion a 6 month extension to 
their  projects  without  further  justification  and  were  allowed  to  submit  their  periodic  report 
and request payments later than originally foreseen. 

European Green Deal  

The expected budget shares for climate action and sustainable development over the duration 
of  the  Horizon  2020  programme  were  35%  and  60%  respectively.  By  the  end  of  2020, 
expenditure had reached 31% for the former  and 65% for the latter. Despite a considerable 
increase compared to FP7, investment for climate action has not yet reached its target. 

Targeted  action  was  taken  to  address  this,  including  a  new  European  Green  Deal  call 
launched in September, which will eventually bring the climate expenditure above the 35% 
threshold  (to  36%).  This  EUR  1  billion  call  aims  to  respond  to  the  climate  crisis,  provide 
more  protection  for  biodiversity  and  habitats  under  threat,  and  accelerate  a  sustainable 
recovery. The call was a first step towards climate-neutral and socially innovative cities and 
addressing  Green  Deal  energy  priorities,  namely  innovative  land-based  and  offshore 
renewable  energy  technologies,  demonstration of a 100MW scale  electrolyser for hydrogen 
production,  and  accelerating  the  green  energy  transition  in  Africa  and  energy  efficiency  in 
buildings.  The  call  also  addressed  the  integration  and  demonstration  of  innovative  ways  of 
preventing  and  fighting  wildfires.  Clear  and  tangible  solutions  are  expected  in  eight  areas 
corresponding to the EGD priorities and two horizontal areas: ‘strengthening knowledge’ and 
‘empowering  citizens’.  The  call  also  addressed  innovation  opportunities  to  support  the 
transition to sustainable food systems, at the core of the EU farm to fork Strategy. The call 
closed  on  27  January  2021,  with  more  than  1 500  proposals  submitted  on  the  20  thematic 
topics. It is expected that grants will be signed in the last quarter of 2021.  

Throughout  Horizon  2020,  projects  have  contributed  to  efforts  to  upscale  Europe’s  Earth 
observation capacities and to develop solutions for specific users’ needs. Towards the end of 
Horizon 2020, the outcomes and results of these projects contributed to various activities of 
the  group  on  earth  observation  (GEO)  and  to  the  EuroGEO  initiative,  in  particular  for  the 
SDG  and  the  Paris  Agreement  adopted  under  the  UN  framework  convention  on  climate 
change. These efforts will continue under Horizon Europe.  

International cooperation 

9 

 
 
 
 
 
 
 
 
 
 
 
In 2014-2020, participants in Member States received 90.41% of funding, with the rest going 
to  associated  countries  (8.85%)  and  other  non-EU  countries  (0.74%).  While  the  associated 
countries’  participation  share  (7.68%)  is  in  line  with  the  funding  received,  that  of  non-
associated  non-EU  countries  is  significantly  higher  (4.0%),  indicating  an  interest  in 
international openness, decoupled from funding. 

The 2018-2020 work programme included over 30 ‘international cooperation flagships’ with 
an  EU  budget  of  close  to  EUR  2  billion  to  reverse  the  falling  trend  of  international 
cooperation during the first years of Horizon 2020. The flagships had a positive impact, with 
the  participation  of  entities  established  in  non-associated  third  countries  in  collaborative 
projects up from an average of 2.4% in 2014-2017 to 3.3% in 2018, 3.2% in 2019 and 2.6% 
so  far  for  2020.  The  contribution  from  participants  established  in  non-associated  third 
countries increased from an average of EUR 44 million/year in 2014-2017 to EUR 82 million 
in 2018 and EUR 153 million in 2019 (EUR 42 million so far for 2020). Overall, participants 
established  in  non-associated  third  countries  have  contributed  almost  EUR  560 million  to 
Horizon 2020 projects. 

Marie  Skłodowska  Curie  Actions  (MSCAs)  continued  to  account  for  over  half  of  all 
participations  by  entities  established  in  non-associated  third  countries.  Numerous  joint 
science  and  technology  meetings  and  policy  dialogues  were  held  with  non-associated  third 
countries  in  order  better  to  exploit  the  international  outreach  potential  of  MSCAs  at  policy 
level.  

