ANNEX. to the. Commission Decision. approving the Annual Work Programme 2017 of the Research Executive Agency

Transcription

1 Ref. Ares(2017) /04/2017 EUROPEAN COMMISSION Brussels, C(2017) 2139 final ANNEX 1 ANNEX to the Commission Decision approving the Annual Work Programme 2017 of the Research Executive Agency EN EN

2 Annual Work Programme 2017 Research Executive Agency 2

3 Contents List of main acronyms/abbreviations... 6 PART 1. Message from the Director... 7 PART 2. Mission Statement REA mission statement The Commission's policy objectives in the area of research and innovation for The role of the REA in support of the policy objectives PART 3. Overview of outputs for the year Implementation of Horizon 2020 Excellent Science Marie Skłodowska-Curie Actions (MSCA) and predecessor actions (DG EAC) Implementation of Horizon 2020 Excellent Science FET OPEN (DG CNECT) Implementation of Horizon 2020 Industrial leadership Space and predecessor actions (DG GROW) Implementation of Horizon 2020 Societal Challenge 2 Food security, sustainable agriculture and forestry, marine and maritime and inland water research and bioeconomy (DG RTD and DG AGRI) Implementation of Horizon 2020 Societal Challenge 6 Inclusive, Innovative and Reflective Societies (DG RTD and DG CNECT) Implementation of Horizon 2020 Societal Challenge 7 Safeguarding Secure Society and predecessor actions (DG HOME and DG CNECT) Implementation of Horizon 2020 Spreading Excellence and Widening Participation (SEWP) (DG RTD) Implementation of Horizon 2020 Science with and for Society (SwafS) (DG RTD) Management of FP 7 Legacy SME actions Administrative and logistical support services PART 4. Organisational management Relevant objectives and indicators Human Resource Management Financial Management: Internal control and Risk Management Information management External Communication Examples of specific efforts to improve economy and efficiency of financial and non-financial activities Operating budget, staff and operational appropriations Operating budget Human resources Delegated operational appropriations

4 List of main acronyms/abbreviations BES 'Border Security and External Security' call (Societal Challenge 7) CA CAS Commitment Appropriations Common Audit Service CAST Call for expression of interest for Contract Staff COFUND 'Co-funding of regional, national and international programmes' call (MSCA) COSME 'Competitiveness of Enterprises and Small and Medium-sized Enterprises' programme CRAS CSC Common Representative Audit Sample Common Support Centre DMO Document Management Officer DRS 'Disaster-resilience: safeguarding and securing society, including adapting to climate change' call (Societal Challenge 7) EDES FAIR Early Detection System Fraud and Irregularities in Research FCT 'Fight against Crime and Terrorism' call (Societal Challenge 7) FET FP7 Future and Emerging Technologies The 7 th Framework Programme for Research and Innovation ( ) GIP General Implementing Provisions GM H2020 'General Matters' call (Societal Challenge 7) Horizon 2020, the 8 th Framework Programme for Research and Innovation ( ) ICM Indirect Cost Method / Model KPIs LEAR Key Performance Indicators Legal Entity Authorised Representative LEIT Leadership in enabling and industrial technologies MCA Marie Curie Actions (FP7) MSCA Marie Skłodowska-Curie actions (H2020) MUS Monetary Unit Sampling NCPs National Contact Points OLAF PDM European Anti-Fraud Office Participant Data Management Qx/2017 1st /2nd /3rd /4th Quarter of 2017 R&I Research and Innovation R0 SEDIA Third Country Contributions Single Electronic Data Interchange Area SGA SEWP SWaFS Specific Grant Agreement Spreading Excellence and Widening Participation Science with and for Society 4

5 PART 1. Message from the Director REA supports its Parent DGs in the achievement of their strategic objectives, namely: - to reinforce the science and technology base, spurring innovation and turning societal challenges into innovation opportunities (DG RTD); - to strive for an inclusive society based on cross-border and inter-cultural cooperation in education, research, youth, culture and sport, by supporting young people, students, teachers, researchers and artists (DG EAC); - to create a Digital Single Market for more growth and jobs, (DG CNECT); - to develop a deeper and fairer internal market and help European enterprises, to be globally competitive, innovative and sustainable and to create more jobs, growth and value for all (DG GROW); - to promote the sustainable development of Europe's agriculture and to ensure the well-being of its rural areas (DG AGRI); - to build an open and safe Europe where the rights and security of both EU citizens and non-eu nationals are guaranteed (DG HOME). By managing the parts of the Research Programmes that have been delegated to it and by promoting projects in Excellent Science, Industrial Leadership and Societal Challenges, REA participates to the achievement of these objectives and contributes specifically to political priorities of the Commission, such as "A New Boost for Jobs, Growth and Investment", "A Connected Digital Single Market", "A Resilient Energy Union with a forward-looking Climate Change Policy" and, indirectly, those related to the EU in a global world 1. In comparison with previous years, 2017 will be a year of stability. Horizon 2020 processes and procedures are fairly stable. In accordance with the updated Memorandum of Understanding, REA will further work on fostering good collaboration with the parent DGs, specifically in the areas of policy-feedback loop and dissemination and exploitation of results. It will support Parent DGs in the preparation of the H2020 Work Programme , notably with feedback from the implementation side. Managing its varied portfolio of activities, REA will face a number of challenges in managing the delegated actions, providing support services to its clients and running its own administration. On the operational side, a high quality of evaluation ensures that the best proposals are funded and REA will continue to implement an evaluation process based on peer reviews that remains at the highest international level. In 2017, in coordination with the CSC, it will be working further on the business processes for expert management as well as the further development of IT tools, aiming at the best allocation of proposals to experts and improved detection of conflict of interest. REA will continue to shift its project portfolio to Horizon 2020 grants and further consolidate its project monitoring process, including the implementation of a proportional ex-ante control striking a balance between trust and control by focusing on the identification and mitigation of risks. Indeed, project monitoring is a very prominent part of the project lifecycle under Horizon 2020, with an emphasis on ensuring that scientific excellence delivers results and that these results reach European citizens and help policy makers in their policy developments for the future. REA, and the executive agencies in general, are the interface facilitating the flow of information from project results to policy development. Besides REA verifies that the projects are performed in conformity with the signed grant agreements and the applicable rules. It is responsible for ensuring that transactions are compliant with the sound financial management principle and for ensuring the legality and regularity of the underlying transactions. 1 Priorities 6, 7 and 8, see section

