Second meeting of the Horizon 2020 informal Strategic PC Configuration24 October 2013
Today's agenda • 1. Introduction • 2. Approval of minutes from the previous meeting and agenda of the meeting • 3. Remit of strategic configuration of Programme Committee • 4. Horizon 2020 work programme: state of play • 5. Discussion on relevant work programme parts: • ‘General introduction’ • ‘Spreading excellence and widening participation’ • ‘Science with and for society’ • ‘Communication and Dissemination’ • ‘General annexes’ • 6. AOB
State of play – inter-institutional negotiations At the trilogue meeting of 25 June 2013, the co-legislators reached a political agreement covering the Framework Programme, the Rules for participation and some elements of the Specific Programme of Horizon 2020 as well as the EIT. The Euratom 2014-2018 programme was not part of this agreement. The main elements of the compromise packageinclude: • simplification (retaining the Council’s funding model) • architecture and new action lines • Horizon 2020 budget and earmarking for the SME instrument, Energy and FET • the budget distribution • a Fast Track to Innovation Pilot • time to Grant of 8 months • derogations from the Rules of Participation for JTIs COREPER approved the compromise package on 17 July 2013 The President of COREPER has sent the letters to the Chair of the ITRE Committee on 12 September 2013(covering the Framework Programme, the Rules for Participation and EIT) On 26 September, the ITRE Committee adopted the reports on the Framework Programme, the Specific Programme and the Rules for Participation.
Multiannual financial framework (2014-2020) State of play : • Political Agreement reached between the three institutions before the summer break • Formal steps towards adoption of the MFF and the 2014 budget acts to be taken by EP and Council in November 2013 (vote foreseen for the week of 18 November) • The same applies to all sectorial dossiers, including Horizon 2020 • Overall H2020 budget: € 79,402 mio(current prices) • Reminder: H2020 cannot be formally adopted before the MFF formal agreement
Specific Programme Specific Programme: Following the agreement on the Horizon 2020 package in COREPER on 17 July, the Specific Programme has been aligned with the Framework Programme Regulation Annex V with the list of 14 programme committee configurations, and indications on the reimbursement of experts have been included in the Specific Programme A consensus has been reached on the administrative expenditure: No more than 5 % of the amounts for the Parts I, II, III, IIIa and IIIb of the Specific Programme shall be for the Commission's administrative expenditure. The Commission shall ensure that during the programme its administrative expenditure will decrease and it will endeavour to reach a target of 4.6 % or less in the year 2020
Next steps Framework Programme Regulation & Rules for Participation: Vote of the MFF in the EP Plenary: week of 18 November Vote of Horizon 2020 and ITER in EP Plenary: week of 18 November Adoption by the Council: November/December 2013 (TBC) Specific Programme & Euratom: Finalisation of work in the Council Research Working Party: October 2013 Files related to Horizon 2020: Article 185 & 187 Initiatives: examination in Council ResearchWorking Party isongoing. The main issues for Art 187 are: budget, role of Member States, additional activities, audits, and transparency of evaluation and selection process for the. For Art 185 the main issues include budget, EU contribution to administrative costs, audits, synergies with other programmes. ITER funding for 2014-2020: examination in Council ResearchWorking Party ongoing.
