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ANNEX

Annual Work Programme 2018

Research Executive Agency

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Contents

List of main acronyms/abbreviations....................................................2PART 1.Message from the Director......................................................3PART 2.Mission Statement..................................................................6

2.1. REA mission statement............................................................................62.2. The Commission's policy objectives in the area of research and

innovation for 2017..................................................................................72.3. The role of the REA in support of the policy objectives............................7

PART 3.Overview of outputs for the year 2017...................................103.1. Implementation of Horizon 2020 – Excellent Science – Marie Skłodowska-

Curie Actions (MSCA) and predecessor actions (DG EAC)......................103.2. Implementation of Horizon 2020 – Excellent Science – FET OPEN

(DG CNECT)............................................................................................123.3. Implementation of Horizon 2020 – Industrial leadership – Space and

predecessor actions (DG GROW)............................................................143.4. 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).......................16

3.5 Implementation of Horizon 2020 – Societal Challenge 6 – Inclusive, Innovative and Reflective Societies (DG RTD and DG CNECT)...............19

3.6. Implementation of Horizon 2020 – Societal Challenge 7 – Safeguarding Secure Society and predecessor actions (DG HOME and DG CNECT).....21

3.7. Implementation of Horizon 2020 – Spreading Excellence and Widening Participation (SEWP) (DG RTD)...............................................................24

3.8. Implementation of Horizon 2020 – Science with and for Society (SwafS) (DG RTD)................................................................................................26

3.9. Management of FP 7 Legacy – SME actions............................................283.10. Administrative and logistical support services.......................................29

PART 4.Organisational management..................................................334.1 Relevant objectives and indicators........................................................33

4.1.1. Human Resource Management..........................................................334.1.2. Financial Management: Internal control and Risk Management.........364.1.3. Information management..................................................................414.1.4. External Communication....................................................................434.1.5. Examples of specific efforts to improve economy and efficiency

of financial and non-financial activities..............................................454.2 Operating budget, staff and operational appropriations........................47

4.2.1. Operating budget...............................................................................474.2.2. Human resources...............................................................................504.2.3. Delegated operational appropriations................................................52

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List of main acronyms/abbreviations

BA Bank AccountCA Commitment AppropriationsCAS Common Audit ServiceCOSME Competitiveness of Enterprises and Small and Medium-sized Enterprises

programmeCPS Call Passport SystemCRaS Common Representative Audit SampleCSA Coordination and Support ActionsCSC Common Support CentreDMO Document Management OfficerEDCC Europe Direct Contact CenterEDES Early Detection and Exclusion SystemEIC European Innovation CouncilEUCI EU Classified InformationFAIR Fraud and Irregularities in ResearchFET Future and Emerging TechnologiesFPDNet Fraud Prevention and Detection NetworkFP7 The 7th Framework Programme for Research and Innovation (2007-2013)FP9 The 9th Framework Programme for Research and Innovation (2021-2028)FSIGN Financial SignatoriesGIP General Implementing ProvisionsHAN Hermes-Ares-NomcomH2020 Horizon 2020, the Framework Programme for Research and Innovation (2014-

2020)IA Innovation ActionsICM Indirect Cost Method / ModelIP Implementing ProvisionsIRIS Individual Rights Information SystemKPIs Key Performance IndicatorsLE Legal EntityLEAR Legal Entity Authorised RepresentativeLEIT Leadership in enabling and industrial technologiesLSIGN Legal SignatoriesMCA Marie Curie Actions (FP7)MSCA Marie Skłodowska-Curie Actions (Horizon 2020)NCPs National Contact PointsOLAF European Anti-Fraud OfficePA Payment AppropriationsPDM Participant Data ManagementRES Research Enquiry ServiceRFCS Research Fund for Coal and Steel programmeRIA Research and Innovation ActionsR&I Research and InnovationR0 Third Country ContributionsSEDIA Single Electronic Data Interchange AreaSEWP Spreading Excellence and Widening ParticipationSwafS Science with and for SocietyUTRO Universal Transfert of Rights and Obligations

PART 1. Message from the Director

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Autonomous since 2009, REA has seen its mandate extended several times, the last revision entering into force on 1 January 2018. This revision will lift the current restriction on the delegation of projects generating EU Classified Information (EUCI) and will extend REA's mandate for offering participant validation services beyond H2020 to include all direct management operations of the Commission services and other EU bodies.2018 will also be a year where the current research framework programme enters into its last programming period and the next programme will be prepared by the Commission. While continuing to focus on an excellent performance in the H2020 programme implementation and on the fine-tuning of a stable business environment, REA will feed all its experience as much as possible into the design process of the next programme.

