EU Framework Programme 9 1. Introduction The EU Framework Programme 9 (FP9), also called Horizon Europe, will be the EU s next research and innovation programme which is planned to start in January 2021 and run until 2027 (University of Leeds, 2018). It will supersede the current programme Horizon 2020, however containing several changes based on the lessons learned from the current programme. These insights will lead to a programme which a) facilitates the participation of citizens as well as b) includes clearer and more transparent goals when addressing global challenges to maximise the impact of investments (European Union, 2018a). The programme s three main goals consist in strengthening European science and technology, fostering the continent s innovation performance and competitiveness as well as tackling global challenges to improve quality of life (European Union, 2018b; European Union, 2018c). Generally speaking, this programme is ought to create a triadic impact which is of an economic, societal and scientific nature by enabling Europe to transform its strong industries and research sector into leadership in innovation and entrepreneurship. When successfully implemented, Horizon Europe will contribute to a strengthened European R&I landscape, a higher visibility of leading research and innovation as well as stronger transnational collaborations and networks (European Union, 2018c). 2. Budget and structure The programme s total budget for research and innovation for the defined period comprises 100 billion, from which 94.1 billion are reserved for Horizon Europe, 3.5 billion for the InvestEU-Fonds to stimulate higher investments in research and innovation and 2.4 billion for Euratom to increase nuclear safety and develop safe nuclear technologies (KoWi, 2018b; European Union, 2018c). It thereby represents the biggest ever funding programme for research and innovation and likewise captures most of the future long-term EU budget until 2027 114.8 billion (European Union, 2018d). The budget for Horizon Europe is allocated differently to its four main pillars, which are: (1) Open Science, (2) Global Challenges & Industrial Competitiveness, (3) Open Innovation and (4) Strengthening the European Research Area. In comparison to the current framework, the pillars have been slightly adapted and expanded by a fourth one. (1) Open Science ( 25.8 billion): This pillar aims to foster and strengthen the EU s scientific base by supporting frontier researchers through the European Research Council ( 16.6 billion), providing fellowships, exchanges and trainings through the Marie Skłodowska-Curie Actions ( 6.8 billion) as well as investing in premium research infrastructures ( 2.4 billion) (European Union, 2018c; KoWi, 2018a). 1
(2) Global Challenges & Industrial Competitiveness ( 52.7 billion): This pillar with the highest amount of investment pursues the goal of boosting key technologies and solutions and directly affects societal challenges as well as technological and industrial capacities. It is structured into five main thematic clusters, which are health ( 7.7 billion), inclusive and secure society ( 2.8 billion), digital and industry ( 15 billion), climate, energy and mobility ( 15 billion) as well as food and natural resources ( 10 billion). These clusters will be organised by implementing EU-wide missions and partnerships within the so-called strategic planning process, the latter representing a collaborative effort by the European Commission, member states, the European Parliament and other stakeholders. This pillar equally includes activities pursued by the Joint Research Centre ( 2.2 billion) which aim to support European policies with independent scientific evidence (European Union, 2018c; KoWi, 2018a). (3) Open Innovation ( 13.5 billion): The third pillar is directed at to enhancing marketcreating innovation through the newly established European Innovation Council ( 10.5 billion), connect regional with national innovation actors through innovation ecosystems as well as creating networks of key actors in research, education and business through the European Institute of Innovation and Technology (EIT) ( 3 billion). (4) Strengthening the European Research Area ( 2.1 billion): This newly established pillar comprises measures to strengthen scientific excellence ( sharing excellence : 1.7 billion) as well as reforms to support the European research and innovation system ( 400 million), e.g. proving policy support facilities as well as offering attractive researcher careers (European Union, 2018c). Measures that have already been implemented in the current framework shall be pursued in a similar way but be complemented by integrating the intergovernmental networking programme COST (European Cooperation in Science and Technology) into the programme sharing excellence (KoWi, 2018b). Figure 1: The four pillars of Horizon Europe (source: European Union, 2018c, p. 9). 2