2. Approval of minutes from the previous meeting and agenda of the meeting
Programme committee • Following the messages from Robert-Jan Smits to MS/EEA on the shadow configurations, these have commenced work in early September (three meetings foreseen for each configuration) • Commission services discuss the various work programme parts with the configurations according to the Specific Programme, namely Article 5 and the list of configurations agreed as Annex V • Once Specific Programme agreed, MSs/EEA will be asked to confirm their nominations
Specific Programme Implementing Horizon 2020 – Annex V (excerpt) • Programme Committee configurations • 1. Strategic configuration: Strategic overview of the implementation of the whole programme, coherence across the different parts of the programme and cross-cutting issues including “Spreading excellence and widening participation” and “Science with and for society”. • 2. European Research Council (ERC), Future and Emerging Technologies (FET) and Marie Skłodowska-Curie Actions (MSCA) • 3. Research infrastructures • 4. Information and communication technologies (ICT) • 5. Nanotechnologies, Advanced materials, Biotechnology, Advanced manufacturing and processing • 6. Space • 7. SMEs and Access to risk finance • 8. Health, demographic change and wellbeing • 9. Food security, sustainable agriculture and forestry, marine and maritime and inland water research and the bioeconomy • 10. Secure, clean and efficient energy • 11. Smart, green and integrated transport • 12. Climate action, environment, resource efficiency and raw materials • 13. Europe in a changing world – Inclusive, innovative and reflective societies • 14. Secure Societies – Protecting Freedom and security of Europe and its citizens
Specific Programme Implementing Horizon 2020 – Annex IV • Information to be provided by the Commission in accordance with article 8a(2) of SP • 1. Information on individual projects, enabling the monitoring of the entire lifetime of each proposal, covering in particular: • – submitted proposals, • – evaluation results for each proposal, • – grant agreements, • – completed projects. • 2. Information on the outcome of each call and project implementation, covering in particular: • – results of each call, • – outcome of negotiations on grant agreements, • – project implementation, including payment data and outcome of projects. • 3. Information on programme implementation, including relevant information at the level of the Framework Programme, the specific programme and each theme and the JRC, as well as the synergies with other relevant Union programmes. • 4. Information on the execution of the Horizon 2020 budget, including information on commitments and payments for article 185 and 187 initiatives.
Remit of the strategic configuration - Opinion • On: • the work programme parts on • Introduction • Science with and for society • Spreading excellence and widening participation • Communication and Dissemination • General Annexes • the funding of indirect actions involving the use of human embryos and human embryonic stem cells on • Science with and for society • Spreading excellence and widening participation • the funding of indirect actions where the estimated amount of the Union contribution is equal to or more than EUR 0.6 million on • Science with and for society • Spreading excellence and widening participation • the drawing up of the terms of reference for the evaluations provided for in Article 26 of the Horizon 2020 Regulation. • This configuration will also adopt the Rules of Procedure of the Programme Committee of the Specific Programme.
Remit of the strategic configuration – Exchange of views and deliberations • On: • Strategic overview of the implementation of the whole programme: • Multi-annual approach and strategic orientations for the following years of implementation • Relevance to a wide range of different types of participants, especially newcomers • Delivering on simplification agenda • Coherence across the different parts of the programme: • Overall coherence of the programme • Linkages across the various parts of the programme • Level of integration • Cross-cutting issues: • International cooperation; • Social and economic sciences and humanities; • Climate change and sustainable development; • Innovation and close to market actions; • Cross-disciplinary and cross-sectoral research and innovation; • Fostering the functioning and achievement of the ERA and of the Innovation Union; • Responsible research and innovation including gender • SME involvement in research and innovation and the broader private sector participation. • Other issues relevant to the topics put forward for opinion.
On the organisation of future Strategic Configuration+meetings: • Two types of meetings: • DG level, around 2 times per year, on: • strategic issues relating to the programme as a whole, addressing questions such as: are the work programmes in overall terms meeting Horizon 2020’s objectives, by being more strategic/less prescriptive, more focused on impact, providing access to new players, coupling research to innovation, and delivering on radical simplification • the strategic programming process • relations with other policies • Director level addressing: • - Key operational aspects, including the work programme parts
Cross-cutting issues – SME aspects and the SME instrument • The strategic configuration ensures the overview on the SME aspects, including the SME instrument, from a strategic perspective • The Work Programme part Innovation for SMEs will contain the SME instrument information • Each of the configurations on LEITs and the Societal Challenges decides on the corresponding work programme parts, including in what concerns the SME aspects and the SME instrument
Specific Programme Implementing Horizon 2020 - Article 5(6) (excerpt) • "The work programmes […] shall set out the objectives pursued, the expected results, the method of implementation and their total amount, […]. They shall also contain a description of the actions to be financed, an indication of the amount allocated to each action, an indicative implementation timetable, as well as a multi-annual approach and strategic orientations for the following years of implementation. They shall include for grants the priorities, the selection and award criteria and the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs. […]. They shall allow for strategic top-down as well as bottom-up approaches, as appropriate, that address the objectives in innovative ways."