Highlights for the yearThe major qualitative change for 2018 consists in implementing REA's updated mandate allowing it (i) to manage projects generating EUCI for Societal Challenge 7 and (ii) to offer participant validation services to all direct management operations of the Commission services and other EU bodies (grants and procurements).The latter is part of the Commission's initiatives for synergies and efficiencies, where REA plays a major role in the development and roll-out of the SEDIA (Single Electronic Data Interchange Area), building on REA's experience in providing participant validation activities for H2020. 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.This project will have a significant impact on REA in terms of workload and is crucial for REA's reputation as a coporate service provider. Therefore REA invested significant efforts in preparing for this implementation by further optimising the process. The extended participant validation activity will progressively grow throughout 2018, rather than kicking-in at full strength as of the 1st of January.During the 2018-2020 programming period, REA will continue to further develop its activities for Horizon 2020 programme implementation, notably by focussing on the following two issues:Implementing the ex-ante control strategy agreed among the Research and Innovation Family. Horizon 2020 has now reached cruising speed: all the stages of the grant management cycle are being implemented, from the selection of proposals to the ex-post audits and closure of projects. The number of cost-claims to be handled in 2018 is expected to increase significantly compared to previous years. Ex-ante controls on payments will be given particular attention. The first ex-post control results, expected at the end of 2017, will allow to assess the effectiveness of the overall control strategy and, where appropriate, fine-tuning of the ex-ante controls will be considered, in coordination with the other members of the R&I family.Consolidating REA's practices in providing policy feedback loop to the parent DGs. Feeding back project results to the parent DGs to support their policy work is essential for a successful use by the Commission of the new management modes. In 2017, a working group of project officers at REA analysed the current practices and delivered recommendations for the roll-out of the good practices across all programmes managed by REA. These feedback loop mechanisms may need to be tailored to the specific needs of the various EC policy services and the availability of a catalogue of options will allow to arrive at agreements with REA's counterparts on the tools/options that are sustainable in terms of workload for REA while offering maximum value to the EC services. This will allow a more systematic and clearer contribution to the Commission's policy developments, by capitalising on the programmes' and projects’ outputs and results.In 2018, the Commission has to prepare the next Multiannual Financial Framework and the linked "FP9" proposal. REA will contribute to the preparatory work by giving input to the Commission, in particular in relation to the design of programme implementation modalities and the use of the new management modes.

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Finally, the Commission's external evaluation of REA's operations, covering the period mid-2015 to mid-2018 will be launched in 2018. As for the previous editions, REA will contribute by providing relevant data and supporting the analysis.

A strong organisation in support to the operationsThe growth of REA's activities in scope and volume, requires a sound and forward looking management of its resources.The recruitment of new staff will remain a priority in 2018. After an important preparatory work in 2017, the selection procedure of temporary agents for programme management will be launched during the first quarter of 2018 to make a reserve list of some 60 persons available by the end of the year. This process will be run with the support of EPSO.The action plan following the 2016 Staff Survey will be further implemented in 2018. Developing career opportunities for the staff through learning and development as well as mobility policies, improving internal communication further, promoting a participatory management style with due recognition of performances and increasing the focus on staff well-being. These actions are further detailed in Part 4 of this Work Programme.Following the Communication on a revised Internal Control Framework for the Commission, adopted in 2017, REA will adjust its Internal Control Framework as of 1 January 2018. This change will be accompanied by various communication measures, awareness raising actions and the development of relevant monitoring tools.

Co-operation with other servicesLike in previous years, both for operational and administrative matters, REA will be sharing its experience or concerns with the other members of the Research and Innovation Family.This leads to a better understanding of the common issues and to more efficient solutions, be it regarding H2020 business processes, internal control or the inter-agency job market.Becoming a service provider for all the Commission services for the validation of third parties adds an additional dimension to REA's interaction and cooperation with other services.

Key Performance IndicatorsThe following five KPIs were chosen to reflect the most important aspects of the Agency's performance. They have not changed between 2017 and 2018.

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Key Performance Indicator Indicator Target Latest known results

(31 December 2017)

KPI 1 – Full implementation of the operational budget

Percentage of execution of the 2018 operational budget (commitments and payments)

100%(at year end)

100% for the 2017 operational budget

KPI 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 – 245 days)

100% 100%1

Average of 193 days

KPI 3 – High quality of the key procedures for scientific and grant management

Share of projects that achieved most of their objectives

90%296% for

FP7 projectsn/a for H2020

Number of complaints on evaluation results upheld or partially upheld (evaluation review)

0.50% of proposals evaluated

0.39% for 2016 calls

KPI 4 – Legality/regularity of financial transactions

Residual 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: below 2%

FP7:Less than 2% of total budget (materiality threshold)

H2020: Estimated representative error rate

2.82%Estimated residual error rate

2.24%FP7:Representative error rate / Common Representative Audit Sample (CRAS): Space: 4.95% Security: 4.95%

Detected error rates: SMEs: 6.12% People: 1.73%

Residual error rates: CRAS- Space: 3.19% CRAS- Security: 3.54% SMEs: 5.79% People: 1.55%

KPI 5 – Providing efficient support services to the Research DGs and other client services

Participant validation(for all direct management operations at the EC)

95% of validations performed within

90 days from "raise priority"

date3

95.1%

Expert contracting 100% of contracts signed by the REA

in less than 10 calendar days4

98.7%

1 Source: Webcorda, 03/01/2018.2 On closed projects (not all projects will be finished by end-2018).3 The priority setting for validations is automatically set by the PDM system.4 The indicator is measured from the moment the contract signature process is launched in COMPASS until

the signature of the contract by both parties.6

Key Performance Indicator Indicator Target Latest known results

(31 December 2017)

Expert payment 100% of experts paid within 30 days 99.1%

PART 2. Mission Statement

This section outlines briefly the Agency's mission statement and competences in relation to its parent DGs.

