Source: EURLEX
Language: en
Format: md

**Council of the**
**European Union**

**Interinstitutional File:**

**2018/0224 (COD)**

**PROPOSAL**

**Brussels, 8 June 2018**
**(OR. en)**

**9865/18**
**ADD 1**

**RECH 272**
**COMPET 421**
**IND 156**
**MI 436**
**EDUC 245**
**TELECOM 170**
**ENER 224**
**ENV 413**
**REGIO 38**
**AGRI 271**
**TRANS 248**
**SAN 181**
**CADREFIN 79**
**CODEC 998**
**IA 189**

From: Secretary-General of the European Commission,
signed by Mr Jordi AYET PUIGARNAU, Director

date of receipt: 7 June 2018

To: Mr Jeppe TRANHOLM-MIKKELSEN, Secretary-General of the Council of
the European Union

No. Cion doc.: COM(2018) 435 final - Annexes 1 to 5

Subject: ANNEXES to the Proposal for 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

Delegations will find attached document COM(2018) 435 final - Annexes 1 to 5.

Encl.: COM(2018) 435 final - Annexes 1 to 5

9865/18 ADD 1 SD/MI//lv

## DG G 3 C EN

EUROPEAN

COMMISSION

Brussels, 7.6.2018
COM(2018) 435 final

ANNEXES 1 to 5

**ANNEXES**

**to the**

**Proposal for 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**

{SEC(2018) 291 final} - {SWD(2018) 307 final} - {SWD(2018) 308 final} 
{SWD(2018) 309 final}

# **EN EN**

**ANNEX I**

**BROAD LINES OF ACTIVITIES**

The general and specific objectives set out in Article 3 will be pursued across the Programme,
through the areas of intervention and the broad lines of activity described in this Annex, as
well as in Annex I to the Specific Programme.

**(1) Pillar I 'Open Science'**

Through the following activities, this pillar will, in line with Article 4, support the creation
and diffusion of high-quality knowledge skills, technologies and solutions to global
challenges. It will also contribute to the other Programme's specific objectives as described in
Article 3.

(a) European Research Council: Providing attractive and flexible funding to enable
talented and creative individual researchers and their teams to pursue the most
promising avenues at the frontier of science, on the basis of Union-wide competition.

Area of intervention: Frontier science

(b) Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and
skills through mobility and exposure across borders, sectors and disciplines, as well
as structuring and improving institutional and national recruitment, training and
career development systems; in so doing, the Marie Skłodowska-Curie Actions help
to lay the foundations of Europe's excellent research landscape, contributing to
boosting jobs, growth, and investment, and solving current and future societal
challenges.

_Areas of intervention:_ Nurturing excellence through mobility of researchers across
borders, sectors and disciplines; fostering new skills through excellent training of
researchers; strengthening human capital and skills development across the European
Research Area; improving and facilitating synergies; promoting public outreach.

(c) Research Infrastructures: Endowing Europe with world-class sustainable research
infrastructures which are open, and accessible to the best researchers from Europe
and beyond. In so doing the potential of the infrastructure to support scientific
advance and innovation, and to enable open science, will be enhanced, alongside
activities in related Union policy and international cooperation.

_Areas of intervention:_ Consolidating the landscape of European research
infrastructures; Opening, integrating and interconnecting research infrastructures;
Reinforcing European research infrastructure policy and international cooperation

**(2) Pillar II 'Global Challenges and industrial competitiveness'**

Through the following activities, this pillar will, in line with Article 4, strengthen the impact
of research and innovation in developing, supporting and implementing Union policies, and
support the uptake of innovative solutions in industry and society to address global
challenges. It will also contribute to the other Programme's specific objectives as described in
Article 3.

# EN 1 EN

To maximise impact flexibility and synergies, research and innovation activities will be
organised in five clusters, which individually and together will incentivise interdisciplinary,
cross-sectoral, cross-policy, cross-border and international cooperation.

Each cluster contributes towards several SDGs; and many SDGs are supported by more than
one cluster.

The R&I activities will be implemented in and across the following clusters:

(a) Cluster 'Health': Improving and protecting the health of citizens at all ages, by
developing innovative solutions to prevent, diagnose, monitor, treat and cure
diseases; mitigating health risks, protecting populations and promoting good health;
making public health systems more cost-effective, equitable and sustainable; and
supporting and enabling patients' participation and self-management.

