Horizon 2020 Condensed
Horizon 2020 initiatives, influences and policies
A large number of stakeholders have been involved in the development of Horizon 2020. With the
start of the programme, the emphasis in terms of influencing shifts from the general programme
design and content to the work programmes.
This short guide will provide an introduction to the process of work programme development and
highlight potential areas for and ways of influencing these documents. It will also provide a basic
overview of the main policies which underpin Horizon 2020, and explain the wider Horizon 2020
environment in terms of related initiatives and programmes.
What are work programmes?
In Horizon 2020 the work programmes are for two-year funding periods and the initial set covers the
period of 2014-2015. Work programmes outline the policy rationale for each part of Horizon 2020
and then list topics or funding schemes for which calls for proposals will be launched. Although the
work programmes cover a two-year period, calls in the second year will be provisional and there is
the possibility that revisions will be made before the calls for the second year are launched.
Initial drafts or ‘reflection papers’ for work programmes are developed by the relevant units in the
European Commission. In Horizon 2020, the Strategic Programme and its focus areas provide the
underlying concept for the work programmes, which have to show how they respond to the Strategic
Programme and more widely to the EU policies in each area. For example, the work programme for
Challenge 3 on Energy has to correspond to the goals set out by the wider EU policy in the European
Strategic Energy Technology (SET) Plan, as well as the EU 2020 targets on energy efficiency and the
policies and initiatives under the new Energy Union priority of the Juncker Commission.
How to go about influencing?
Work programmes are influenced in a variety of ways. It is important to understand that there is not
just one way of influencing, and the process is not entirely transparent. If you do want to try and
influence a work programme in your area to better match your future funding needs it is advisable to
try and take a broad approach and involve other stakeholders, researchers from other Member
States etc. where appropriate. This factsheet can neither provide a master plan for influencing nor
outline the correct path to take. This is because there simply is no correct path and influencing can
take different forms and shapes and will depend on the specific area as well. We will however try to
provide an introduction to the wider environment of initiatives and policies Horizon 2020 operates in
to show up different ways to become part of the influencing process.
Horizon 2020 is a pan-EU funding instrument designed to complement national funding programmes.
It is structured around a diverse set of sub-programmes, where there is a strong emphasis on
collaborative working to respond to EU policy needs. With increasing pressure on national budgets
there is strong competition for EU funding and growing interest in influencing the way the funding
calls are shaped. Influencing is not an easy task and is a long-term process, involving building up
contacts with other researchers and relevant actors and bodies around Europe. It is also important to
know the major stakeholders in your field, including specific European interest organisations which
might be based in Brussels or routinely work with and around the European Institutions. Influencing
the next work programmes starts long before the drafts are circulating. It is important to fully
understand the EU policies in your area, and to remember that the scope of Horizon 2020 is
described in the Horizon 2020 Specific Programme. This sets out the main programme objectives for
the seven year duration of Horizon 2020, but there will not be calls for all areas in all years.
Version: March2016 - This factsheet reflects information available on the date issued. UKRO factsheets are produced for the benefit of
staff in UKRO sponsor and subscriber institutions only
1
An important opportunity for feeding into the development of Horizon 2020 and future framework
programmes will be the interim evaluation, which aims to assess, inter alia, results and impact of
the Programme, progress against objectives and continued relevance, EU added value, and efficiency
and use of resources. It will include an online public stakeholder consultation expected for the fourth
quarter of 2016.
Who influences Horizon 2020 work programmes?
During the preparation stage, the Commission consults with a number of groups and are approached
by different stakeholders with position papers and suggestions for topics or areas to cover.
European
Technology
Platforms (ETPs)
Horizon 2020
The official development process usually involves the consultation of the Expert Advisory Groups and
the Programme Committees. Before a final work programme is published, it also goes through a
process called “inter-service consultation”. This means that different policy directorates of the
European Commission will look at the work programmes and ensure they are consistent with their
policy objectives and possibly also other funding programmes they manage.
To ensure that the work programmes are in line with general EU policies and complement other
initiatives, the Commission is likely to either seek input or take on board input from a number of
initiatives, a number of which are introduced below.