2.1. REA mission statementREA, mandated by the European Commission to support the EU Research and Innovation policy, funds high-quality research and innovation projects that generate knowledge for the benefit of society.To pursue this mission, it will undertake the following activities:

Preparing and publishing calls for proposals, evaluating proposals, prepare grant agreements for retained proposals and managing the stages in the lifetime of projects in the frame of the Horizon 2020 Specific Programme. In this connection, it shall be responsible for monitoring the projects, making the necessary checks and recovery procedures, and for performing budget implementation tasks covering revenue and expenditure;

Managing the stages in the lifetime of projects in the frame of the Seventh Framework Programme (2007-2013). In this connection, it shall be responsible for monitoring the projects, making the necessary checks and recovery procedures, and for performing budget implementation tasks covering revenue and expenditure;

Providing administrative and logistical support services to EU bodies implementing H2020 and selected other programmes such as:

Planning for calls for proposals and contests; Support for publication of calls and contests for prizes; General logistical support for the evaluations including the management

of the evaluation facility; Contracting and payment of independent experts; Supervising the Research Enquiry Service which answers questions from

applicants, participants and the broader public on EU research and innovation funding;

within the SEDIA framework, to participants to grants and procurement activities for all Union programmes and for the benefit of EU bodies implementing such programmes: Validation of legal entities; Preparation of legal entities' financial capacity assessment.

2.2. The Commission's general objectives in the area of research and innovation for 2018REA contributes to the achievement of the first political priority of the Juncker Commission, namely 'A New Boost for Jobs, Growth and Investment'. Moreover, it supports three other objectives / political priorities: 'A Connected Digital Single Market' (Priority 2), 'A Resilient Energy Union with a forward-looking Climate Change Policy' (Priority 3) and 'An Area of Justice and Fundamental Rights based on Mutual Trust' (Priority 7).

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The Commission's objectives in the area of research and innovation for 2018 can be found in the Commission Work Programme, the legal basis of the framework programme, the Horizon 2020 Work Programme 2018-2020 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 (long-term) targets.

2.3. The role of REA in support of the Commission’s general objectivesREA was established and started operations in 2009, implementing parts of FP7 (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 2014-2020, 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 REA and to entrust it with the management of large parts of Horizon 20205. Nearly 20% of the overall H2020 budget envelope are managed by 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’.The REA Delegation Act6 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).

Figure 1: REA and its parent DGs

5 Commission Implementing Decision 2013/778/EU of 13 December 2013.6 Commission Decision C(2013) 9418 of 20 December 2013.

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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 providing a focussed policy feedback whereby key project results are signalled

to the Commission services to support their policy development activities, 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 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.

As to the policy feedback to parent DGs, various mechanisms are in place which include a wide range of measures that facilitate the interaction between REA operational units and their Commission counterparts. It serves the Commission's policy-making and programming activities. It mainly comprises feedback to the parent DGs on project results and their impact on the achievements of programme objectives. The aim for 2018 is to consolidate REA’s practices to provide policy feedback by further tailoring them to the specific needs of the various EC policy services. This will allow a more systematic contribution to the Commission's policy developments, by capitalising on the programmes' and projects’ outputs and results.REA is also responsible for the provision of administrative and logistical support services. The mandate of REA regarding participant validation has been extended beyond H2020 participants and as of January 2018 the legal validation and the preparation of financial capacity assessments of third parties participating in procurement and grant procedures in EC direct management (all part of SEDIA) is centralised in REA. In addition, the Agency provides other support services to the Commission services, Agencies and Joint Undertakings implementing H2020 and, to a lower extent, FP7. These services 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 validation of legal entities for independent experts evaluators and reviewers, the contracting and payment of the independent experts involved in the

evaluation of all the proposals received.More details of tasks that the Agency performs as service provider are described in section 3.10.

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PART 3. Overview of outputs for the year 2018

3.1. Implementation of Horizon 2020 – Excellent Science – Marie Skłodowska-Curie Actions (MSCA) and predecessor actions (DG EAC)The policy objectives and fields of actions of the MSCA are stipulated in the H2020 Specific Programme and in the Work Programme 2018-20207. The activities and objectives of the FP7 Marie Curie Actions (MCA) are set out in the Council Decision on the People Specific Programme8 and in the related annual work programmes.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 Act9. 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. 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" (no.1), EU level intervention aims at competitiveness through education, innovation, youth, culture and sport.