6 In terms of communicating and exploiting results, REA ensures that beneficiaries have chosen adequate communication measures to promote their results and ensure their proper exploitation. In this respect, the Common Support Centre (CSC) in cooperation with the executive agencies is currently investing significant effort to further promote the dissemination and exploitation activities. REA is expected to have its mandate revised to lift the current restriction on the delegation of projects generating EU Classified Information (EUCI) under H2020 Societal Challenge 7 (SC-7) as of 1 January The cost benefit analysis to support this change of mandate has been prepared by DG HOME with the active support of REA. Meanwhile, REA is working together with DG HR's Security Directorate (HR.DS) to fit REA out for the handling of classified information which is becoming an issue for other parts of H2020 (outside SC-7) delegated to REA. As a first step, REA aims at building its capacity to handle EU restricted information by April Regarding the 'Spreading excellence, widening participation' action, additional budget has been made available by the Commission in order to address the high political expectations from this action in terms of capacity building for countries which are lagging behind in terms of R&I performance through institution building/networking and learning from the experience of advanced partners. Concerning support services, the Agency will continue to explore further efficiency gains in the provision of the support services in view of the continuous growing clientele, notably for participant validation. More specifically, REA is working on a more efficient business process for Legal Entity Authorised Representatives (LEAR) validations. The update of the Rules for Administrative and Logistics Support Services and the further harmonisation of the Rules for legal and financial viability checks, both initiated in 2016, will continue with other Commission services. In addition, the new model contract for experts will be implemented in April 2017 with an impact on the work of the Agency. In the context of the Commission's initiatives for synergies and efficiencies REA will play a major role in the development and roll-out of the SEDIA (Single Electronic Data Interchange Area) project, building on REA's participant validation activities supported by the Participant Data Management (PDM) tool. SEDIA plans for the integration of several IT tools to become a standardised electronic exchange system for procurement and grant management for the Commission as a whole. Taking into account REA's experience in providing validation services for the Research family and other EU programmes, its mandate with respect to participant validation will be extended and an agreement on a governance and co-financing model will have to be found for 1 January 2018 to allow the proper transfer of participant validations for the whole of the Commission to the Agency. The project has a very tight schedule: the corporate cost-benefit analysis has to be finalised beginning 2017 in order to feed into the 2018 budget preparations so as to allow implementation by During 2017, a lot of preparatory work will need to be undertaken so as to align the business processes, prepare the IT tool and set up the necesssary organisational structures in order to be ready to take on this nw challenge as from 1 January Regarding administrative aspects, recruitment of new staff will remain a priority as REA is expected to grow further in With regards to the mobility of staff between EU Agencies, the 'inter-agencies market' has become a reality for temporary agents and a common IT platform for the publication of posts, expected to become available in 2017, may further boost this type of mobility. As soon as the new General Implementing Provisions (GIPs) on the recruitment and engagement of contract staff are adopted, a similar inter-agencies market will become effective for contract staff. This offers both real opportunities (attracting new talents) and potential threaths (losing highly competent staff). 6