Finally, input can of course come from elsewhere, including directly from groups of researchers,
interest groups and industry. In some areas small, closed workshops are set up to explore potential
future topics. Overall this process is harder to follow as it is a lot less transparent.
Version: March2016 - This factsheet reflects information available on the date issued. UKRO factsheets are produced for the benefit of
staff in UKRO sponsor and subscriber institutions only
2
Note that for the 2018-2020 Work Programmes, the Commission is consulting stakeholders directly in
many areas of Horizon 2020 – see UKRO’s page on engagement for details of these. We will also
publish articles as and when the consultations are announced.
Expert Advisory Groups: Following a Call for Expressions of Interest in early 2013, the
Commission has formed Expert Advisory Groups (EAGs) which advise them on Horizon 2020
development including the individual work programmes. There are 15 groups, usually consisting of
20-30 experts from a broad group of stakeholders, including industry, research and civil society.
The mandate for the experts is two years with a possible two year renewal and the Commission has
selected 425 experts for the first groups.
Details of some of the Advisory Groups are available on the European Commission’s register for
expert groups, to which a link is provided under ‘More information’.
The EAGs were established after the start of the drafting process for the first set of Work
Programmes and therefore only had a limited influence on these. They are however likely to have a
stronger influence on the development of the Strategic Programme for Horizon 2020 beyond 2015.
Programme Committees: The European Commission formally consults the EU Member States on
the work programmes via the Programme Committees. These are composed of nominated
representatives from all 27 EU Member States plus representatives from the Horizon 2020 Associated
Countries. There are 14 committees and the structure is as follows:
•
One horizontal configuration (which is responsible for the overall programme, cross-cutting
issues and for example Widening Participation)
•
Two configurations under Pillar 1: a joint European Research Council (ERC), Marie
Skłodowska-Curie Actions (MSCA), Future and Emerging Technologies (FET) configuration
and one for the Research Infrastructures (RIs)
•
Four configurations under Pillar 2: one on ICT, one on Key Enabling Technologies, one on
Space and one on Innovation in Small and Medium-Sized Enterprises (SMEs)/Access to risk
finance
•
One committee for each of the seven Societal Challenges
Joint Programming Initiatives (JPIs): JPIs are Member State led initiatives that combine
aspects of national research programmes. Their aim is to address major societal challenges, to
reduce fragmentation and to avoid duplication. 10 JPIs have been established to date, including the
Joint Programming Initiative on Neurodegenerative Diseases (JPND), which was the pilot JPI. Each
JPIs establishes Strategic Research Agendas and are likely to have an influence on Horizon 2020
work programme development. This could be either through JPIs recommending areas to be covered
or through the Commission aligning work programmes with JPI Strategic Research Agendas.
Links to JPI websites are provided under ‘More information’.
European Technology Platforms (ETPs): ETPs are business-led stakeholder fora which can
advise on Horizon 2020 and help with strategy setting for tackling research and innovation
bottlenecks. They also aim to mobilise industry and help disseminate information and knowledge
within the industry community.
As has been the case in FP7, ETPs are likely to be influential in shaping Horizon 2020 work
programmes. It is possible, that in some cases influence of ETPs can even mean that these are
directly referenced to in topics. However, depending on the internal organisation the extent of
influence is likely to vary greatly between the different ETPs.
It is possible – and usually advisable – to get involved in the work of relevant ETPs in areas relevant
to you if you want to start influencing Horizon 2020. Getting involved can be as simple as signing up
Version: March2016 - This factsheet reflects information available on the date issued. UKRO factsheets are produced for the benefit of
staff in UKRO sponsor and subscriber institutions only
3
for an ETP newsletter, could involve going to networking and brokerage events organised by and
ETP or could even mean getting involved in committees an ETP might have.
European Innovation Partnerships (EIPs): EIPs are Commission-led research and innovation
stakeholder initiatives on particular societal challenges. Areas currently covered by EIPs include
healthy ageing, raw materials, water, agriculture and smart cities. EIPs are not funding instruments
but in many areas, Horizon 2020 aligns with their aims and objectives and topics might sometimes
refer to specific EIPs in the Expected Impact section. In these cases, it is useful for applicants to be
aware of the relevant EIP’s Strategic Implementation Plan (SIP) and the wider initiatives carried out
under the EIP.