Parent DG: EAC

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.

Related to spending programmes H2020 and FP7

Main outputs in 2018:

Call ID Call deadline

No. of outputs (calls)

Topics delegated to REA

Indicative budget 2018 from the H2020WP 2018-20 (CA, million €)

Management of H2020Management of the calls and contracting procedures of the WP 2018-202010 – Marie Skłodowska-Curie Actions

Innovative Training Networks (Unit A1)

MSCA-ITN-2018 17.01.2018 1 3 (All)

topics 442.00

Individual Fellowships (Units A2 and A4)

MSCA-IF-2018 12.09.2018 1 5 (All)

topics 273.00

Research and Innovation Staff Exchange (Unit A3)

MSCA-RISE-2018 21.03.2018 1 1 (all

topics) 80.00

Cofunding of regional, national and international programmes (Unit A4)

MSCA-COFUND-

201827.09.2018 1 2 (All)

topics 80.00

European Researchers' Night (Unit A4)

MSCA-NIGHT-2018 14.02.2018 1 1 (all

topics) 12.00

7 Commission Decision C(2017) 7124 of 27 October 2017.8 Council Decision 2006/973/EC of 19 December 2006, OJ L54, 22.2.2007, p.91.9 Commission Decision C(2013) 9418 of 20 December 2013.10 Commission Decision C(2017) 7124 of 27 October 2017.

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Total 5 12 (All) topics 887.00

Management of FP7Management of FP7 grant agreements (FP7 People Programme)

All FP7 calls closed

n/a n/a

The key actions performed by 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. 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 2018:Description Estimated

number (FP7)Estimated number

(H2020)Initiatives/events for the promotion of the programme(under full responsibility of REA)

n/a 4

Calls for proposals n/a 5Evaluation sessions n/a 6Number of individual proposals evaluated n/a 14,800Grant finalisation n/a 1,660Procedures for selection by the Commission (where necessary)

n/a 15

Pre-financing payments 0 1,550Interim payments / progress reports 34 365Final payments / final reports 771 970

In practice, through these actions, 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 fellowship11, 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.

11 Only for individual actions.11

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 2018-202012. REA has been entrusted with the management of the full project cycle of FET Open according to the Annex I of the Delegation Act13. It manages the actions (except for policy support actions) based on the Commission's policy guidance stipulated in the work programmes. 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" (no.1)

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.

Related to spending programme H2020


Call ID Call deadlineNo. of outputs (calls)



Management of H2020Management of the calls and contracting of the WP 2018-202014 - Future and Emerging Technologies (Unit A5)

FET-Open- Novel ideas for radically new technologies (Unit A5)

FETOPEN-2018-2019-2020 (RIA)

16.05.2018(4 cut-off dates)15

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Topic 1 123.70

FETOPEN-2018-2019-2020 (FET Innovation Launchpad )

16.10.2018(3 cut-off dates)16

Topic 3 2.50

Total 1 2 126.20


Key actions in 2018:

12 Commission Decision C(2017) 7124 of 27 October 2017.13 Commission Decision C(2013) 9418 of 20 December 2013.14 Commission Decision C(2017) 7124 of 27 October 2017.15 A single call with several cut-off dates: 1 in 2018 (16.05.2018) as indicated, 2 in 2019 (24.01.2019 and

18.09.2019) and 1 in 2020 (13.05.2020).16 A single call with several cut-off dates: 1 in 2018 (16.10.2018) as indicated, 1 in 2019 (08.10.2019) and 1 in

2020 (14.10.2020).

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Description Estimated number (FP7)

Estimated number (H2020)

Initiatives/events for the promotion of the programme(under full responsibility of the REA)

n/a 3

Calls for proposals n/a 1Evaluation sessions n/a 4Number of individual proposals evaluated

n/a 1,200

Grant finalisation n/a 83Procedures for selection by the Commission (where necessary)

n/a 6

Pre-financing payments n/a 62Interim payments / progress reports n/a 23Final payments / final reports n/a 16In practice, through these actions, REA will contribute to reach the targets set by DG CNECT as regards the number of publications in peer-reviewed high impact journals per EUR 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).

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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 REA) are stipulated in the H2020 Specific Programme and in the Work Programme 2018-202017. The activities and objectives of the FP7 Space Research actions are set out in the Council Decision on the FP7 Cooperation Specific Programme18 and in the related annual work programmes for the Space theme of the FP7 Cooperation Specific Programme. 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 Act19. It manages the actions (except for policy support actions or selected calls or other actions delegated to other managing bodies) based on the Commission's policy guidance stipulated in the work programmes. 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" (no.1)

Parent DG: GROW

Specific objective:Specific objective 1.2: To support research and innovation related to enterprises




Topics delegated

to REA


Management of H2020Management of the calls and contracting procedures of the WP 2018-202020 – Industrial Leadership (Unit B1)