Work programme structure • One Horizon 2020 work programme (18 parts) covering: • General Introduction (part 1) • Pillar I (except ERC) (parts 2-4) • FET, Marie Skłodowska-Curie actions, Research infrastructures • Pillar II (parts 5-7) • LEITs, Access to risk finance, Innovation in SMEs • Pillar III (parts 8-14) • All seven societal challenges • Spreading excellence and widening participation (part 15) • Science with and for society (part 16) • Communication and dissemination (part 17) • General Annexes (part 18)
A strategic programming approach ("multi-annual approach and strategic orientations") • Work Programme preparation based on guidance and input from stakeholders as part of a strategic programming exercise • To increase impact of the funding, and for a more integrated approach • 'key drivers' used to identify areas on which resources and effort will be focused for maximum impact • Fully in line with the contents of the Specific Programme / not creating new priorities • First work programme needs to boost jobs and growth
Focus Areas • Strategic programming has identified 12 focus areas, each covered by a specific call: • Centre of gravity for portfolios of activities around a mature research agenda, across different challenges and enabling technologies • Provide support across the innovation cycle from research to development, proof of concept, piloting, demonstration projects, and to setting standards • Make use of the full spectrum of types of action e.g. research and innovation actions, innovation actions, ERA-Nets, SME instrument • Integrate different perspectives, including from the social sciences and humanities, gender perspectives, and international strategy
Calls not addressing focus areas • Majority of Work Programme comprised of non-focus area calls (total no. 80 calls) • These address topics in other parts of the Specific Programme based on areas with similar high potential for impact
Work Programme addressing two years • Multiannual perspective foreseen in the Commission’s proposals for Horizon 2020 • Strong message from public consultation • Supports a more strategic approach to priority setting, to implementation, to integration, and helps ensure greater impact • Provide a clear base for the research community to plan and network ahead (simplification)
Work programme parts relating to 2015 • All WP parts relating to 2015 are provisional (including budget, and deadlines) • PC therefore needs to readdress WP parts includingnew features – e.g. Fast Track to Innovation (FTI) (ie, opinion required) • Timing: mid-2014
Future work programmes • Strategic programming will support future Work Programmes: • Extensive engagement with the strategic PC, links with MS activities • Consultation with the Advisory Groups • Monitoring of the performance and outputs of projects • Use of data on economic, social, market and technological trends • Foresight and other types of forward looking activities to identify possible future trajectories and scenarios • Other sources of intelligence on emerging needs and opportunities such as the EIPs, ETPs and JPIs
Timeline • Three meetings per configuration envisaged between September and mid-November: • Third meeting (opinion): docs with deadlines • Potentially associated countries to get copies during this process • Adoption of WP/calls on 10 December; publication on 11 December • Horizon 2020 national launch events – dates fixed for all MS (between September and February) • Programme Committee in 2014: • Start discussion on next strategic programme (2016-2017), meeting at DG level meeting in spring 2014 • Address 2015 work programme parts
Changes since First PC meeting • New section 'overview' and revised 'political context and key drivers' • New section on 'cross-cutting issues', 'open access to research results' • Taking into account comments from MS • Restructuring to simplify the layout
Comments from MS (1) • Support for the general programming/focus area approach (BE, NL, NO, SE) • Concerns with alignment to Specific Programme (FR) • Need for more explanation on background to strategic programming, focus area approach incl. governance (HU, NL, NO, SE) • Duration of the WP and strategic programming (FR, IT, HU) • Implications for evaluation system (DE, NL) • Clarification of partnership with MS (DE, FR, ES, NO) • Strengthening references to gender (FR) • Request for general clarifications/rewording - near to market; avoid political statements; synergies with structural funds; rationale for prizes (DE); international strategy (DE, FR, IT); financial instruments (IT); cross-cutting issues (NO); FET (FR)
