Excellent science remains key in Horizon Europe and is expected to be a guiding asset for FP10.
The European Commission (EC) recently published a study on excellent science, which serves as input for the interim evaluation of Horizon Europe and provides policy recommendations for the next framework programme FP10 (see SwissCore article). The study mainly assesses instruments of Pillar 1 – Excellent Science, including the European Research Council (ERC), Marie Sklodowska-Curie Actions (MSCA), Research Infrastructures (INFRA) and the European Open Science Cloud (EOSC) Partnership, as well as activities under the pillar on Widening participation and strengthening ERA (WIDERA) under Horizon Europe.
Overall, there is evidence that progress has been made towards achieving the programme’s main objective, showcased by the number of publications (42 peer-reviewed publications of a total of 241 and 1’780 publications of the JRC), of which most (85,2%) are open access. However, Open Access fees required by some journals or data repositories remain a barrier to Open Science. The next framework programme should continue to focus on Open Science, ensuring that elements for optimal deployment of Open Science practices are fully implemented, the activities of EOSC better communicated, training on open science principles and skills installed, and joint actions to establish a common vision by Member States and national funding organisations foreseen.
Although the study indicates that projects are efficiently selected and distributed according to the specific goals of each programme part, time-to-grant has increased under Horizon Europe and ineligible proposal rates were 3.5% higher than under Horizon 2020. However, oversubscription has been slightly reduced with an overall success rate of 16%. Lump sums, which had been introduced under Horizon 2020 as a grant simplification, have still not reached their full potential under Horizon Europe. For FP10, lump sums that have a cost-saving potential should be further implemented and monitored. Support by NCPs during grant-writing should also be expanded, as this has been shown to lead to higher success rates, especially under Pillar 1.
The report highlights that Horizon Europe offers a diverse mix of complementary actions which contribute to its strategic objectives, while ensuring complementarities and synergies between the different actions and ensuring continuity with activities from earlier framework programmes. It is also emphasised that Horizon Europe significantly complements national and regional funding schemes, especially via collaborative actions including several organisations from different countries and projects of a larger scale and scope, and more complex research, therefore illustrating an EU added value. Complementarity is further ensured with 13 other EU funding programmes (e.g. Erasmus+, the Digital Europe Programme, the LIFE Programme and Cohesion Policy funds). The authors propose that FP10 should ensure continuity of the ERC and EIC as well as explore new pathways to enhance synergies between different programme parts.
The authors highlight interdisciplinarity, as well as topics addressed and SDGs covered as contributing to excellent science and a new ERA based on excellence, especially when it comes in addressing global challenges and industrial competitiveness. Additionally, integrating Social Sciences, Arts and Humanities (SSAH) is key for societal and cultural acceptance of research and innovation, but should be further improved under FP10. Finally, a mix of top-down and bottom-up approaches is seen as relevant to achieve excellent science. It is recommended to continue to balance top-down research with blue-sky opportunities to remain competitive. For top-down approaches, flexibility and stakeholder consultations are essential to define relevant topics. Furthermore, a cap in collaborative bottom-up opportunities has been identified, which needs to be strengthened in the next framework programme, for instance, within Pillar 2, by expanding the number of ERC Synergy Grants. To enhance interdisciplinarity and SSAH, multidisciplinary evaluation panels for the ERC are proposed.
The programme has further contributed to capacity building through the support of 130’000 researchers, of whom almost 40% are involved in upskilling activities. Furthermore, in alignment with the international cooperation strategy, the objective of fostering new and existing collaborations has been reached, with a significant share of participation by Associated and Third Countries and an increased involvement of newcomers and non-traditional actors. For the upcoming FP10, the report indicates that support for capacity building in less advanced R&I systems is needed, for instance, by tapping into other EU funding programmes (e.g. ERDF or RRF), as well as through the creation and diffusion of excellent knowledge in the EU, such as through the EU Competence Framework for Researchers. It is further recommended that international cooperation and mobility opportunities remain a central added value for the programme, thus, international mobility of researchers should be continued besides cross-border collaboration activities focusing on the diversity of consortiums.
Focusing on participation, it is shown that the objective of fostering new and existing collaborations aligned with the international cooperation strategy is reached, with a good share of participation coming from Associated and Third Countries and the involvement of more newcomers and non-traditional actors. In this context, it is also essential to highlight that the study included two assessments on the participation of the UK and Switzerland in the first years of Horizon Europe, in their conditions of a third country: In the case of Switzerland, the portfolio of the Swiss National Science Foundation (SNSF) was analysed, shedding light on aspects that might be relevant for the design of the next framework programme, including the balance between bottom-up and top-down approaches, examples of successful Swiss initiatives to support gender equality (e.g. PRIMA), and instruments to promote research that aligns with political or societal priorities (e.g. NCCRs). It also discusses the consequences of Switzerland’s non-association to Horizon Europe (e.g. reduced participation, fewer research outputs and international collaborations compared to Horizon 20202, as well as increased difficulties in attracting and retaining top international scientists).