SPACE

SPACE-2018(RIA) 06.03.2018 Topics 3, 10, 11, 12,

14, 15, 16, 20 83.00

SPACE-2018 (IA) 06.03. 2018 Topic 1 9.00

SPACE-2018 (CSA) 06.03. 2018 Topics 2, 7, 8 12.00

Specific (grant) agreements- Space surveillance and

tracking (SST2)- Improving the performances

of the SST at European level (SST3)

Q4 2018 n/a 1.8

Q4 2018 n/a 15.0

Total 1 12 (All) topics 120.80

Management of FP7

17 Commission Decision C(2017) 7124 of 27 October 2017.18 Council Decision 2006/973/EC of 19 December 2006, OJ L54, 22.2.2007, p.91.19 Commission Decision C(2013) 9418 of 20 December 2013.20 Commission Decision C(2017) 7124 of 27 October 2017.

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Management of FP7 grant agreements (FP7 Cooperation Programme, Space theme)

All FP7 callsclose

d

n/a n/a





number (FP7)Estimated

number (H2020)Initiatives/events for the promotion of the programme (under full responsibility of REA) n/a 4Calls for proposals n/a 1Evaluation sessions n/a 1Number of individual proposals evaluated n/a 280Grant finalisation n/a 36Procedures for selection by the Commission (where necessary)

n/a 2Pre-financing payments n/a 20Interim payments / progress reports n/a 26Final payments / final reports 14 33

In practice, through these actions, 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.

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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 are stipulated in the H2020 Specific Programme and in the Work Programme 2018-202021.REA has been entrusted with the management of the full project cycle of the Societal Challenge 2 (SC2) actions according to the Annex I of the Delegation Act22. 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. 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" (no.1).

DG AGRI aims to contribute in particular to the following 3 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)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."

Parent DG: RTD

Parent DG: AGRI

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: To ensure an effective and efficient implementation of Horizon 2020, in particular with regard to Societal Challenge 2, which aims at securing 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.


21 Commission Decision C(2017) 7124 of 27 October 2017.22 Commission Decision C(2013) 9418 of 20 December 2013.

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Mangement of H2020Management of the calls and contracting procedures of the WP 2018-202023 – Societal Challenge 2

Sustainable Food Security (Unit B2)

SFS-2018 See below 1 19 (All) topics 218.75

SFS-2018 (RIA)

Stage 1: 13.02.2018

Stage 2: 11.09.2018

Topics 1, 5, 6, 7, 8, 11, 16, 19, 27, 29, 30, 38 115.00

SFS-2018 (IA) 13.02.2018 Topics 3, 14, 25 90.00

SFS-2018 (CSA) 13.02.2018 Topics 15, 28, 32, 33 13.75

Blue Growth (Unit B2)

BG-2018 See below 1 5 topics 77.50BG-2018 (RIA)

Stage 1: 13.02.2018Stage 2:

11.09.2018

Topics 3, 8 45.00

BG-2018 (IA)

13.02.2018 Topic 4 18.00

BG-2018 (CSA)

13.02.2018 Topics 1, 8 6.50

BG-2018 (ERA-NET-Cofund)

13.02.2018 Topic 2 8.00

Rural Renaissance (Unit B2)

RUR-2018 See below 1 10 (All) topics 107.43

RUR-2018 (RIA)

Stage 1: 13.02.2018

Stage 2: 11.09.2018

Topics 1, 2, 3, 4, 8 50.00

RUR-2018 (IA) 13.02.2018 Topics 12, 14 30.00

RUR-2018 (CSA) 13.02.2018 Topics 1, 9, 13, 15 27.43

Total 3 34 topics 403.68

The key actions performed by 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

23 Commission Decision C(2017) 7124 of 27 October 2017.17

are listed below:Key actions in 2018:Description Estimated


number (H2020)Initiatives/events for the promotion of the programme (under full responsibility of REA) n/a 2Calls for proposals n/a 3Evaluation sessions n/a 9Number of individual proposals evaluated n/a 750Grant finalisation n/a 82Procedures for selection by the Commission (where necessary)

n/a 12Pre-financing payments n/a 82Interim payments / progress reports n/a 66Final payments / final reports n/a 30

In practice, through these actions, 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 in the area of food security.

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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 are stipulated in the H2020 Specific Programme and in the Work Programme 2018-202024. REA has been entrusted with the management of the full project cycle of the Societal Challenge 6 (SC6) actions according to the Annex I of the Delegation Act25. It manages the actions (except for policy support actions or other actions delegated to other managing bodies) based on the Commission's policy guidance stipulated in the work programmes. 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" (no.1).26

Parent DG: RTD

Parent DG: CNECT

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.