7 REA occupies the Covent Garden building, together with colleagues from EASME, ERCEA and DG RTD, but the availability of office space is reaching its limits and the initial plans to free additional space are being delayed. A mid-term solution for the accommodation of new staff will have to be found in In addition, measures to improve the security of staff, experts and visitors in the building will be taken; an X-ray scanner / metal detector will be installed and experts will receive electronic badges. With regard to the results of the 2016 Staff Survey, the REA welcomes the significant rise of the majority of indicators, including the increase by 3 percentage points in the staff engagement index compared to the previous survey. REA will work to address the remaining areas of concern, while giving due consideration to previous survey's results and corrective measures related to workload rebalancing, management of staff expectations and participatory leadership. Following an internal consultation process launched in October 2016 to collectively identify priorities for corrective actions, working groups, involving staff and managers will develop actions to be implemented to address the concerns expressed by staff. This action plan will be presented to staff during the annual staff assemblies planned in March With regards to the second external evaluation of the REA ( ), the recommendations outlined in the study have been adressed in an action plan and timely implementation will be followed-up in the course of Finally, by end of March 2017, my mandate as Director of the REA will come to an end with the smooth hand-over of my duties to a new Director. The five following KPIs were chosen to reflect the most important aspects of the Agency's performance. Key Performance Indicator Indicator Target Latest known results 1 Full implementation of the operational budget Percentage of execution of the 2017 operational budget (commitments and payments) 100% 100% for the 2016 operational budget 2 Rapid conclusion of grant agreements ( Time- To-Grant ) Time-To-Grant (TTG): Time from call deadline to grant signature (% of projects signed within 8 months) 2 100% within 8 months (245 days) 99% Average of 193 days (on 31 December 2016) 3 High quality of the grant management Share of projects that achieved their objectives Number of complaints on evaluation results upheld or partially upheld (evaluation review) 90% of projects which achieved most of their objectives 3 (for FP7 only) 0.5% of proposals evaluated 96% for FP7 projects (on 31 December 2016) 0.46% for 2015 calls (on 31 December 2016) 2 3 The indicator for time-to-inform will be covered in the document but is left out of the KPI table. On closed projects (not all projects will be finished by end-2017). 7

8 Key Performance Indicator Indicator Target Latest known results H2020: Not available 4 Legality/regularity of financial transactions Error rate in financial transactions H2020: Overall target : as close as possible to 2% (within the range of 2-5%) Specific target for the MSCA subset: below 2% FP7: Representative error rate / Common Representative Audit Sample (CRAS): Space and Security: 5.03% Detected error rates: SMEs: 6.28% People: 1.72% FP7: Less than 2% of total budget (materiality threshold) Residual error rates: Space: 3.18% Security: 3.55% SMEs: 5.99% People: 1.55% Expert contracting 100% of expert contracts signed by the REA in less than 10 calendar days 4 (on 31 December 2016) 99.3% 5 (on 31 December 2016) 5 Providing efficient support services to the Research DGs and other client services Expert payment 100% of experts paid within 30 days 99.6% (on 31 December 2016) Participant validation 95% of validations performed within the 90 days from the "raise priority" date % 7 (on 31 December 2016) The indicator is measured from the moment the contract signature process is launched in COMPASS until the signature of the contract by both parties. New indicator first available results. The priority setting for validations is automatically set by the PDM system. New indicator first available results. 8

9 PART 2. Mission Statement 2.1. REA mission statement The REA assists the Commission in achieving the objectives of the Research Framework Programmes and the EU strategies to foster growth by supporting research and innovation by implementing parts of the Horizon 2020 and FP7 Framework Programmes. It delivers services to the research community by ensuring implementation of its part of the EU funding for research and innovation and by providing support services to all the Commission research services and participants in the Framework Programmes. By maintaining close contacts with beneficiaries and by providing a high visibility of the European Union, REA acts as promoter of the European Research Area and EU research and innovation policies The Commission's policy objectives in the area of research and innovation for 2017 The REA contributes, through its parent DGs, to the achievement of the first political priority of the Juncker Commission, namely 'A New Boost for Jobs, Growth and Investment'. Moreover, it supports other objectives / Political Priorities, in particular: 'A Connected Digital Single Market' (Priority 2), 'A Resilient Energy Union with a forward-looking Climate Change Policy' (Priority 3) and, indirectly, those related to EU in a global world 8. The Commission's policy objectives in the area of research and innovation for 2017 can be found in the Commission Work Programme, the legal basis of the framework programme, the H2020 work programme and in the Strategic Plans and Management Plans of the parent DGs. For each objective, the DGs have defined in their plans the impact indicators with measurement of the current situation and the (longterm) targets The role of the REA in support of the policy objectives REA was established and started operations in 2009, implementing parts of FP7 9 (the People Specific Programme, the Capacities Specific Programme Research for the benefit of SMEs, and the Cooperation Specific Programme Space and Security themes). Under Horizon 2020, the new Framework Programme for Research and Innovation for the period , more than half of the activities are delegated from the Commission to executive agencies. The Commission decided in December 2013 to extend the lifetime of the REA and to entrust it with the management of large parts of Horizon Nearly 20% of the overall H2020 budget envelope will be managed by the REA. In addition to the legacy of the FP7 and management of their successor actions in Horizon 2020, the Agency manages activities from FET open, from the agricultural research and food safety, from the innovative, inclusive and reflective societies as well as new parts of Digital Security Research. REA also manages the specific objectives Spreading Excellence and Widening Participation and Science with and for Society. 8 9 'A Reasonable and Balanced Free Trade Agreement with the U.S.' (Priority 6), 'An Area of Justice and Fundamental Rights based on Mutual Trust' (Priority 7) and 'Towards a New Policy on Migration' (Priority 8). The European Union's Research and Innovation funding programme for