_Areas of intervention_ : Health throughout the life course; Environmental and social
health determinants; Non-communicable and rare diseases; Infectious diseases;
Tools, technologies and digital solutions for health and care; Health care systems

(b) Cluster 'Inclusive and secure society': Strengthening European democratic values,
including rule of law and fundamental rights, safeguarding our cultural heritage, and
promoting socio-economic transformations that contribute to inclusion and growth,
while responding to the challenges arising from persistent security threats, including
cybercrime, as well as natural and man-made disasters.

_Areas of intervention_ : Democracy; Cultural heritage; Social and economic
transformations; Disaster-resilient societies; Protection and Security; Cybersecurity

(c) Cluster 'Digital and Industry': Reinforcing capacities and securing Europe's
sovereignty in key enabling technologies for digitisation and production, and in
space technology, to build a competitive, digital, low-carbon and circular industry;
ensure a sustainable supply of raw materials; and provide the basis for ~~ad~~ vances and
innovation in all global societal challenges.

_Areas of intervention_ : Manufacturing technologies; Digital technologies; Advanced
materials; Artificial intelligence and robotics; Next generation internet; High
performance computing and Big Data; Circular industries; Low carbon and clean
industry; Space

(d) Cluster 'Climate, Energy and Mobility': Fighting climate change by better
understanding its causes, evolution, risks, impacts and opportunities, and by making
the energy and transport sectors more climate and environment-friendly, more
efficient and competitive, smarter, safer and more resilient.

_Areas of intervention_ : Climate science and solutions; Energy supply; Energy systems
and grids; Buildings and industrial facilities in energy transition; Communities and
cities; Industrial competitiveness in transport; Clean transport and mobility; Smart
mobility; Energy storage.

(e) Cluster 'Food and natural resources': Protecting, restoring, sustainably managing and
using natural and biological resources from land and sea to address food and
nutrition security and the transition to a low carbon, resource efficient circular

economy.

_Areas of intervention_ : Environmental observation; Biodiversity and natural capital;
Agriculture, forestry and rural areas; Sea and oceans; Food systems; Bio-based
innovation systems; Circular systems

# EN 2 EN

(f) Non-nuclear direct actions of the Joint Research Centre: Generating high-quality
scientific evidence for good public policies. New initiatives and proposals for EU
legislation need transparent, comprehensive and balanced evidence, whereas
implementation of policies needs evidence to measure and monitor progress. The
JRC will provide Union policies with independent scientific evidence and technical
support throughout the policy cycle. The JRC will focus its research on EU policy
priorities.

_Areas of intervention:_ Health; resilience and security; digital and industry; climate,
energy and mobility; food and natural resources; support to the functioning of the
internal market and the economic governance of the Union; support to Member
States with implementation of legislation and development of smart specialisation
strategies; analytical tools and methods for policy making; knowledge management;
knowledge and technology transfer; support to science for policy platforms.

**(3) Pillar III 'Open Innovation'**

Through the following activities, this pillar will, in line with Article 4, foster all forms of
innovation, including breakthrough innovation, and strengthen market deployment of
innovative solutions. It will also contribute to the Programme's other specific objectives as
described in Article 3.

(a) European Innovation Council: promoting breakthrough innovation with scale-up
potential at global level

_Areas of intervention_ : Pathfinder, supporting future and emerging breakthrough
technologies; Accelerator, bridging the financing gap between late stages of
innovation activities and market take-up, to effectively deploy breakthrough marketcreating innovation and scale up companies where the market does not provide
viable financing, and; additional activities such as prizes and fellowships, and
business added-value services.

(b) European innovation ecosystems

_Areas of intervention_ : Connecting with regional and national innovation actors and
supporting the implementation of joint cross-border innovation programmes by
Member States and associated countries, from the enhancement of soft skills for
innovation to research and innovation actions, to boost the effectiveness of the
European innovation system. This will complement the ERDF support for innovation
eco-systems and interregional partnerships around smart specialisation topics.