Mangement of H2020Management of the calls and contracting procedures of the WP 2018-202027 – Societal Challenge 6

Migration(Unit B3)

MIGRATION-2018 13.03.2018 1 4 topics 36.00

MIGRATION-2018 (RIA) 13.03.2018 Topics 2, 5, 8 24.00

MIGRATION-2018 (IA) 13.03.2018 Topic 6 12.00

Transformations (Unit B3)

TRANSFORMATIONS-2018 13.03.2018 1 6 topics 45.50

TRANSFORMATIONS-2018 (RIA)

13.03.2018 Topics 1, 2, 6, 14

34.50

24 Commission Decision C (2017) 7124 of 27 October 2017.25 Commission Decision C(2013) 9418 of 20 December 2013.26 Through its migration related SC6-projects, REA also indirectly contributes to achieving the Commission

general objective no.8: “Towards a new Policy on Migration”.27 Commission Decision C(2017) 7124 of 27 October 2017.

19

TRANSFORMATIONS-2018

(IA)13.03.2018 Topic 12 10.00

TRANSFORMATIONS-2018 (CSA) 13.03.2018 Topic 5 1.00

Governance (Unit B3)

GOVERNANCE-2018 13.03.2018 1 4 topics 33.00

GOVERNANCE-2018 (RIA) 13.03.2018 Topics 2, 3, 6 24.00GOVERNANCE-2018 (CSA) 13.03.2018 Topics 8 9.00





number (H2020)Initiatives/events for the promotion of the programme (under full responsibility of REA) n/a n/aCalls for proposals n/a 3Evaluation sessions n/a 3Number of individual proposals evaluated n/a 600Grant finalisation n/a 38Procedures for selection by the Commission (where necessary)

n/a 5Pre-financing payments n/a 32Interim payments / progress reports n/a 32Final payments / final reports n/a 25

In practice, through these actions, 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.

20

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 Societal Challenge 7 (SC7) are stipulated in the H2020 Specific Programme and in the Work Programme 2018-202028. The activities and objectives of the FP7 Security actions are set out in the Council Decision on the FP7 Cooperation Specific Programme29 and in the related annual work programmes for the Security theme of the FP7 Cooperation Specific Programme. 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 Act30. 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. 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 objective "An Area of Justice and Fundamental Rights based on Mutual Trust" (no.7).

DG CNECT aims to contribute to the general objective "A New Boost for Jobs, Growth and Investment" (no.1).

Parent DG: HOME

Parent DG: CNECT

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

crimeo Fighting cybercrime

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.


28 Commission Decision C (2017) 7124 of 27 October 2017.29 Council Decision 2006/973/EC of 19 December 2006 (OJ L54, 22.2.2007, p.91).30 Commission Decision C(2013) 9418 of 20 December 2013.

21




Indicative budget

2018 from the H2020WP 2018-

20 (CA,

million €)Management of H2020Management of the calls and contracting procedures of the WP 2018-202031 – Societal Challenge 7Protecting the infrastructure of Europe and the people in the European smart cities (Unit B4)

SU-INFRA-2018 (IA) 23.08.2018 1 Topic 1 24.00

Security (Unit B4)

SU-SEC-2018 23.08.2018 1 All 12

topics 138.2

SU-BES-2018 (RIA)

23.08.2018

Topics 1, 2 31.00SU-BES-2018 (IA) Topic 3 10.00SU-DRS- 2018 (RIA) Topics 1, 2 33.00SU-DRS-2018 (IA) Topic 3 6.00SU-FCT-2018 (RIA) Topics 1, 2 31.00SU-FCT-2018 (IA) Topic 3 8.00SU-GM-2018 (CSA) Topic 1, 2 11.00SU-GM-2018 (PCP) Topic 3 8.20

Digital Sucurity Focus Ares (Unit B4)

SU-DS-2018 23.08.2018 1 3

topics 44.50SU-DS-2018 (IA)

23.08.2018 Topics 1, 4, 5 44.50

3 16 topics 206.70

Management of FP7Management of FP7 grant agreements (Cooperation Programme, Security theme) (Unit B4)

All FP7 calls closed n/a n/a

31 Commission Decision C(2017) 7124 of 27 October 2017.22






number (H2020)Initiatives/events for the promotion of the programme (under full responsibility of the REA) n/a 1Calls for proposals n/a 3Evaluation sessions n/a 3Number of individual proposals evaluated n/a 325Grant finalisation n/a 30Procedures for selection by the Commission (where necessary)

n/a 4Pre-financing payments n/a 30Interim payments / progress reports 6 31Final payments / final reports 21 19

In practice, through these actions, 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.

23

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 REA) are stipulated in the H2020 Specific Programme and in the Work Programme 2018-202032.REA has been entrusted with the management of the full project cycle of the SEWP programme according to the Annex I of the Delegation Act33. 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. 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" (no.1)

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.



Call ID Call deadline

No. of outputs (calls)


Indicative budget 2018 from the WP 2018-20 (CA, million €)

Management of H2020Management of the calls and contracting procedures of the WP 2018-202034 – Spreading Excellence and Widening Participation (SEWP)WIDESPREAD-01-2018-2019

TeamingPhase 2(Unit B5)

WIDESPREAD-01-2018-2019

(CSA)15.11.2018 1 n/a 103.00

WIDESPREAD-03-2018Twinning(Unit B5)

WIDESPREAD-03-2018 (CSA) 15.11.2018 1 n/a 30.00

Widening Fellowships

(Unit A4)WF-01-2018 12.09.2018 1 n/a 5.00

Total 3 n/a 138.00

32 Commission Decision C (2017) 7124 of 27 October 2017.33 Commission Decision C(2013) 9418 of 20 December 2013.34 Commission Decision C(2017) 7124 of 27 October 2017.