European Research Council (ERC) 

The ERC issued five calls for proposals for frontier research and proof of concept projects. 
With a combined budget of EUR 2.2 billion, these attracted 9 428 applications and resulted in 
1 178  new  grant  agreements.  The  ERC  conducted  a  portfolio  analysis  of  projects  linked  to 
understanding  the  pandemic,  identifying  over  185  relevant  projects.  Two  ERC  principal 
investigators  in  particular  -  Prof.  Uğur  Şahin  (CEO  of  BioNTech)  and  Prof.  Adrian  Hill 
(University of Oxford) - were at the forefront of developing two COVID-19 vaccines. 

Widening participation 

Following  the  last  Horizon  2020  call  under  the  ‘spreading  excellence  and  widening 
participation’ part of the work programme, a total of 97 grants for a total amount of EUR 119 
million were signed.  Of these, 20 will help establish new research teams around ERA chairs 
in  widening  countries  (as  defined  in  this  part  of  the  work  programme)  and  77  twinning 
projects  will  establish  new  partnerships  with  leading  research  centres  to  boost  the  level  of 
excellence.  

The  second  call  of  the  ‘widening  fellowships’  pilot  (modelled  on  the  MSCA  individual 
fellowships)  continued  to  help  excellent  researchers  that  had  not  been  funded  through  the 
MSCAs to undertake 2-year individual fellowships in a widening country. The call resulted in 
a  12%  increase  in  applications  and  another  42%  increase  in  the  number  of  fellowships  in 
widening  countries,  with  39  widening  fellowships  in  addition  to  92  individual  fellowships 
funded in widening countries. An indication of the high quality of these proposals was that 
the lowest score for a successful proposal was 90.4%. 

10 

 
 
 
 
To  provide  researchers  with  disabilities  with  fair  access  to  doctoral  education,  research 
training,  skills  development  and  knowledge 
inclusive, 
non-discriminatory  R&I  labour  market  participation,  the  MSCA  ‘special  needs  lump  sums’ 
pilot  was  continued  in  2020.  Financial  support  was  provided  for  16  MSCA  fellows  with 
special needs. 

transfer,  and 

to  stimulate 

Gender, social sciences and humanities (SSH), and open science 

To  support  the  ERA  policy  work  on  gender  equality,  some  new  projects  are  developing  a 
community  of  gender  equality  and  institutional  change  practitioners  across  Europe.  One 
project has started to work on scenarios for an award/certification system for gender equality 
in  research  organisations  and  universities,  and  a  new  R&I  action  aimed  at  enhancing  the 
gender  dimension  of  the  EU’s  scientific  dialogue  with  international  partners.  MSCAs 
contribute to the very high participation rate of female researchers, which has remained stable 
over the years (41% of all MSCA fellows).   

The fifth monitoring report (for 2018) on SSH integration in Horizon 2020 published in 2020, 
showed  encouraging  results  and  considerable  improvements:  65%  of  projects  demonstrated 
good SSH integration and 391 were funded under the flagged topics, up  from 262 in 2017. 
The projects had a total budget of EUR 1.9 billion, up from EUR 1.2 billion in 2017. 

The  Open  Science  Policy  Platform  delivered  its  final  report  on  the  implementation  and 
further development of Open Science in the EU in May 2020, stating that the main instrument 
for  further  advancing  open  science  is  the  current  rewards  and  incentives  system  for 
researchers. The report was presented to the Competitiveness Council on 27 November 2020. 
The  interim  governance  for  the  European  Open  Science  Cloud  (EOSC)  finalised  its  work 
setting  up  a  governance  structure  that  ensures  the  future  rollout  of  EOSC.  It  is  ensured 
through  an EOSC Association  which was  established in  July 2020 and which at  the  end of 
2020 counts more than 180 organisations. The renewed EOSC ambition is to develop a Web 
of FAIR (findable, accessible, interoperable and reusable) data and services for Science, with 
common standards and core software, allowing research objects such as publications, datasets 
and  software  to  be  FAIR  by  design.  This  ambition  was  recalled  in  the  EOSC  declaration 
presented by the German Presidency to the Ministers of Research on 27 November 2020. The 
Member States confirmed their intention to engage in the future developments of EOSC. 

Following  the  launch  of  Open  Research  Europe  -  the  open-access  publishing  platform  for 
Horizon  2020  and  Horizon  Europe  beneficiaries  that  was  envisaged  in  the  New  ERA 
Communication - preparations are under way for the official launch in 2021 with manuscripts 
ready to be openly peer reviewed.   