Comments from MS (2) • Focus areas • 'personalising health' – breadth (BE, FR) • 'mobility' – relationship with other initiatives (FR) • Linkage between 'competitive low carbon energy' and 'energy efficiency' (BE) • 'Blue growth' to include reference to seas (IT, HR) • 'Overcoming the crisis', doesn’t address long term changes and needs updated in light of current events (FR, UK) • 'disaster resilience', mixing long and short term (FR) • additional focus area proposed on cultural heritage (IT) • Relationship between focus areas and other initiatives (DE) • Other general comments not linked to the text - link with COSME; NCP/EEN role; synergies with Structural Funds; role of the strategic configuration e.g. SMEs; access to finance; state aid rules; KET report; FTI
Introduction • Background : • 13 Sept - 1st shadow Strategic PC meeting: first presentation and discussion with MS representatives of the widening measures (Teaming, Twinning, ERA Chairs etc.) and of specific eligibility options • 17 Sept - Berlin Seminar: Specific discussion on Teaming and its detailed modalities with policy/technical stakeholders, interesting discussions on eligibility criteria • End Sept/ October – Taking stock of the discussions and MS views and further analysis within the Commission on eligibility criteria • Today: • Summary of changes introduced in the Widening WP after the 1st shadow PC and post Berlin • Presentation of eligibility indicator for Widening actions under H2020
Summary of main modifications in Widening WP • General changes: indicative budget, indicative project size, specific eligibility conditions, specific evaluation criteria, indicative timetable for the evaluation and the grant agreement. • Teaming (2014): Shortened project duration of the first stage (from 18 to 12 months), reference to the duration of the 2nd stage of 3-5 years [possibly 5-7 years], Stage 2 to be implemented through a Framework Partnership Agreement (still under examination internally). • Budget: 12M (Stage 1) & ~80-90M (Stage 2 in 2016) • Indicative Project Size: 0.3-1M (Stage 1) [possibly 0.2-0.5M] & 15-20M (Stage 2) • ERA Chairs (2014): More detailed description of the scope section, including details of the modalities of appointment of the ERA Chair holder and the proposed duration of the action. • Budget: 34M • Indicative Project Size: 2.5M (similar to pilot) • Twinning (2015): Minor changes compared to the previous version of the WP. • Budget: ~ 60-65M • Indicative Project Size: 1M • Description of other actions, not subject to calls for proposals (COST, Policy Support Facility).
Special Eligibility for Widening actions • WHY? • Necessity to target measures under "Spreading Excellence and Widening Participation" towards those countries with low performance in R&I • Focus on the countries that are less performing in terms of research excellence to enable them in the future to raise their level of excellence and thus also better participate in future framework programmes • PROPOSAL • A composite indicator grasping research excellence in each country, will be the eligibility criterion of Widening actions (as far as the "Low performer" is concerned) • Suggested by Estonia and supported by others in their written comments
Composite Research Excellence Indicator at National level • Origin: Developed by DG RTD & JRC, part of the IU progress at country level 2013 publication & will be included in the IU Competitiveness Report 2013 to be published in November. • Definition: "A composite indicator developed to measure the research excellence in Europe, meaning the effects of the European and national policies on the modernisation of research institutions, the vitality of the research environment and the quality of research outputs in both basic and applied research." • Methodology: • Composite indicator of four variables: • Highly cited publications of a country as a share of the top 10% most cited publications normalised by GDP • Number of world class universities and public research institutes in a country normalised by population in the world top 250 universities and research institutes • Patent applications per million population • Total value of ERC grants received divided by public R&D performed by the higher education and government sectors • Threshold: MS below 70% of the EU average • Resulting eligible MS: Latvia, Croatia, Lithuania, Malta, Slovakia, Romania, Luxembourg, Poland, Bulgaria, Estonia, Portugal, Slovenia, Cyprus, Czech Republic and Hungary