24




number (H2020)Initiatives/events for the promotion of the programme (under full responsibility of REA)

n/a 1Calls for proposals n/a 3Evaluation sessions n/a 6Number of individual proposals evaluated n/a 1890Grant finalisation n/a 44Procedures for selection by the Commission (where necessary)

n/a 11

Pre-financing payments n/a 44Interim payments / progress reports n/a 25Final payments / final reports n/a 10

In practice, through these actions, REA will contribute to reach the targets set by DG RTD for publications in high-impact journals in the given research field.

25

3.8. Implementation of Horizon 2020 – Science with and for Society (SwafS) (DG RTD)

The policy objectives and fields of actions are stipulated in the H2020 Specific Programme and in the Work Programme 2018-202035. REA has been entrusted with the management of the full project cycle of the SwafS actions according to the Annex I of the Delegation Act36. 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. 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" (no.1)

Parent DG: RTD




Call ID Call deadlineNo. of

outputs (calls)


Indicative budget

2018 from the

H2020 WP 2018-20

(CA, million €)

Management of H2020Management of the calls and contracting procedures of the WP 2018-202037 – Science with and for Society (SwafS) (Unit B5)1. Accelerating and catalysing processes of institutional change 19.00

SwafS-2018 (CSA)

Stage 1: 10.04.2018

Second stage:13.11.2018

Topic 1 3.00

SwafS-2018 (CSA) 10.04.2018 Topics 2, 3, 5, 6 13.00SwafS-2018 (RIA) 10.04.2018 Topic 4 3.00

2. Stepping up the support to Gender Equality in Research & Innovation policy 10.00

SwafS-2018 (RIA)

10.04.2018 Topic 10 2.00SwafS-2018 (CSA)

10.04.2018 Topics 9, 13 8.003. Building the territorial dimension of SwafS partnerships 6.00

SwafS-2018 (CSA) 10.04.2018 Topic 14 6.00

35 Commission Decision C(2017) 7124 of 27 October 2017.36 Commission Decision C(2013) 9418 of 20 December 2013.37 Commission Decision C(2017) 7124 of 27 October 2017.

26

4. Exploring and supporting citizen science 6.00SwafS-2018 (RIA/CSA) 10.04.2018 Topic 15 6.00

5. Building the knowledge base for SwafS 18.5

SwafS-2018 (RIA)

Stage 1: 10.04.2018

Second stage:13.11.2018

Topic 20 6.00

SwafS-2018 (RIA) 10.04.2018 Topics 18, 19, 21 12.50


The key actions performed by REA in order to contribute to the achievement of this objective have been identified. They relate to the core stages of the project cycle and are listed below:



number (H2020)Initiatives/events for the promotion of the programme (under full responsibility of REA)

n/a 1Calls for proposals n/a 1Evaluation sessions n/a 2Number of individual proposals evaluated n/a 550Grant finalisation n/a 52Procedures for selection by the Commission (where necessary)

n/a 10

Pre-financing payments n/a 50Interim payments / progress reports n/a 26Final payments / final reports n/a 17

In practice, through these actions, REA will contribute to reach the targets set by DG RTD as regards the number of institutional change actions promoted by the programme.

27

3.9. Management of FP 7 Legacy – SME actions

The activities and objectives of the FP7 Research for the benefit of SME actions are set out in the Council Decision on the Capacities Specific Programme38 and in the related annual work programmes.REA has been entrusted with the management of the legacy of the FP7 Research for the benefit of SME actions according to the Annex II of the Delegation Act39. Since this action has no direct successor managed by REA, the management of the legacy has been split over the Units A5, B2 and B3, dealing respectively with FET Open, Societal Challenge 2 and Societal Challenge 6.Relevant general objective:"A New Boost for Jobs, Growth and Investment" (no.1)

Parent DG: RTD


Related to spending programme FP7

Main outputs in 2018:Management of FP7



Management of FP7 grant agreements (FP7 research for the benefit of SMEs Actions(Units A5, B2, B3)

All FP7 calls closed

n/a

The key actions performed by REA in order to contribute to the achievement of this objective, have been identified. They relate to the remaining stages of the FP7 project cycle and are listed below:

Key actions in 2018:Description Estimated number (FP7)Pre-financing payments 0Interim payments / progress reports 6Final payments / final reports 42

In practice, through these actions, REA will contribute to reach the targets set by DG RTD as regards the support provided to SMEs in carrying out or outsourcing research and technological development, such as the number of SMEs/SME Associations investing in RTD through FP7 SME specific measures and the total budget spent by SMEs on outsourcing research, innovation and demonstration activities to RTD performers in FP7 SME specific measures.