10 The REA Delegation Act sets out in detail the role of the Agency in the management of H2020 for the parts it is in charge of. REA carries out these tasks in close cooperation with the Steering Committee and the parent DGs: DG Research and Innovation (RTD), DG Education, Youth, Sport and Culture (EAC), DG Communications Networks, Content and Technology (CNECT), DG Internal Market, Industry, Entrepreneurship and SMEs (GROW), DG Agriculture and Rural Development (AGRI), DG Migration and Home Affairs (HOME). As regards programme and project implementation tasks supporting the funding for research and innovation actions, REA is responsible for the management of the project life cycle: on the basis of the H2020 work programme, the agency autonomously manages the calls for proposals, the evaluation of the proposals and the launch and conclusion of grant award procedures, REA monitors the resulting projects, for Horizon 2020 and FP7, according to the applicable financial and administrative rules, making the necessary checks before paying out the grant. In addition, the Agency assists the Commission in the management of the programmes: by collecting information and data about the implementation and the results of the projects, by promoting the ex-post publicity and dissemination of results by the projects in accordance with the strategy for dissemination and exploitation of research results, by providing a focussed policy feedback whereby key project results are signalled to the Commission services to support their policy development activities, by making recommendations on the future development of the programme, in particular with respect to call implementation and grant management issues, by playing an important role in informing on funding opportunities and project results. REA is also responsible for the provision of administrative and logistical support services to participants and Commission services, Agencies, Joint Undertakings implementing H2020 and, to a lower extent, FP7, and include : the planning of the calls for proposals and contests for prizes and support for their publication, the general logistical support for the evaluations, the contracting and payment of the independent experts involved in the evaluation of all the proposals received, the validation of legal entities, the preparation of the assessment of the financial viability of these legal entities. Other (non-research) EU programmes benefit from the REA's support services (such as justice, education, competititiveness or agricultural promotion), in particular with regard to participant validation. More details of tasks that the Agency performs as service provider are described in section

11 PART 3. Overview of outputs for the year Implementation of Horizon 2020 Excellent Science Marie Skłodowska- Curie Actions (MSCA) and predecessor actions (DG EAC) The policy objectives and fields of actions of this H2020 pillar are stipulated in the H2020 Specific Programme and in the Work Programme The activities and objectives of the FP7 Marie Skłodowska-Curie Actions are set out in the Council Decision on the People Specific Programme 10 and in the related annual work programmes. The REA has been entrusted with the management of the full project cycle of the MSCA actions according to the Annexes I and II of the Delegation Act 11. It manages the actions (except for policy support actions which are not subject to open calls for proposals) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objective: General objective 1-A: Under the overarching Commission objective of a "A New Boost for Jobs, Growth and Investment", EU level intervention aims at competitiveness through education, innovation, youth, culture and sport. Specific objective: Specific objective 1.7: Excellent science Marie Skłodowska-Curie actions to ensure optimum development and dynamic use of Europe's intellectual capital of researchers in order to generate new skills and innovation and, thus, to realise its full potential across all sectors and regions. Parent DG: EAC Related to spending programmes H2020 and FP7 Main outputs in 2017: Management of H2020 Call ID Call deadline Management of the calls and contracting procedures of the WP Marie Skłodowska-Curie Actions Nb. of outputs (calls) Topics delegated to REA Indicative budget 2017 from the H2020 WP (CA, million ) Innovative Training Networks (Unit A1) MSCA-ITN (All) topics Individual Fellowships (Units A2 and A4) Research and Innovation Staff Exchange (Unit A3) MSCA-IF MSCA-RISE (All) topics n/a Council Decision 2006/973/EC of 19 December 2006 (OJ L54, , p.91). Commission Decision C(2013) 9418 of 20 December Commission Decision C(2016) 4614 of 25 July

12 COFUND (Unit A4) MSCA- COFUND (All) topics Total 4 Management of FP7 Management of FP7 grant agreements (FP7 People Programme) All FP7 calls closed 10 (All) topics n/a n/a The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: For the management of H2020, estimated numbers are provided for all actions, either linked to the calls, grants or projects. For the management of the previous framework programme (FP7), all the calls being closed, only actions linked to project management are applicable and may be filled with estimated numbers. Key actions in 2017: Description Estimated number (FP7) Estimated number (H2020) Initiatives/events for the promotion of the programme n/a 5 Calls for proposals n/a 4 Evaluation sessions n/a 4 Number of individual proposals evaluated n/a 11,450 Grant finalisation n/a 1,250 Procedures for selection by the n/a Commission (where necessary) 11 Pre-financing payments n/a 1,450 Interim payments / progress reports Final payments / final reports 1, In practice, through these actions, the REA will contribute to reach the targets set by DG EAC as regards the number of researchers, including PhD candidates, funded through the MSCA, the number of MCA/MSCA fellows in employment positions two years after the end of their fellowship 13, the percentage of women participating in the MSCA, the number of peer-reviewed publications resulting from MCA/MSCA funded projects and the percentage of non-academic sector institutions and SMEs as host organisations in actions supported by MSCA. 13 Only for individual actions. 12