European Innovation Council (EIC)  

An enhanced EIC pilot continued on from the first pilot, bringing a fully-fledged EIC closer 
to  reality.  So  far,  every  euro  of  EIC  pilot  support  has  triggered  EUR  2.4  in  follow-on 
investments.  In  March  2020,  the  Commission  amended  the  ‘EIC  pilot’  section  of  the  2020 
work programme to  include a EUR 300 million  budget  for  game changing, market creating 
innovations that contribute to the goals of the EGD and the UN’s 2030 agenda for sustainable 
development. 

11 

 
 
 
 
 
The  specific  EIC  Accelerator  call  for  ‘Green  Deal’  proposals  targeting  start-ups  and  SMEs 
was launched on 19 May 2020 and resulted in over EUR 307 million being awarded to 64 of 
them.  Winning  proposals  include  innovative  solutions  for  the  automotive,  aerospace  and 
maritime  sectors,  advanced  materials  and  ‘internet  of  things’  technologies.  These  game-
changing  beneficiaries  are  based  in  a  wide  range  of  countries,  including  17  Member  States 
(seven  of  which  are  catching  up  on  their  R&I  performance),  making  this  the  most 
geographically-diverse EIC call to date.  

The EIC has played a crucial role in supporting innovators working on solutions for COVID-
19.  As  well  as  publishing  an  accelerator  call  open  to  start ups  and  SMEs  developing 
innovative solutions to help treat, test, monitor or cope with various aspects of the outbreak, 
the  EIC  organised  the  EUvsVirus  Hackathon  and  Matchathon,  (a  virtual  event  to  link 
researchers and innovators working on COVID related innovations with interested procurers 
and  potential  funders).  Following  the  first  very  successful EIC  ePitching event  against 
COVID-19  organised  on  30  April,  the  Commission  organised  the  second  ePitching  to 
Procurers against COVID-19 on 17 November 2020.  

The  introduction  of  blended  finance  and  equity  investments  to  support  transformative 
innovation  is  a  major  new  development  in  the  EU’s  funding  of  R&I  and  part  of  the  EIC’s 
unique value proposition. An EIC Fund, set up in June 2020 as a separate private-law legal 
entity,  is  managing  equity  investments,  with  the  European  Investment  Bank  providing  key 
administration services. Maximum funding (grants and equity) can reach EUR 17.5 million. 
The  EIC  Fund  aims  to  fill  a  critical  financing  gap  faced  by  innovative  companies  when 
bringing  their  technologies  from  high  technology  readiness  levels  to  the  commercialisation 
stage. It  will help to fill  this gap at the start-up stage, where the EU venture capital market 
still underperforms by global comparison. It aims to support equality and gender balance, and 
to make a big contribution to sustainability, with a particular focus on health, resilience and 
the  green  and  digital  transitions.  Its  role  has  become  even  more  important  in  view  of  the 
major impact of the COVID-19 crisis, including for many innovative start-ups. A noteworthy 
novelty was that four EIC programme managers were recruited during the pilot phase, who 
will  proactively  manage  portfolios  and  their  related  communities  of  beneficiaries  and  other 
interested stakeholders. 

4.3 Non-nuclear direct actions implemented by the Joint Research Centre (JRC)  

The  JRC  reacted  swiftly  to  the  COVID-19  pandemic  and  provided  policy  support  to 
initiatives for immediate crisis management and recovery. Modelling of the epidemiological 
aspects  and  the  potential  impact  of  the  crisis  in  different  policy  fields  contributed  to  the 
design of strategies and  policies. Control materials  were developed in  order to  improve the 
reliability of COVID-19 tests. 

The JRC’s work on the EU climate pact, the renewed sustainable finance strategy, the farm to 
fork  strategy,  the  biodiversity  strategy,  the  circular  economy  action  plan,  the  bioeconomy 
strategy action plan and the European data strategy related to the green and digital transitions. 
Its work on the effective taxation and fair minimum wage initiatives helps create a ‘European 
economy that works for people’.  Its contributions to the European gender equality strategy, 
the Africa strategy and the new pact on migration and asylum helps to make Europe stronger 
and to promote our way of life. 