General Comments from MS In general positive and constructive comments (NO, SP, NL…): welcome Science With And For Society WP and support to Responsible Research and Innovation (RRI).Letter UK, F, DE Ministers (EU regulation Research Innovation): "Necessary to encourage an early dialogue between scientists, policy-makers and civil society" + risk governance strong support for science with and for society activities (see calls Integrating Society in Science and Innovation + Governance for RRI)---------------- Calls less prescriptive (NO,HU) 1 call removed and 12 topics merged and less prescriptive (Science Education and careers, Integrating Society in Science and Innovation + Governance for RRI), 1 topic removed. Definition of RRI (DE) New text will be added in introduction of the WP - Concept not new as already introduced in Science in Society WPs 2012 and 2013
New structure • Call SEAC • Former SEAC 1+SEAC 2 = new SEAC 1 • Former SEAC 4+ SEAC 5 = new SEAC 4 • Call GERI • Same structure • Call ISSI • Former ISSI 1 + ISSI 3 = new ISSI 1 • Former SA 1 + SA 2 = new ISSI 3 • Former ISSI.5 = dropped • Call GARRI • Former GARRI 2 + GARRI 3 = new GARRI 2 • Former GARRI 4= new ISSI 5 • Former GARRI 6 + GARRI 7 = new GARRI 4 • Former SA 3= new GARRI 7 • Former SA 4 = new GARRI 8 • Former GARRI 10 = new SEAC 2 • Call SA (Dropped)
Call SEAC - Science Education And Careers Attractive For Young People Clarify the broadening scope of SEAC compared to FP7 (FR, DE, ES), including the calls on EURAXESS (EE, FR, ES) SEAC is based on trialogue’agreed text for Horizon 2020, which specifies a widening of attention beyond science education, to include actions to make science careers more attractive. This also explains the inclusion of the EURAXESS calls (scientific careers for young people) Avoid duplication of efforts (FR, IT) calls build on outcomes of FP7 SiS activities, no duplication is expected.
Call GERI - Gender equality in Research and Innovation High interest for gender topics and support to structural changes (DE, EE, AT, NO, IT, FR, SP) Concerns regarding "Science it's a girl thing" campaign title (AT) and scope (FR, SP, NO, HU) Change in campaign's title not recommended, as it was previously tested with female teenagers + topic offers applicants autonomy to address specific needs and cultural contexts, in a bottom-up way Regarding the evaluation of national initiatives one MS (ES) found it premature but others (DE, FR,NL, IT) supported it timing maintained Need for financial support to existing Gender Equality Plans (IT) Can’t be supported as financial resources are limited. Need to attract newcomers and reach a critical mass of organisations implementing Gender Equality Plans.
Call ISSI - Integrating Society in Science and Innovation Support to 'hands-on' activities Clarify availability of the RRI toolkit by the time the project starts (DE, SP Topic ISSI.1.2015) Toolkit will be made available during second semester 2015. Text to be adapted in some cases following MS comments e.g. 'Universities' to be replaced with "Higher Education Institutions" (FR), acronyms to be spelt out (DE) Text adapted
Call GARRI – Governance for the advancement of Responsible Research and Innovation Clarify availability of the RRI toolkit by the time the project starts (DE) Toolkit will be made available during second semester 2015. Text and Data Mining (TDM) to be clarified (SP) and ‘linguistic aspects’ (BE) definition added. Clear support fromMSs (DE, BE, FR, SP, EE) to peerreview and indicatorstopicswithminorcomments topicsmerged and textadapted. Funding and coordination of NCPs networks (EE, IT) Only NCPs from EU MSs, Associated Countries and neighbourhood policy countries appointed officially by relevant national authorities are eligible to participate and receive funding.
Corporate Communication Article 22 of Horizon 2020 Regulation: 'Budget allocated to communication under Horizon 2020 shall also contribute to covering the corporate communication of the Union's political priorities as far as they are related to the general objective of this Regulation.'
Seven key priorities for the EU: • Creating jobs • Helping competiveness of industry • Exiting the crisis – fairly! • Reducingcost of living • Improvingquality of life • Tackling global challenges • Protecting the citizen
Corporate Communication WP 2014 Pilot phase will focus on: • Growth and jobs • Future of Europe Budget €13,5 million. Horizon 2020 willcontribute €4 million to address cross-cutting issues that are central to objectives of the programme.
Generalcontext On the one side: • Strategic change to a strong output and impact oriented logic • High expectation from MS, Council, EP On the other side: • Pressure to limit public sector expenditure