13 3.2. Implementation of Horizon 2020 Excellent Science FET OPEN (DG CNECT) The policy objectives and fields of actions of FET OPEN are stipulated in the H2020 Specific Programme and in the Work Programme The REA has been entrusted with the management of the full project cycle of FET OPEN according to the Annex I of the Delegation Act 14. It manages the actions (except for policy support actions which are not subject to open calls for proposals) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objective: "A New Boost for Jobs, Growth and Investment". Parent DG: CNECT Specific objective: Specific Objective 2.2: Europe's research finds investment opportunities for potential technology breakthroughs and flagships, in particular through the Horizon 2020 programme and using Private Public Partnerships. Main outputs in 2017: Call ID Call deadline Management of H2020 Management of the calls and contracting of the WP Future and Emerging Technologies (Unit A5) FET-Open- Novel ideas for radically new technologies FETOPEN (RIA) FETOPEN (FET Innovation Launchpad ) FETOPEN (CSA) Related to spending programme H2020 Nb. of outputs (calls) Topics delegated to REA 16 Topic (2 cut-off dates) Indicative budget 2017 from the H2020 WP (CA, million ) Topic 1 (3 cut-off dates) Topic Total The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: Commission Decision C(2013) 9418 of 20 December A single call with several cut-off dates: 2 in 2017 ( and ) as indicated and 1 in 2016 ( ). A single call with several cut-off dates: 1 in 2017 ( ) as indicated and 1 in 2016 ( ). 13

14 Key actions in 2017: Description Estimated number (FP7) n/a Estimated number (H2020) Initiatives/events for the promotion of the programme 5 Calls for proposals n/a 1 Evaluation sessions n/a 4 Number of individual proposals evaluated n/a 2,000 Grant finalisation n/a 42 Procedures for selection by the n/a Commission (where necessary) 2 Pre-financing payments n/a 30 Interim payments / progress reports n/a 27 Final payments / final reports n/a 1 In practice, through these actions, the REA will contribute to reach the targets set by DG CNECT as regards the number of publications in peer-reviewed high impact journals per 10 million of EU funding (defined in the H2020 Specific Programme Regulation), the number of patent applications and patents awarded as a result of H2020 grants for Future and Emerging Technologies (FET). 14

15 3.3. Implementation of Horizon 2020 Industrial leadership Space and predecessor actions (DG GROW) The policy objectives and fields of actions of this H2020 pillar (LEIT Space Research actions managed by the REA) are stipulated in the H2020 Specific Programme and in the Work Programme The activities and objectives of the FP7 Space Research actions are set out in the Council Decision on the FP7 Cooperation Specific Programme 17 and in the related annual work programmes for the Space theme of the FP7 Cooperation Specific Programme. The REA has been entrusted with the management of the full project cycle of the Space actions according to the Annexes I and II of the Delegation Act 18. It manages the actions (except for policy support actions which are not subject to open calls for proposals or selected calls or other actions delegated to other managing bodies) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objective(s): "A New Boost for Jobs, Growth and Investment" Specific objective: Specific objective 1.2: To support research and innovation related to enterprises Main outputs in 2017: Call ID Call deadline Management of H2020 Management of the calls and contracting procedures of the WP Industrial Leadership Nb. of outputs (calls) Topics delegated to REA Parent DG: GROW Related to spending programmes H2020 and FP7 Indicative budget 2017 from the H2020 WP (CA, million ) Earth Observation EO (All) topics Competitiveness of the European Space COMPET- Sector: Technology 2017 and Science Specific (grant) agreements Space surveillance and tracking (RIA) Improving the Performance of the SST at EU Level (RIA) Q3/2017 Q4/2017 Total 2 7 (All) topics n/a n/a (All) topics Council Decision 2006/973/EC of 19 December 2006 (OJ L54, , p.91). Commission Decision C(2013) 9418 of 20 December Commission Decision C (2016) 4614 of 25 July

16 Management of FP7 Management of FP7 grant agreements (FP7 Cooperation Programme, Space theme) All FP7 calls closed n/a n/a The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: For the management of H2020, estimated numbers are provided for all actions, either linked to the calls, grants or projects. For the management of the previous framework programme (FP7), all the calls being closed, only actions linked to project management are applicable and for those estimated numbers are provided. Key actions in 2017: Description Estimated number (FP7) Estimated number (H2020) Initiatives/events for the promotion of the programme n/a n/a Calls for proposals n/a 2 20 Evaluation sessions n/a 4 Number of individual proposals evaluated n/a 230 Grant finalisation n/a 28 Procedures for selection by the Commission (where n/a necessary) 2 Pre-financing payments n/a 25 Interim payments / progress reports 4 26 Final payments / final reports In practice, through these actions, the REA will contribute to reach the targets set by DG GROW as regards the number of patent applications in the different enabling and industrial technologies for Space projects. 20 On top of EO and COMPET, there will be 2 ad-hoc calls for specific agreements 16