(c) The European Institute of Innovation and Technology

_Areas of intervention_ : Strengthen sustainable innovation ecosystems across Europe;
Fostering the development of entrepreneurial and innovation skills in a lifelong
learning perspective and support the entrepreneurial transformation of EU
universities; Bring new solutions to global societal challenges to the market;
Synergies and value added within Horizon Europe.

# EN 3 EN

**4) Part 'Strengthening the European Research Area'**

Through the following activities, this part will, in line with Article 4, optimise the
Programme's delivery for increased impact within a strengthened European Research Area. It
will also support the Programme's other specific objectives as described in Article 3. While
underpinning the entire Programme, this part will support activities that contribute to a more
knowledge-based and innovative and gender-equal Europe, at the front edge of global
competition, thereby optimising national strengths and potential across Europe in a wellperforming European Research Area (ERA), where knowledge and a highly skilled workforce
circulate freely, where the outcomes of R&I are understood and trusted by informed citizens
and benefit society as a whole, and where EU policy, notably R&I policy, is based on high
quality scientific evidence.

_Areas of intervention_ : Sharing Excellence; Reforming and enhancing the European R&I
system.

# EN 4 EN

**ANNEX II**

**TYPES OF ACTION**

The programme will be implemented using a limited number of 'types of action', characterised
by their distinct objectives or conditions.

The main types of action are as follows:

–
Research and innovation action: action primarily consisting of activities aiming to
establish new knowledge and/or to explore the feasibility of a new or improved
technology, product, process, service or solution. This may include basic and applied
research, technology development and integration, testing and validation on a smallscale prototype in a laboratory or simulated environment;

–
Innovation action: action primarily consisting of activities directly aimed at
producing plans and arrangements or designs for new, altered or improved products,
processes or services, possibly including prototyping, testing, demonstrating,
piloting, large-scale product validation and market replication;

–
Innovation and market deployment actions: actions embedding an innovation action
and other activities necessary to deploy an innovation in the market, including the
scaling-up of companies, providing Horizon Europe blended finance (a mix of granttype funding and private finance);

–
ERC frontier research: principal investigator-led research actions, hosted by single or
multiple beneficiaries (ERC only);

–
Training and mobility action: action geared towards improvement of skills,
knowledge and career prospects of researchers based on mobility between countries,
and, if relevant, between sectors or disciplines;

–
Programme co-fund action: action to provide co-funding to a programme of activities
established and/or implemented by entities managing and/or funding research and
innovation programmes, other than Union funding bodies. Such a programme of
activities may support networking and coordination, research, innovation, pilot
actions, and innovation and market deployment actions, training and mobility
actions, awareness raising and communication, dissemination and exploitation, or a
combination thereof, directly implemented by those entities or by third parties to
whom they may provide any relevant financial support such as grants, prizes,
procurement, as well as Horizon Europe blended finance;

–
Pre-commercial procurement action: action with the primary aim of realising precommercial procurement implemented by beneficiaries that are contracting
authorities or contracting entities;

–
Public procurement of innovative solutions action: action with the primary aim of
realising joint or coordinated public procurement of innovative solutions
implemented by beneficiaries that are contracting authorities or contracting entities;

–
Coordination and support action: action contributing towards the objectives of the
Programme, excluding research and innovation activities, such as standardisation,

# EN 5 EN

dissemination, awareness-raising and communication, networking, coordination or
support services, policy dialogues and mutual learning exercises and studies;

–
Inducement prize: prize to spur investment in a given direction, by specifying a
target prior to the performance of the work;

–
Recognition prize: prize to reward past achievements and outstanding work after it
has been performed;

Public procurement: to implement parts of the programme related to strategic
interests and autonomy of the Union and to organise, for the Commission’s own
purposes, public procurements for studies, products, services and capabilities; public
procurement may also take the form of pre-commercial procurement or public
procurement of innovative solutions carried out by the Commission or funding
bodies on their own behalf or jointly with contracting authorities and contracting
entities from Member States and associated countries.

***

–
Indirect actions: research and innovation activities to which the Union provides
financial support and which are undertaken by participants;

–
Direct actions: research and innovation activities undertaken by the Commission
through its Joint Research Centre (JRC).

