Section II

Particular attention shall be paid to ensuring the adequate participation of, and research and innovation impact on, micro, small and medium-sized enterprises (SMEs) throughout the implementation of Horizon 2020. Quantitative and qualitative assessments of SME participation shall be undertaken as part of the evaluation and monitoring arrangements. In addition to the establishment of better conditions for SMEs to participate in all relevant opportunities in Horizon 2020, specific actions shall be undertaken. In particular, a dedicated SME instrument that is targeted at all types of SMEs with an innovation potential, in a broad sense, shall be created under a single centralised management system and implemented primarily in a bottom-up manner through a continuously open call tailored to the needs of SMEs as set out under the specific objective "Innovation in SMEs" in Point 3.3.(a) of Part II of Annex I. That instrument shall take account of the specific objective "Leadership in enabling and industrial technologies" set out in Point 1 of Part II of Annex I and each of the specific objectives under the priority "Societal challenges" set out in Points 1 to 7 of Part III of Annex I and shall be implemented in a consistent manner. The integrated approach set out in paragraphs 1 and 2 and the simplification of procedures should lead to a minimum of 20 % of the total combined budget for the specific objective "Leadership in enabling and industrial technologies" and the priority "Societal challenges" going to SMEs. Particular attention shall be paid to the adequate representation of SMEs in public-private partnerships referred to in Article 25. Horizon 2020 should be implemented primarily through transnational collaborative projects, delivered through calls for proposals in the Horizon 2020 work programmes provided for in Decision 2013/743/EU. Those projects will be complemented by public-private and public-public partnerships. The partnerships will be designed with the involvement of Member States and shall develop principles for their internal management. Fast Track to Innovation (FTI) shall be implemented in the form of a full-scale pilot in accordance with Article 54 of Regulation (EU) No 1290/2013, establishing an FTI call starting in 2015. Horizon 2020 may be implemented through public-private partnerships where all the partners concerned commit to supporting the development and implementation of pre-competitive research and of innovation activities of strategic importance to the Union's competitiveness and industrial leadership or to addressing specific societal challenges. Public-private partnerships shall be implemented in such a way that full participation of the best European players is not impeded. The involvement of the Union in public-private partnerships shall make use of the pre-existing and lean governance structures and may take one of the following forms: financial contributions from the Union to joint undertakings established pursuant to Article 187 TFEU under the Seventh Framework Programme, subject to the amendment of their basic acts; to new public-private partnerships established pursuant to Article 187 TFEU; and to other funding bodies referred to in points (iv) and (vii) of point (c) of Article 58(1) of Regulation (EU, Euratom) No 966/2012. This form of partnerships shall only be implemented where the scope of the objectives pursued and the scale of the resources required justify it taking full account of the relevant impact assessments, and where other forms of partnerships would not fulfil the objectives or would not generate the necessary leverage; contractual arrangements between the partners referred to in paragraph 1, which specify the objectives of the partnership, respective commitments of the partners, key performance indicators, and outputs to be delivered, including the identification of research and innovation activities that require support from Horizon 2020. With a view to involving interested partners, including, as appropriate, end-users, universities, SMEs and research institutions, public-private partnerships shall make public funds accessible through transparent processes and mainly through competitive calls, governed by rules for participation in compliance with those of Horizon 2020. Exceptions to the use of competitive calls should be duly justified. Public-private partnerships shall be identified and implemented in an open, transparent and efficient way. Their identification shall be based on all of the following criteria: the demonstration of the added value of the action at Union level and of the choice of the instrument to be used; the scale of impact on industrial competitiveness, job creation, sustainable growth and socio-economic issues, including societal challenges, assessed against clearly specified and measurable objectives; the long-term commitment, including a balanced contribution from all partners based on a shared vision and clearly defined objectives; the scale of the resources involved and the ability to leverage additional investments in research and innovation; a clear definition of roles for each of the partners and agreed key performance indicators over the period chosen; complementarity with other parts of Horizon 2020 and alignment with the Union research and innovation strategic priorities, in particular those of the Europe 2020 strategy. Where appropriate, complementarity between priorities and activities and the involvement of Member States shall be ensured in public-private partnerships. The research priorities covered by public-private partnerships may, where appropriate, be included in regular calls in Horizon 2020 work programmes, in order to develop new synergies with research and innovation activities of strategic importance. Horizon 2020 shall contribute to the strengthening of public-public partnerships, as and when appropriate, where actions at regional, national or international level are jointly implemented within the Union. Particular attention shall be paid to Joint Programming Initiatives between Member States. Joint Programming Initiatives receiving support from Horizon 2020 shall remain open to the participation of any Member State or associated country. Public-public partnerships may be supported either within, or across, the priorities set out in Article 5(2), in particular through: an ERA-NET instrument using grants to support public-public partnerships in their