17 3.4. Implementation of Horizon 2020 Societal Challenge 2 Food security, sustainable agriculture and forestry, marine and maritime and inland water research and bioeconomy (DG RTD and DG AGRI) The policy objectives and fields of actions of this H2020 pillar (Societal Challenge 2 managed by the REA) are stipulated in the H2020 Specific Programme and in the Work Programme The REA has been entrusted with the management of the full project cycle of these actions according to the Annex I of the Delegation Act 21. It manages the actions (except for policy support actions which are not subject to open calls for proposals or other actions delegated to other managing bodies) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objectives: DG RTD aims to contribute to the general objective "A New Boost for Jobs, Growth and Investment". DG AGRI aims to contribute in particular to the following 4 general objectives: o "A New Boost for Jobs, Growth and Investment" (no.1), o "A Connected Digital Single Market" (no.2), o "A Resilient Energy Union with a Forward-Looking Climate Change Policy" (no.3), o "A Reasonable and Balanced Free Trade Agreement with the U.S" (no.6). H2020 Societal Challenge 2 contributes to all 3 Common Agricultural Policy (CAP) objectives that all contribute to the general objectives selected by DG AGRI; as well as to H2020 general objective "To build an economy based on knowledge and innovation across the whole Union, while contributing to sustainable development." Specific objectives: Parent DG RTD Specific objective 1.3: To ensure an effective and efficient implementation of Horizon 2020 and other RTD programmes and maximise synergies. Parent DG AGRI Specific objective: Societal Challenges to secure sufficient supplies of safe and high quality food and other bio-based products, by developing productive and resource-efficient primary production systems, fostering related ecosystem services and the recovery of biological diversity, alongside competitive and low carbon supply, processing and marketing chains. Parent DG: RTD Parent DG: AGRI Related to spending programme H Commission Decision C(2013) 9418 of 20 December

18 Main outputs in 2017: Call ID Mangement of H2020 Call deadline Nb. of outputs (calls) Topics delegated to REA Indicative budget 2017 from the H2020 WP (CA, million ) Management of the calls and contracting procedures of the WP Societal Challenge 2 SFS-2017 See below 1 27 (All, except topics 05, 18 and 43) Sustainable Food Security (Unit B2) SFS-2017 (RIA) SFS-2017 (IA) SFS-2017 (CSA) SFS-2017 (ERA-NET- Cofund) SFS-2017 (COFUND EJP) Stage 1: Stage 2: Topics 7,8,10,15,16,17,20, 21,27,28,29,30,32, 34,39,40,46, Topics 13,22,35 and Topics 4,49 and Topic Topic BG topics: Blue Growth (Unit B2) BG-2017 (IA) BG-2017 (CSA) Topics 4,7,8 and Topic Rural Renaissance (Unit B2) RUR-2017 See below 1 RUR-2017 (RIA) RUR-2017 (IA) Stage 1: Stage 2: (All) topics Topics 2,3,9,13 and Topic RUR-2017 (CSA) Topics 10,12 and Commission Decision C(2016) 4614 of 25 July

19 European Bioeconomy (Unit B2) BB-2017 See below 1 BB-2017 (RIA) BB-2017 (IA) BB-2017 (CSA) Stage 1: Stage 2: Topic 7 5 (Al) topics Topics 5 and Topics 2 and Total 4 46 topics The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: Key actions in 2017: Description Estimated number (FP7) Estimated number (H2020) Initiatives/events for the promotion of the programme n/a 2 Calls for proposals n/a 4 Evaluation sessions n/a 10 Number of individual proposals evaluated n/a 750 Grant finalisation n/a 65 Procedures for selection by the Commission (where n/a necessary) 12 Pre-financing payments n/a 65 Interim payments / progress reports n/a 50 Final payments / final reports n/a 3 In practice, through these actions, the REA will contribute to reach the targets set by DG RTD and DG AGRI as regards the number of publications in peer-reviewed high impact journals and the number of patent applications and patents awarded in the area of food security, sustainable agriculture and forestry, marine and maritime and inland water research and bioeconomy. 19

20 3.5 Implementation of Horizon 2020 Societal Challenge 6 Inclusive, Innovative and Reflective Societies (DG RTD and DG CNECT) The policy objectives and fields of actions of this part of H2020 (Societal Challenge 6 managed by the REA) are stipulated in the H2020 Specific Programme and in the Work Programme The REA has been entrusted with the management of the full project cycle of the SC-6 actions according to the Annex I of the Delegation Act 23. It manages the actions (except for policy support actions which are not subject to open calls for proposals or other actions delegated to other managing bodies) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objectives: DG RTD and DG CNECT both aim to contribute to the general objective "A New Boost for Jobs, Growth and Investment". Specific objectives: Parent DG RTD : Specific objective 1.3: To ensure an effective and efficient implementation of Horizon 2020 and other RTD programmes and maximise synergies. Parent DG CNECT: Specific Objective 2.2: Europe's research finds investment opportunities for potential technology breakthroughs and flagships, in particular through the Horizon 2020 programme and using Private Public Partnerships. Parent DG: RTD Parent DG: CNECT Related to spending programme H2020 Main outputs in 2017: Call ID Mangement of H2020 Call deadline Management of the calls and contracting procedures of the WP Societal Challenge 6 Nb. of outputs (calls) Topics delegated to REA Indicative budget 2017 from the H2020 WP (CA, million ) Co-Creation for Growth and Inclusion (Unit B3) CO-CREATION CO-CREATION (IA) CO-CREATION (RIA) topics (IA and RIA) Topics 1 and Topics 6[A], 7[A] and Commission Decision C(2013) 9418 of 20 December Commission Decision C(2016) 4614 of 25 July