***

# EN 6 EN

**ANNEX III**

**PARTNERSHIPS**

European Partnerships will be selected, implemented, monitored, evaluated and phased-out on
the basis of the following criteria:

**1) Selection** :

(a) Evidence that the European Partnership is more effective in achieving the related
objectives of the Programme, in particular in delivering clear impacts for the EU and
its citizens, notably in view of delivering on global challenges and research and
innovation objectives, securing EU competitiveness and contributing to the
strengthening of the European Research and Innovation Area and international
commitments;

In the case of institutionalised European Partnerships established in accordance with
Article 185 TFEU, the participation of at least 50% of the EU Member States is
mandatory;

(b) Coherence and synergies of the European Partnership within the EU research and
innovation landscape;

(c) Transparency and openness of the European Partnership as regards the identification
of priorities and objectives, and the involvement of partners and stakeholders from
different sectors, including international ones when relevant;

(d) Ex-ante demonstration of additionality and directionality of the European
Partnership, including a common vision of the purpose of the European Partnership.
This vision will include in particular:

–
identification of measurable expected outcomes, deliverables and impacts
within specific timeframes, including key economic value for Europe;

–
demonstration of expected qualitative and quantitative leverage effects;

–
approaches to ensure flexibility of implementation and to adjust to changing
policy or market needs, or scientific advances;

–
exit-strategy and phasing-out measures.

(e) Ex-ante demonstration of the partners’ long term commitment, including a minimum
share of public and/or private investments;

In the case of institutionalised European Partnerships, the financial and/or in-kind,
contributions from partners other than the Union, will at least be equal to 50% and
may reach up to 75% of the aggregated European Partnership budgetary
commitments. For each institutionalised European Partnership, a share of the
contributions from partners other than the Union will be in the form of financial
contributions.

# EN 7 EN

**2) Implementation** :

(a) Systemic approach ensuring achievement of the expected impacts of the European
Partnership through the flexible implementation of joint actions going beyond joint
calls for research and innovation activities, including those related to market,
regulatory or policy uptake;

(b) Appropriate measures ensuring continuous openness of the initiative and
transparency during implementation, notably for priority setting and for participation
in calls for proposals, visibility of the Union, communication and outreach measures,
dissemination and exploitation of results, including clear open access/user strategy
along the value chain;

(c) Coordination and/or joint activities with other relevant research and innovation
initiatives ensuring effective synergies;

(d) Legally binding commitments, in particular for financial contributions, from each
partner throughout the lifetime of the initiative;

(e) In the case of institutionalised European Partnership access to the results and other
action related information for the Commission for the purpose of developing,
implementing and monitoring of Union policies or programmes.

**3) Monitoring** :

(a) A monitoring system in line with the requirements set out in Article 45 to track
progress towards specific policy goals/objectives, deliverables and key performance
indicators allowing for an assessment over time of achievements, impacts and
potential needs for corrective measures;

(b) Dedicated reporting on quantitative and qualitative leverage effects, including on
financial and in-kind contributions, visibility and positioning in the international
context, impact on research and innovation related risks of private sector
investments.

**4) Evaluation, phasing-out and renewal** :

(a) Evaluation of impacts achieved at Union and national level in relation to defined
targets and key performance indicators, feeding into the Programme evaluation set
out in Article 47, including an assessment of the most effective policy intervention
mode for any future action; and the positioning of any possible renewal of a
European Partnership in the overall European Partnerships landscape and its policy
priorities;

(b) Appropriate measures ensuring phasing-out according to the agreed conditions and
timeline, without prejudice to possible continued transnational funding by national or
other Union programmes.

# EN 8 EN

**ANNEX IV**

**SYNERGIES WITH OTHER PROGRAMMES**

1. Synergies with the European Agricultural Guarantee Fund and the European
Agricultural Fund for Rural Development (Common Agricultural Policy-CAP) will
ensure that:

(a) research and innovation needs of the agricultural sector and rural areas within
the EU are identified notably within the European Innovation Partnership
"agricultural productivity and sustainability" [1] and taken into consideration in
the Programme's strategic research and innovation planning process and the
work programmes;

(b) the CAP makes the best use of research and innovation results and promotes
the use, implementation and deployment of innovative solutions, including
those stemming from projects funded by the Framework Programmes for
research and innovation and from the European Innovation Partnership
"agricultural productivity and sustainability";

(c) the EAFRD supports the uptake and dissemination of knowledge and solutions
stemming from the Programme's results leading to a more dynamic farming
sector and new openings for the development of rural areas.