Key EU policies in brief
There are a number of specific EU policies which are relevant to particular parts of Horizon 2020 only
– an example would be the Strategic Energy Technology Plan (SET Plan) with which Horizon 2020
energy funding will be aligned.
Europe 2020: More broadly speaking Horizon 2020 has to respond to the overall EU goals and
objectives included in the so-called Europe 2020 Strategy, the EU’s ten-year growth strategy with the
three objectives of making Europe a smart, sustainable and inclusive economy. Horizon 2020 is seen
as a funding programme to help lift Europe out of the economic crisis and onto a path towards
sustainable growth.
The Innovation Union Flagship: Europe 2020 defines a number of flagship initiatives. The most
relevant for Horizon 2020 is the Innovation Union, which is the is the European Union strategy to
create an innovation-friendly environment that makes it easier for ideas to be turned into products
and services that will bring economic growth and jobs. Under this flagship, there are a number of
key initiatives and over 30 ‘action points’, which for example include the EIPs, but also for example,
delivering the European Research Area.
European Research Area: The European Research Area is the EU’s plan for creating a ‘single
market for research’ in Europe. In order to achieve this, six dimensions of the ERA have been
defined namely:
•
Realising a single labour market for researchers
•
Developing world-class research infrastructures
•
Sharing knowledge
•
Optimising research programmes and priorities (Joint Programming)
•
Opening to the world: International Co-operation in S&T
•
Strengthening research institutions
Priorities of the Juncker Commission: In November 2014 a new set of Commissioners took
office. This new Commission, headed up by President Jean-Claude Juncker, has defined 10 priorities
which will guide the work of the Commission over the coming years. While Europe 2020 still exists,
the emphasis has very much shifted on these priorities, and they will increasingly appear the Horizon
2020 work programmes.
There is no individual priority on research and innovation, however, several priorities are of relevance
and will impact on Horizon 2020 work programmes going forward. These include:
•
A New Boost for Jobs, Growth and Investment
•
A Connected Digital Single Market
•
A Resilient Energy Union with a Forward-Looking Climate Change Policy
Version: March2016 - This factsheet reflects information available on the date issued. UKRO factsheets are produced for the benefit of
staff in UKRO sponsor and subscriber institutions only
4
The image below shows how the different Horizon 2020 instruments map onto the Jobs, Growth and
Investment priority.
The 3 O’s: These are priorities defined by the Commissioner for Research and Innovation in June
2015, which are also reflected in the 2015/2016 Horizon 2020 Work Programme:
•
Open Innovation
•
Open Science
•
Open to the world
The policies are still only vaguely defined, but for Open Innovation the aim is to improve and create
the right innovation eco-system in Europe. For Open Science, the rationale is that openness is the
key to more excellence, and it will involve initiatives on open data and research integrity. Open to
the world is the umbrella for a number of initiatives involving international cooperation and science
diplomacy.
Version: March2016 - This factsheet reflects information available on the date issued. UKRO factsheets are produced for the benefit of
staff in UKRO sponsor and subscriber institutions only
5
More information:
•
European Register of Expert Groups (for Horizon 2020 Programme Committees (here
referred to as Expert Groups and Advisory Groups search for Horizon 2020 and
H2020): ec.europa.eu/transparency/regexpert
•
Joint Programming Initiatives: ec.europa.eu/research/era/joint-programminginitiatives_en.html
•
European Technology Platforms (current list): ec.europa.eu/research/innovationunion/index_en.cfm?pg=etp
•
European Innovation Partnerships: ec.europa.eu/research/innovationunion/index_en.cfm?pg=eip
•
Europe 2020: ec.europa.eu/europe2020/europe-2020-in-a-nutshell/flagshipinitiatives
•
Innovation Union: ec.europa.eu/research/innovation-union
•
European Research Area: ec.europa.eu/research/era
•
Commission priorities and 2015 Work Programme: ec.europa.eu/priorities
•
Sign up to the UKRO Portal to stay up to date on the Horizon 2020 general
developments, calls, events and results: ukro.ac.uk
•
For specific questions, contact your UKRO European Advisor.
Version: March2016 - This factsheet reflects information available on the date issued. UKRO factsheets are produced for the benefit of
staff in UKRO sponsor and subscriber institutions only
6