21 Reversing Inequalities and Promoting Fairness (Unit B3) Engaging Together Globally (Unit B3) Promoting the European Public and Cultural Space (Unit B3) REV-INEQUAL (RIA) ENG- GLOBALLY (RIA) CULT-COOP CULT-COOP (RIA) CULT-COOP (RIA) Topic See below 1 1 st stage: nd stage: (single stage) Topics 1,2,3,5,6, 8 and topics (RIA) Topics 1,2,3,4,5,6[A],7,9 and Topic Total 4 23 topics The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: Key actions in 2017: Description Estimated number (FP7) Estimated number (H2020) Initiatives/events for the promotion of the programme n/a n/a Calls for proposals n/a 4 Evaluation sessions n/a 5 Number of individual proposals evaluated n/a 760 Grant finalisation 25 n/a 41 Procedures for selection by the Commission (where n/a necessary) 12 Pre-financing payments n/a 21 Interim payments / progress reports n/a 42 Final payments / final reports n/a 1 In practice, through these actions, the REA will contribute to reach the targets set by DG RTD as regards the number of publications in peer-reviewed high impact journals in the area of inclusive, innovative and reflective societies, as well as the targets set by DG CNECT as regards the number of prototypes and testing activities and the number of joint public-private publications in the area. 25 In 2016 REA has prepared in collaboration with DG CNECT the implementation of Open Public Review (OPR). This preparation has led to a pilot phase with projects of the 2015 call EURO-6. The pilot will start by end of March To formalise the participation of 3 projects to the pilot, an amendment to the grant agreement was necessary. REA has to take into consideration the possibility to extent the OPR to other projects and therefore to include a "special condition" in the next generation of grant agreements. 21

22 3.6. Implementation of Horizon 2020 Societal Challenge 7 Safeguarding Secure Society and predecessor actions (DG HOME and DG CNECT) The policy objectives and fields of actions of this part of H2020 (Societal Challenge 7 managed by the REA) are stipulated in the H2020 Specific Programme and in the Work Programme The activities and objectives of the FP7 Security actions are set out in the Council Decision on the FP7 Cooperation Specific Programme 26 and in the related annual work programmes for the Security theme of the FP7 Cooperation Specific Programme. The REA has been entrusted with the management of the full project cycle of these actions according to the Annexes I and II of the Delegation Act 27. It manages the actions (except for policy support actions which are not subject to open calls for proposals or other actions delegated to other managing bodies) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objectives: DG HOME aims to contribute to the general objectives "An Area of Justice and Fundamental Rights based on Mutual Trust" and "Towards a New Policy on Migration" DG CNECT aims to contribute to the general objective "A New Boost for Jobs, Growth and Investment". Specific objectives: Parent DG HOME : Specific objectives under general objective 7: o A strong EU response to tackling terrorism and preventing radicalisation; o Disrupt serious and organised cross border crime o Fighting cybercrime o Specific objective under general objective 8: o Border management: Save lives and secure EU external border Parent DG CNECT: Specific Objective 2.2: Europe's research finds investment opportunities for potential technology breakthroughs and flagships, in particular through the Horizon 2020 programme and using Private Public Partnerships. Parent DG: HOME Parent DG: CNECT Related to spending programmes H2020 and FP Council Decision 2006/973/EC of 19 December 2006 (OJ L54, , p.91). Commission Decision C(2013) 9418 of 20 December

23 Main outputs in 2017: Management of H2020 Call ID Call deadline Nb. of outputs (calls) Topics delegated to REA Indicative budget 2017 from the H2020 WP (CA, million ) Management of the calls and contracting procedures of the WP Societal Challenge 7 Critical Infrastructure Protection (Unit B4) CIP-2017 (IA) Topic SEC topics: Security (Unit B4) Digital Security Focus Areas (Unit B4) Management of FP7 SEC-DRS-2017 (PCP) SEC-DRS-2017 (RIA) SEC-FCT-2017 (RIA) SEC-FCT-2017 (PCP) SEC-FCT-2017 (IA) SEC-BES- 2017(RIA) SEC-BES-2017 (PCP) SEC-BES-2017 (IA) SEC-GM-2017 (CSA) Management of FP7 grant agreements (Cooperation Programme, Security theme) Topic Topic Topics 7,12 and Topic Topic Topics 16 and Topic Topic Topic DS topics: DS-2017 (RIA) Topics 7[A] DS-2017 (IA) Topics 7 [B] and All FP7 calls closed n/a 16 topics n/a 28 Commission Decision C(2016) 4614 of 25 July