2. Synergies with the European Maritime and Fisheries Fund (EMFF) will ensure that:

(a) the Programme and the EMFF are largely interlinked as EU research and
innovation needs in the field of marine and maritime policy will be translated
through the Programme's strategic research and innovation planning process;

(b) the EMFF supports the rolling out of novel technologies and innovative
products, processes and services, in particular those resulting from the
Programme in the fields of marine and maritime policy; the EMFF also
promotes ground data collection and data processing and disseminates relevant
actions supported under the Programme, which in turn contributes to the
implementation of the Common Fisheries Policy, the EU Maritime Policy and
International Ocean Governance.

3. Synergies with the European Regional Development Fund (ERDF) will ensure that:

(a) arrangements for combined funding from ERDF and Programme are used to
support activities providing a bridge between smart specialisations strategies
and international excellence in research and innovation, including joint transregional/trans-national programmes and pan European Research
Infrastructures, with the aim of strengthening the European Research Area;

1 Communication from the Commission to the European Parliament and the Council on the European
Innovation Partnership 'Agricultural Productivity and Sustainability' (COM(2012) 79 final).

# EN 9 EN

(b) the ERDF focuses amongst others on the development and strengthening of
regional and local research and innovation ecosystems and industrial
transformation, including support to the take-up of results and the rolling out of
novel technologies and innovative solutions from the Framework Programmes
for research and innovation through the ERDF.

4. Synergies with the European Social Fund Plus (ESF+) will ensure that:

(a) the ESF+ can mainstream and scale up innovative curricula supported by the
Programme, through national or regional programmes, in order to equip people
with the skills and competences needed for the jobs of the future;

(b) arrangements for complementary funding from ESF+ can be used to support
activities promoting human capital development in research and innovation
with the aim of strengthening the European Research Area;

(c) the Health strand of the European Social Fund+ mainstreams innovative
technologies and new business models and solutions, in particular those
resulting from the Programmes, so to contribute to innovative, efficient and
sustainable health systems of the Member States and facilitate access to better
and safer healthcare for European citizens.

5. Synergies with the Connecting Europe Facility (CEF) will ensure that:

(a) research and innovation needs in the areas of transport, energy and in the
digital sector within the EU are identified and established during the
Programme's strategic research and innovation planning process;

(b) the CEF supports the large-scale roll-out and deployment of innovative new
technologies and solutions in the fields of transport, energy and digital physical
infrastructures, in particular those resulting from the Framework Programmes
for research and innovation;

(c) the exchange of information and data between the Framework Programme and
CEF projects will be facilitated, for example by highlighting technologies from
the Framework Programme with a high market readiness that could be further
deployed through the CEF.

6. Synergies with the Digital Europe Programme (DEP) will ensure that:

(a) whereas several thematic areas addressed by the Programme and DEP
converge, the type of actions to be supported, their expected outputs and their
intervention logic are different and complementary;

(b) research and innovation needs related to digital aspects are identified and
established in the Programme's strategic research and innovation plans; this
includes research and innovation for High Performance Computing, Artificial
Intelligence, Cybersecurity, combining digital with other enabling technologies
and non-technological innovations; support for the scale-up of companies
introducing breakthrough innovations (many of which will combine digital and
physical technologies; the integration of digital across all the pillar 'Global
Challenges and Industrial Competitiveness'; and the support to digital research
infrastructures;

# EN 10 EN

(c) DEP focuses on large-scale digital capacity and infrastructure building in High
Performance Computing, Artificial Intelligence, Cybersecurity and advanced
digital skills aiming at wide uptake and deployment across Europe of critical
existing or tested innovative digital solutions within an EU framework in areas
of public interest (such as health, public administration, justice and education)
or market failure (such as the digitisation of businesses, notably small and
medium enterprises); DEP is mainly implemented through coordinated and
strategic investments with Member States, notably through joint public
procurement, in digital capacities to be shared across Europe and in EU-wide
actions that support interoperability and standardisation as part of developing a
Digital Single Market;