3. Main differences to Horizon 2020 Based on the interim evaluation of Horizon 2020, the main differences of the new innovation framework consist in - the establishment of a European Innovation Council as part of the third pillar, - the integration of missions to maximise the impact of investments and civil involvement - extended association and participation possibilities to strengthen cooperations - a mandatory open access to publications and data to reinforce openness as well as - a new approach to partnerships to rationalise the current and rather diverse landscape of European partnerships instruments and align it with the objectives of Horizon Europe (European Union, 2018c; KoWi, 2018a) Possible areas for the so-called European partnerships will be identified in the strategic planning process. In this context, three types of partnerships can be distinguished: coprogrammed (based on contractual agreements, implemented independently by the partners), co-funded (based on a joint programme agreed by the partners) and institutionalised (based on a long-term dimension, need for high integration) partnerships (European Union, 2018c). 4. Missions Based on the results of a public call for feedback in the beginning of the year 2018 (Mazzucato, 2018b), five criteria to select a mission have been identified: it should (1) be highly socially relevant, (2) have a clear direction (i.e. being targeted, measurable and timebound, (3) be ambitious while being realistic, (4) lead towards cross-disciplinary, crosssectoral and cross-actor innovations and (5) produce multiple, bottom-up solutions (Mazzucato, 2018a). Though included in the second pillar, missions will not receive a separate budget since they are supposed to be cross-disciplinary in nature and therefore applicable to more than one cluster (KoWi, 2018a). All in all, Horizon Europe shall enhance the creation of synergies between different EU programmes, such as Erasmus, Space Programme or Digital Europe, by harmonising different funding rules, establishing flexible co-funding schemes and align the strategic priorities in support of a common vision (European Union, 2018c). Simpler funding models with stable funding rates as well as a more effective exploitation of research results are supposed to lead to the desired outcomes (European Union, 2018b). 5. Timeline 3
Recently, on the 7 th of June 2018, the European Commission adopted its proposal for Horizon Europe which is currently negotiated by the Council and the European Parliament. Until its implementation on 1 st of January 2021, the strategic planning process, including the setting up of partnerships and the design of missions, will probably lead to further adaptations. List of references European Union. (2018a). Mission-oriented policy for Horizon Europe. Retrieved from Your guide to policies, information and service: https://ec.europa.eu/info/designing-nextframework-programme/mission-oriented-policy-next-research-and-innovationframework-programme_en European Union. (2018b). EU Budget for the Future Horizon Europe - EU Funding for Research and Innovation 2021-2027. Retrieved from https://ec.europa.eu/commission/sites/beta-political/files/budget-may2018-researchinnovation_en.pdf European Union. (2018c). Commission Proposal for Horizon Europe - The next EU Research and Innovation Programme (2021-2027). Retrieved from https://ec.europa.eu/info/sites/info/files/horizon-europe-presentation_2018_en.pdf European Union. (2018d). EU Budget for the Future. Retrieved from https://ec.europa.eu/commission/sites/beta-political/files/budget-proposals-researchinnovation-may2018_en.pdf KoWi. (2018a). Proposal for the next Framework Programme for Research and Innovation "Horizon Europe" published. Retrieved from News: http://www.kowi.de/en/kowi/news/proposal-horizon-europe.aspx KoWi. (2018b). Factsheet - Vorschlag der Europäischen Kommission zum 9. EU- Rahmenprogramm für Forschung und Innovation "Horizon Europe". Mazzucato, M. (2018a). Mission-Oriented Research and Innovation in the European Union - A problem-solving approach to fuel innovation-led growth. European Commission. Retrieved from https://ec.europa.eu/info/sites/info/files/mission-oriented-researchinnovation-policy-presentation_2018_en.pdf Mazzucato, M. (2018b). Mission-Oriented Research and Innovation in the European Union - A problem-solving approach to fuel innovation-led growth - Preliminary Summary of the Call for Feedback. European Commission. Retrieved from https://ec.europa.eu/info/sites/info/files/mazzucato_report_missions_feedback.pdf 4
University of Leeds. (2018). Next EU Framework Programme (FP9). Retrieved from Research and Innovation Service: http://ris.leeds.ac.uk/info/22/eu/270/next_eu_framework_programme_fp9 5