12 

 
 
The  JRC  has  made  a  key  contribution  to  strategic  foresight,  including  by  co-authoring  the 
first annual strategic foresight report focusing on resilience, which recommends focusing the 
second foresight study on open strategic autonomy. 

It  also  continued  to  expand  its  knowledge  management  activities,  with  launching  new 
knowledge centres on biodiversity, earth observation and cancer. 

It published two new flagship reports on cybersecurity and fairness. More than 1 100 of the 
JRC’s  publications  related  to  policy  and  over  700  were  scientific  and  peer-reviewed 
publications. Around 45% of its peer-reviewed articles were published in the top 10% most-
cited journals. 

Finally,  the  JRC  is  leading  the  New  European  Bauhaus  -  a  design  movement  that  explores 
new ways of living to support Europe’s transformation into the first climate-neutral continent. 

4.4 European Institute of Innovation and Technology (EIT)  

The largest ever financial contribution (EUR 600 million) was allocated in 2020 to the eight 
knowledge and innovation communities (KICs) for the implementation of their 2020 business 
plans. 

The  EIT  community  grew  to  a  trusted  network  of  more  than  2 200  partners,  with  over  60 
co-location  centres  and  innovation  hubs  in  all  Member  States,  making  it  one  of  Europe’s 
largest  networked  innovation  communities.  Since  its  establishment,  the  EIT  and  the  KICs 
have  supported  over  2 500  start-ups  and  scale-ups  that  have  attracted  a  total  of  EUR 
3.3 billion in investment, which created more than 13 000 high-skilled jobs and brought over 
1 500 new products and services to market.  More than 4 000 students have already graduated 
from EIT-labelled education programmes. 

In  response  to  the  COVID-19  pandemic,  the  EIT  mobilised  EUR  60 million  in  additional 
funding  in  2020  and  launched  the  ‘EIT  crisis  response’  initiative,  which  supported  62 
innovation  projects,  bringing  together  212  partners  from  25  countries,  and  145  start-ups, 
scale-ups and SMEs in 23 countries. 

5.  IMPLEMENTATION OF THE EURATOM PROGRAMME  

5.1 Indirect actions  

A  total  of  33  grant  agreements  were  signed  under  the  Euratom  programme,  for  an  overall 
contribution  of  EUR  139.8 million.  A  total  of  254  eligible  proposals  for  fission  calls  have 
been  submitted  since  2014,  requesting  a  total  of  EUR  991.03 million.  Of  these,  98  were 
selected for funding, with a contribution of EUR 416.74 million, bringing the overall success 
rate of eligible proposals to 38% in 2020.  

In 2020, the final commitment was made for the EUROfusion joint programme, bringing the 
total to EUR 687.8 million since the start in 2014. 

5.2 Direct actions implemented by the JRC 

13 

 
 
JRC scientists published 143 articles in peer-reviewed periodicals and 36 in monographs or 
other  periodicals.  The  JRC  also  drafted  whole  sections  of  seven  policy  documents  and 
released  seven  science-for-policy  documents  and  81  technical  reports,  together  with  27 
reference methods and measurements, technical systems and scientific databases. Limited by 
the  pandemic  restrictions,  it  organised  four  training  courses  for  professionals  and  students 
from  Member  States  and  the  Commission,  and  opened  up  access  to  its  nuclear  research 
infrastructure, developing virtual tools where possible. 

The JRC prepared a report on preparedness and response actions to ensure the continued safe 
operation of nuclear power plants in the context of the COVID-19 pandemic. The report fed 
into several Commission and OECD-Nuclear Energy Agency initiatives. 

To ensure the effective and efficient implementation of the Euratom safeguards system, the 
JRC  analysed  about  600  nuclear  and  100  environmental  samples  for  Euratom  and  the 
International  Atomic  Energy  Agency  safeguard  authorities.  The  operation  of  the  Euratom 
safeguards  laboratories  continued  nearly  uninterrupted  to  enable  large  flows  of  nuclear 
materials even under the demanding conditions caused by the pandemic. 

The  JRC  conducted  research  on  new  radioisotope  applications  and  alternative  methods  of 
production,  and  helped  assess  challenges  related  to  supplying  medical  radioisotopes  to  the 
European public. These activities support other Euratom initiatives, including the work of the 
European  Observatory  on  the  Supply  of  Medical  Radioisotopes,  the  strategic  agenda  for 
medical ionising radiation applications and the ‘EU’s beating cancer’ plan. 