(d) DEP capacities and infrastructures are made available to the research and
innovation community, including for activities supported through the
Programme including testing, experimentation and demonstration across all
sectors and disciplines;

(e) novel digital technologies developed through the Programme, are progressively
be taken up and deployed by DEP;

(f) the Programme's initiatives for the development of skills and competencies
curricula, including those delivered at the co-location centres of the European
Institute of Innovation and Technology's KIC-Digital, are complemented by
Digital Europe-supported capacity-building in advanced digital skills;

(g) strong coordination mechanisms for strategic programming and operating
procedures for both programmes are aligned, and their governance structures
involve the respective Commission services as well as others concerned by the
different parts of the respective programmes.

7. Synergies with the Single Market Programme will ensure that:

(a) the Single Market Programme addresses the market failures which affect all
SMEs, and will promote entrepreneurship and the creation and growth of
companies. Full complementarity exists between the Single Market Programme
and the actions of the future European Innovation Council for innovative
companies, as well as in the area of support services for SMEs, in particular
where the market does not provide viable financing;

(b) the Enterprise Europe Network may serve, as other existing SME support
structures (e.g. National Contact Points, Innovation Agencies), to deliver
support services under the European Innovation Council.

8. Synergies with the LIFE - Programme for Environment and Climate Action (LIFE)
will ensure that:

Research and innovation needs to tackle environmental, climate and energy
challenges within the EU are identified and established during the Programme’s
strategic research and innovation planning process. LIFE will continue to act as a
catalyst for implementing EU environment, climate and relevant energy policy and
legislation, including by taking up and applying research and innovation results from
the Programme and help deploying them at national and (inter-)regional scale where
it can help address environmental, climate or clean energy transition issues. In
particular LIFE will continue to incentivise synergies with the Programme through
the award of a bonus during the evaluation for proposals which feature the uptake of
results from the Programme. LIFE standard action projects will support the

# EN 11 EN

development, testing or demonstration of suitable technologies or methodologies for
implementation of EU environment and climate policy, which can subsequently be
deployed at large scale, funded by other sources, including by the Programme. The
Programme’s European Innovation Council can provide support to scale up and
commercialise new breakthrough ideas that may result from the implementation of
LIFE projects.

9. Synergies with the Erasmus Programme will ensure that:

(a) combined resources from the Programme and the Erasmus Programme are used
to support activities dedicated to strengthening and modernising European
higher education institutions. The Programme will complement Erasmus
programme support for the European Universities initiative, in particular its
research dimension as part of developing new joint and integrated long term
and sustainable strategies on education, research and innovation based on
trans-disciplinary and cross-sectoral approaches to make the knowledge
triangle a reality, providing impetus to economic growth;

(b) the Programme and the Erasmus Programme foster the integration of education
and research through facilitating higher education institutions to formulate and
set up common education, research and innovation strategies, to inform
teaching with the latest findings and practices of research to offer active
research experience to all students and higher education staff and in particular
researchers, and to support other activities that integrate higher education,
research and innovation.

10. Synergies with the European Space Programme will ensure that:

(a) research and innovation needs of the space upstream and downstream sector
within the EU are identified and established as part of the Programme's
strategic research and innovation planning process; space research actions
implemented through Horizon Europe will be implemented with regard to
procurement and eligibility of entities in line with the provisions of the Space
Programme, where appropriate;

(b) space data and services made available as a public good by the European Space
Programme are used to develop breakthrough solutions through research and
innovation, including in the Framework Programme, in particular for
sustainable food and natural resources, climate monitoring, smart cities,
automated vehicles, security and disaster management;

(c) the Copernicus Data and Information Access Services contribute to the
European Open Science Cloud and thus facilitate access to Copernicus data for
researchers and scientists; research infrastructures, in particular in situ
observing networks will constitute essential elements of the in situ observation
infrastructure enabling the Copernicus services, and in turn, they benefit from
information produced by Copernicus services.

11. Synergies with the Neighbourhood, Development and International Cooperation
Instrument (the 'External Instrument') will ensure that the Programme's research and
innovation activities with the participation of Third Countries and targeted
international cooperation actions seek alignment and coherence with parallel market
uptake and capacity-building actions strands under the External Instrument, based on

# EN 12 EN

joint definition of needs and areas of intervention commonly defined during the
Programme's strategic research and innovation planning process.