24 The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: For the management of H2020, estimated numbers are provided for all actions, either linked to the calls, grants or projects. For the management of the previous framework programme (FP7), all the calls being closed, only actions linked to project management are applicable and for those estimated numbers are provided. Key actions in 2017: Description Estimated number (FP7) Estimated number (H2020) Initiatives/events for the promotion of the programme n/a 1 Calls for proposals n/a 3 Evaluation sessions n/a 3 Number of individual proposals evaluated n/a 350 Grant finalisation n/a 19 Procedures for selection by the Commission (where n/a necessary) 4 Pre-financing payments n/a 19 Interim payments / progress reports Final payments / final reports 39 5 In practice, through these actions, the REA will contribute to reach the targets set by DG CNECT as regards the number of prototypes and testing activities and the number of joint public-private publications in the area, as well as the targets set by DG HOME as regards the number of patent applications in the area of the Societal Challenge (secure societies) and the share of projects with activities on the road to innovation measured by the Technology Readiness Level (TRL) indicator. 24

25 3.7. Implementation of Horizon 2020 Spreading Excellence and Widening Participation (SEWP) (DG RTD) The policy objectives and fields of actions of this H2020 specific objective (SEWP actions managed by the REA) are stipulated in the H2020 Specific Programme and in the Work Programme The REA has been entrusted with the management of the full project cycle of the SEWP programme according to the Annex I of the Delegation Act 29. It manages the actions (except for policy support actions which are not subject to open calls for proposals) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objective: "A New Boost for Jobs, Growth and Investment". Parent DG: RTD Specific objective: Specific objective 1.3: To ensure an effective and efficient implementation of Horizon 2020 and other RTD programmes and maximise synergies. Related to spending programme H2020 Main outputs in 2017: Call ID Management of H2020 Call deadline Management of the calls and contracting procedures of the WP Spreading Excellence and Widening Participation (SEWP) WIDESPREAD Teaming Phase 2- Implementation (Unit B5) WIDESPREAD ERA chairs (Unit B5) WIDESPREAD Teaming Phase 1 Business plan (Unit B5) WIDESPREAD (SGA-CSA) WIDESPREAD (CSA) WIDESPREAD (CSA) Nb. of outputs (calls) Topics delegated to REA Indicative budget 2017 from the H2020 WP (CA, million ) n/a /10/ n/a n/a Commission Decision C(2013) 9418 of 20 December Commission Decision C(2016) 4614 of 25 July Top-up funding for the call of 2016; additional to the million allocated from the 2016 budget. 25

26 WIDESPREAD Twinning (Unit B5) WIDESPREAD (CSA) n/a Total 4 n/a The key actions performed by the REA in order to contribute to the achievement of these objectives have been identified. They relate to the core stages of the project cycle and are listed below: Key actions in 2017: Description Estimated number (FP7) n/a Estimated number (H2020) Initiatives/events for the promotion of the programme 2 Calls for proposals n/a 3 Evaluation sessions n/a 3 Number of individual proposals evaluated n/a 850 Grant finalisation n/a 40 Procedures for selection by the Commission n/a 10 (where necessary) Pre-financing payments n/a 40 Interim payments / progress reports n/a 80 Final payments / final reports n/a 0 In practice, through these actions, the REA will contribute to reach the targets set by DG RTD as regards the evolution of the publications in high impact journals in the given research field. 26

27 3.8. Implementation of Horizon 2020 Science with and for Society (SwafS) (DG RTD) The policy objectives and fields of actions of this H2020 specific objective (SwafS actions managed by the REA) are stipulated in the H2020 Specific Programme and in the Work Programme The REA has been entrusted with the management of the full project cycle of the SwafS actions according to the Annex I of the Delegation Act 32. It manages the actions (except for policy support actions which are not subject to open calls for proposals) based on the Commission's policy guidance stipulated in the work programmes. The REA's contribution to achieving the Commission s objectives is summarised in the following table: Relevant general objective: "A New Boost for Jobs, Growth and Investment". Specific objective: Specific objective 1.3: To ensure an effective and efficient implementation of Horizon 2020 and other RTD programmes and maximise synergies. Main outputs in 2017: Call ID Call deadline Parent DG: RTD Related to spending programme H2020 Nb. of outputs (calls) Topics delegated to REA Indicative budget 2017 from the H2020 WP (CA, million ) Management of H2020 Management of the calls and contracting procedures of the WP Science with and for Society (SwafS) (Unit B5) 1. Institutional Change to Support Responsible Research and Innovation in Research Performing and Funding Organisations SwafS-2017 Topics 3, 5 and (CSA) SwafS-2017 Topic (RIA) 2. Embedding Responsible Research and Innovation in Horizon Research & Innovation SwafS Topic (RIA) 3. Strengthening the Science with and for Society Knowledge-Base SwafS Topics 11,12,13 and (RIA) 4. Developing Inclusive, Anticipatory Governance for Research & Commission Decision C(2013) 9418 of 20 December Commission Decision C(2016) 4614 of 25 July