preparation, establishment of networking structures, design, implementation and coordination of joint activities, as well as Union topping-up of no more than one joint call a year, and of actions of a transnational nature; Union participation in programmes undertaken by several Member States in accordance with Article 185 TFEU where the participation is justified by the scope of the objectives pursued and the scale of the resources required. For the purposes of point (a) of the first subparagraph, top-up funding shall be conditional on the demonstration of the added value of the action at Union level and on prior indicative financial commitments in cash or in kind of the participating entities to the joint calls and actions. One of the objectives of the ERA-NET instrument may, where possible, be to harmonise rules and implementation modalities of the joint calls and actions. It may also be used in order to prepare for an initiative pursuant to Article 185 TFEU. For the purposes of point (b) of the first subparagraph, such initiatives shall only be proposed in cases where there is a need for a dedicated implementation structure and where there is a high level of commitment of the participating countries to integration at scientific, management and financial levels. In addition, proposals for such initiatives shall be identified on the basis of all of the following criteria: a clear definition of the objective to be pursued and its relevance to the objectives of Horizon 2020 and broader Union policy objectives; indicative financial commitments of the participating countries, in cash or in kind, including prior commitments to align national and/or regional investments for transnational research and innovation and, where appropriate, to pool resources; the added value of the action at Union level; the critical mass, with regard to the size and the number of programmes involved, the similarity or complementarity of activities and the share of relevant research they cover; the appropriateness of Article 185 TFEU for achieving the objectives. Legal entities, as defined in point 13 of Article 2(1) of Regulation (EU) No 1290/2013, established in third countries and international organisations shall be eligible to participate in indirect actions of Horizon 2020 under the conditions set out in that Regulation. International cooperation with third countries and international organisations shall be promoted and integrated into Horizon 2020 to achieve, in particular, the following objectives: strengthening the Union's excellence and attractiveness in research and innovation as well as its economic and industrial competitiveness; effectively tackling common societal challenges; supporting the Union's external and development policy objectives, complementing external and development programmes including international commitments and their related goals, such as the achievement of the United Nations' Millennium Development Goals. Synergies with other Union policies will be sought. Targeted actions with the objective of promoting cooperation with specific third countries or groups of third countries, including strategic partners of the Union, shall be implemented on the basis of a strategic approach as well as common interest, priorities, and mutual benefit, taking into account their scientific and technological capabilities and specific needs, market opportunities, and the expected impact of such actions. Reciprocal access to third country programmes should be encouraged and, where appropriate, monitored. In order to maximise the impact of international cooperation, coordination and synergies with initiatives of Member States and associated countries shall be promoted. The nature of the cooperation may vary according to the specific partner countries. Cooperation priorities shall take into account developments in Union policies, opportunities for cooperation with third countries, and fair and equitable dealing with intellectual property rights. In addition, horizontal and cross-cutting activities to promote the strategic development of international cooperation shall be implemented under Horizon 2020. The Commission shall implement information and communication actions concerning Horizon 2020, including communication measures concerning supported projects and results. In particular, it shall provide timely and thorough information to Member States. The part of the Horizon 2020 budget allocated to communication shall also cover the corporate communication of the Union's political priorities to the extent that they are related to the general objective of this Regulation. Activities to disseminate information and carry out communication activities shall be an integral part of all actions supported by Horizon 2020. Information and communication concerning Horizon 2020, including on supported projects, shall be made available and accessible in digital form. In addition, the following specific actions shall be supported: initiatives aimed at widening awareness and facilitating access to funding under Horizon 2020, in particular for those regions or types of participants that have a relatively low participation; targeted assistance to projects and consortia to provide them with adequate access to the necessary skills to optimise the communication, exploitation and dissemination of results; actions which bring together and disseminate results from a range of projects, including those that may be funded from other sources, to provide user-friendly databases and reports that summarise key findings, and, where relevant, communication and dissemination to the scientific community, industry and the general public; dissemination to policy makers, including standardisation bodies, to promote the use of policy-relevant results by the appropriate bodies at international, Union, national and regional level; initiatives to foster dialogue and debate on scientific, technological and innovation related issues with the public through involvement of the research and innovation community and civil society organisations, and to take advantage of social media and other innovative technologies and methodologies, especially in order to help raise public awareness of the benefits of research and innovation in meeting societal challenges.

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Source: EUR-Lex (Cellar) · retrieved 2026-11-03 · Text as adopted (Official Journal); later amendments are not incorporated in this text.