12. Synergies with the Internal Security Fund and the instrument for border management
as part of the Integrated Border Management Fund will ensure that:

(a) the research and innovation needs in the areas of security and integrated border
management are identified and established during the Programme's strategic
research and innovation planning process;

(b) the Internal Security Fund and the Integrated Border Management Fund
support the deployment of innovative new technologies and solutions, in
particular those resulting from the Framework Programmes for research and
innovation in the field of security research.

13. Synergies with the InvestEU Fund will ensure that:

(a) the Programme provide out of its own budget Horizon Europe and EIC
blended finance for innovators, characterised by a high level of risk and for
which the market does not provide when relevant viable and sustainable
financing, and at the same time will provide for appropriate coordination in
support of the effective delivery and management of the private finance part of
the blended finance through funds and intermediaries supported by InvestEU;

(b) financial instruments for research and innovation and SMEs are grouped
together under the InvestEU Fund, in particular through a dedicated R&I
thematic window, and through products deployed under the SME window
targeting innovative companies, in this way also helping to deliver the
objectives of the Programme.

14. Synergies with the Innovation Fund under the Emission Trading Scheme (the
'Innovation Fund') will ensure that:

(a) the Innovation Fund will specifically target innovation in low-carbon
technologies and processes, including environmentally safe carbon capture and
utilisation that contributes substantially to mitigate climate change, as well as
products substituting carbon intensive ones, and to help stimulate the
construction and operation of projects that aim at the environmentally safe
capture and geological storage of CO2 as well as innovative renewable energy
and energy storage technologies;

(b) the Programme will fund the development and demonstration of technologies
that can deliver on EU decarbonisation, energy and industrial transformation
objectives, especially in its Pillar 2;

(c) the Innovation Fund may, subject to fulfilment of its selection and award
criteria, support the demonstration phase of eligible projects that may have
received the support from the Framework Programmes for research and
innovation .

15. Synergies with the Euratom Research and Training Programme will ensure that:

(a) the Programme and the Euratom Research and Training Programme develop
comprehensive actions supporting education and training (including Marie
Skłodowska-Curie Actions) with the aim of maintaining and developing
relevant skills in Europe;

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(b) the Programme and the Euratom Research and Training Programme develop
joint research actions focussing on cross-cutting aspects of the safe and secure
use of non-power applications of ionising radiation in sectors such as medicine,
industry, agriculture, space, climate change, security and emergency
preparedness and contribution of nuclear science.

16. Synergies with the European Defence Fund will benefit civil and defence research.
Unnecessary duplication will be excluded.

# EN 14 EN

**ANNEX V**

**KEY IMPACT PATHWAY INDICATORS**

Impact pathways, and related key impact pathway indicators, shall structure the monitoring of
the Framework Programme’s (FP) performance towards its objectives. The impact pathways
are time-sensitive: they distinguish between the short, medium and long term. Impact pathway
indicators serve as proxies to report on the progress made towards each type of Research and
Innovation (R&I) impact at the FP-level. Individual Programme parts will contribute to these
indicators to a different degree and through different mechanisms. Additional indicators may
be used to monitor individual programme parts, where relevant.

The micro-data behind the key impact pathway indicators will be collected for all parts of the
Programme and all delivery mechanisms in a centrally managed and harmonised way and at
the appropriate level of granularity with minimal reporting burden on the beneficiaries.

**Scientific impact pathway indicators**

The Programme is expected to have scientific impact by creating high-quality new
knowledge, strengthening human capital in research and innovation, and fostering diffusion of
knowledge and Open Science. Progress towards this impact will be monitored through proxy
indicators set along the following three key impact pathways.