6.  DISSEMINATION, EXPLOITATION AND COMMUNICATION  

The  open  access  provisions  in  the  Horizon  2020  model  grant  agreement  ensure  the  full 
availability  of  about  105 000  publications  generated  by  Horizon  2020  projects,  with  open 
access  to  98%  of  articles  published  in  peer-reviewed  journals.  This  makes  Horizon  2020’s 
open access policy one of the most successful in the world.  

A  new  dissemination  and  exploitation  strategy  for  Horizon  Europe  results  prompted  the 
gradual  creation  of  an  integrated  exploitation  support  ecosystem.  The  Horizon  Results 
Platform  drew  investors’  and  policy-makers’  attention  to  the  results  of  Horizon  projects. 
Synergies with EU-funded project investment pipelines like BlueInvest are being explored. It 
also contributed to the fight against COVID-19 and against climate change by gathering and 
promoting  relevant  project  results.  The  new  Horizon  Results  Booster  started  delivering 
targeted  dissemination  and  exploitation  services  to  beneficiaries  based  on  their  needs.  The 
second  Horizon 
impact  awards  ceremony  recognising  and  celebrating  outstanding 
Horizon 2020 or FP7 projects with demonstrated social value took place during the R&I Days 
2020. 

Work continued on implementing the data strategy and progress was made on improving the 
interoperability  of  FP  data  with  external  datasets,  such  as  publications  and  patents.  The 
‘European data for R&I policy’ initiative (the former European R&I data hub) went ahead in 
liaison  with  Member  States  and  associated  countries.  Progress  was  made  on  CORTEX,  a 
text-mining  tool  that  provides  project  portfolio  creation  and  clustering,  and  on  the  tracking 
and tracing of FP research results and impact over time.  

14 

 
 
A  clear  and  effective  ‘feedback  to  policy’  framework  was  endorsed  in  the  Commission  for 
feedback from the projects funded by the FPs to support policy needs. 

An  interactive  matchmaking  tool  is  being  developed  by  the  Commission  to  highlight 
to  address  beneficiaries’  networking  and 
synergies  between  EU  programmes  and 
matchmaking  needs.  It  currently  covers  inter-regional  cooperation  and  Horizon  2020 
programmes as a testbed and helps link project partners by region and by project theme. 

The  Horizon  Dashboard  expanded  to  monitor  the  performance  of  more  than  50 000 
organisations  that  have  benefited  from  Horizon  2020  and  FP7  funding.  In  addition,  new 
supporting material was added to ensure that a wider audience can easily exploit its content. 
CORDIS continued to produce regular multilingual editorial products to reach the specialised 
users of research results, including the Research*eu magazine and thematic results packs, and 
over 7 800 Results in Brief, news articles and user-friendly descriptions of project objectives, 
complemented  by  outreach  events  and  social  media.  A  new  section  was  dedicated  to  EU-
funded  projects  and  results  to  help  fight  COVID-19.  CORDIS  extended  the  EuroSciVoc 
taxonomy  of  fields  of  science  and  published  a  first  version  of  an  ontology  for  research 
projects,  the  European  Research  Information  Ontology.  This  will  allow  the  curation, 
enhancement and integration of data with linked open data sources across the web. 

7.  OUTLOOK   

In the first half of 2021, all basic acts for Horizon Europe have entered into force. In parallel, 
the  Commission  has  adopted  all  necessary  implementing  decisions  on  the  first  work 
programmes under the programme and published calls for proposals immediately afterwards. 
The  Commission  will  also  make  appropriate  information  on  the  grant  agreements  and  the 
evaluation of proposals publicly available. 

During 2021, the Commission will assess identified missions under Horizon Europe in order 
to  decide  which  ones  should  be  developed  via  work  programme  calls  and  be  supported  by 
other initiatives at EU, international and national/regional levels.  

Building  on  the  positive  experience  from  2019  and  2020,  the  R&I  Days  2021  will  help  to 
maximise the impact of R&I spending for the digital and green transitions by, among other 
things, highlighting the links between Horizon Europe and the ERA. 

15