|Towards scientific<br>impact|Short-term|Medium-term|Longer-term|
|---|---|---|---|
|**Creating high-quality**<br>**new knowledge**|Publications -<br>Number of FP peer<br>reviewed scientific<br>publications|Citations-<br>Field-Weighted Citation<br>Index of FP peer reviewed<br>publications|World-class science -<br>Number and share of peer<br>reviewed publications from<br>FP projects that are core<br>contribution to scientific<br>fields|
|**Strengthening human**<br>**capital in R&I**|Skills-<br>Number of researchers<br>having benefitted from<br>upskilling activities in FP<br>projects (through training,<br>mentoring/coaching,<br>mobility and access to R&I<br>infrastructures)|Careers-<br>Number and share of<br>upskilled FP researchers<br>with more influence in their<br>R&I field|Working conditions - <br>Number and share of<br>upskilled FP researchers with<br>improved working conditions|
|**Fostering diffusion of**<br>**knowledge and Open**<br>**Science**|Shared knowledge-<br>Share of FP research<br>outputs (open data/<br>publication/ software etc.)<br>shared through open<br>knowledge infrastructures|Knowledge diffusion- <br> Share of open access FP<br>research outputs actively<br>used/cited|New collaborations-<br>Share of FP beneficiaries<br>having developed new<br>transdisciplinary/ trans-<br>sectoral collaborations with<br>users of their open FP R&I<br>outputs|

**Societal impact pathway indicators**

The Programme is expected to have societal impact by addressing EU policy priorities
through R&I, delivering benefits and impact through R&I missions and strengthening the
uptake of innovation in society. Progress towards this impact will be monitored through proxy
indicators set along the following four key impact pathways.

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|Towards societal<br>impact|Short-term|Medium-term|Longer-term|
|---|---|---|---|
|**Addressing EU policy**<br>**priorities through R&I**|Outputs -<br>Number and share of<br>outputs aimed at<br>addressing specific EU<br>policy priorities|Solutions-<br>Number and share of<br>innovations and scientific<br>results addressing specific<br>EU policy priorities|Benefits-<br>Aggregated estimated effects<br>from use of FP-funded<br>results, on tackling specific<br>EU policy priorities,<br>including contribution to the<br>policy and law-making cycle|
|**Delivering benefits and**<br>**impact through R&I**<br>**missions**|R&I mission outputs-<br>Outputs in specific R&I<br>missions|R&I mission results-<br>Results in specific R&I<br>missions|R&I mission targets met-<br>Targets achieved in specific<br>R&I missions|
|**Strengthening the uptake**<br>**of innovation in society**|Co-creation-<br>Number and share of FP<br>projects where EU citizens<br>and end-users contribute to<br>the co-creation of R&I<br>content|Engagement-<br>Number and share of FP<br>beneficiary entities with<br>citizen and end-users<br>engagement mechanisms<br>after FP project|Societal R&I uptake<br>Uptake and outreach of FP<br>co-created scientific results<br>and innovative solutions|

**Economic/innovation impact pathway indicators**

The Programme is expected to have economic/innovation impact by influencing the creation
and growth of companies, creating direct and indirect jobs, and by leveraging investments for
research and innovation. Progress towards this impact will be monitored through proxy
indicators set along the following three key impact pathways.

|Towards economic<br>/ innovation<br>impact|Short-term|Medium-term|Longer-term|
|---|---|---|---|
|**Generating innovation-**<br>**based growth**|Innovative outputs-<br>Number of innovative<br>products, processes or<br>methods from FP (by type<br>of innovation) &<br>Intellectual Property<br>Rights (IPR) applications|Innovations -<br>Number of innovations from<br>FP projects (by type of<br>innovation) including from<br>awarded IPRs|Economic growth-<br>Creation, growth & market<br>shares of companies having<br>developed FP innovations|
|**Creating more and better**<br>**jobs**|Supported employment-<br>Number of FTE jobs<br>created, and jobs<br>maintained in beneficiary<br>entities for the FP project<br>(by type of job)|Sustained employment-<br>Increase of FTE jobs in<br>beneficiary entities<br>following FP project (by<br>type of job)|Total employment<br>Number of direct & indirect<br>jobs created or maintained<br>due to diffusion of FP results<br>(by type of job)|
|**Leveraging investments**<br>**in R&I**|Co-investment-<br>Amount of public &<br>private investment<br>mobilised with the initial<br>FP investment|Scaling-up -<br>Amount of public & private<br>investment mobilised to<br>exploit or scale-up FP<br>results|Contribution to ‘3% target’-<br>EU progress towards 3%<br>GDP target due to FP|

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