38 Council Decision 2006/973/EC of 19 December 2006, OJ L54, 22.2.2007, p.101.39 Commission Decision C(2013) 9418 of 20 December 2013.

28

3.10. Administrative and logistical support services

The policy objectives of this activity are set out in the Horizon 2020 Specific Programme. REA provides administrative and logistical support services according to the Annex III of the Delegation Act40 and under the provisions of the Rules for Administrative and Logistical Support Services, which were approved in their latest version, by the REA Steering Committee in February 2017.

Participant validation servicesThe SEDIA (Single Electronic Data Interchange Area) project has the objective to deliver a single electronic data interchange area for all participants or recipients involved in EU grants and procurement procedures.SEDIA will be gradually implemented in 2018 with the support of corporate business and IT solutions by which the process for handling information for procurements and grants will be fully automated and integrated.In this context, the legal validation of third parties and their financial assessment will be performed by REA for all grants and procurements under direct management. REA will become responsible for the validation of the legal information relatingto the third parties in all grant and procurement procedures implemented by Commission services, Executive Agencies and Joint Undertakings under direct management41. Once the legal validation process of an entity is completed, REA is also responsible for the validation of the LEAR (Legal Entity Appointed Representative) appointed by that entity on the basis of relevant supporting documents. The LEAR is appointed by the legal representative of the entity and is entrusted to (i) manage the legal and financial information of the organisation in the Beneficiary Register on the Participant Portal (in the future, the 'SEDIA organisation Register'), (ii) manage access rights to the same register for persons in the organisation and (iii) appoint representatives of the organisation to electronically sign grant agreements ('Legal Signatories' – LSIGN) or financial statements ('Financial Signatories' – FSIGN) via the electronic grant management system.The timely processing of the validation of new participants42 will be a challenge in 2018 because of the larger number of clients and the integration of procurement activities. Under the H2020 provisions the SME status is attributed on the basis of self-declaration43 made by the participant, contrary to FP7 where the status had to be assessed ex-ante on basis of supporting documents provided by the entity. In order to evaluate the impact of such change in the approach, since 2015, REA carries out an annual ex-post verification on a number of entities to confirm their SME status. In addition, an ex-ante validation is carried out by REA, if requested by the concerned entities participating in the SME Instrument where, the SME status is an eligibility criterion for participation. In 2018, a new approach will be defined for the ex-post controls on SME status.The assessment of the financial capacity of the beneficiaries of research grants is also part of REA's responsibilities. In 2018, the scope of the financial assessment will be enlarged to include participants in operations managed by the new SEDIA clients in line with the legal provisions and the specific requirements of their programmes. The analysis is based on financial data provided by the participants which is verified by the validation 40 Commission Decision C(2013) 9418 of 20 December 2013.41 Until the end of 2017, REA was responsible for the validation of legal entities for programmes including:

H2020, Erasmus+, Creative Europe, Europe for Citizens, EU Aid Volunteers, COSME, Health Programme, Consumer Programme, Research Fund for Coal and Steel, actions funded by the Internal Security Fund (ISF), the Asylum, Migration and Integration Fund (AMIF), Justice Programme, Fundamental right and Citizenship, Agricultural Promotion programmes, the anti-fraud Programme HERCULE III, the Union Civil Protection Mechanism UCPM, the European Statistical programme ESP, the Preparatory Action on Defence and Research, PADR.

42 REA is also responsible for the requests for changing data of already validated entities, the validation of the Universal Transfers of Rights and Obligations (UTRO) and processing the Indirect Costs Model/Ex-post modifications of organisations that have previously been validated.

43 SME self-declaration, supported by a self-assessment wizard for the H2020-SME Instrument, providing on-line guidance to verify compliance with the criteria laid down in the SME recommendation.

29

service and translated into comprehensive core financial data. REA's objective in 2018 is to provide a unique set of core financial data which will serve all SEDIA clients in the calculation of their specific financial indicators to support their decisions on financial capacity.Besides the implementation of the SEDIA project, REA will continue to collaborate with DG BUDG to design and harmonise the rules for the validation of third parties across the Commission bodies. Moreover, REA will contribute to the development of the corporate IT tools that will support an effective implementation of the validation services for all beneficiaries and Commission bodies.The Agency operates the Research Enquiry Service addressing questions raised by the public on Horizon 2020 and other research matters and feeding the Frequently Asked Questions (FAQ) database.With regard to the tasks entrusted to REA, the main actions of the support services are listed in the table hereafter with the estimated workload for 2018.Relevant general objective:"A New Boost for Jobs, Growth and Investment" (no.1)

Parent DG: RTD


Related to spending programmes H2020, FP7 and other direct management programmes


Description Estimated Number

Estimated budget

Provision of administrative and logistical support servicesTasks related to participant validation – legal validationNumber of participants validated (for H2020 and other programmes) 13,000 n/aNumber of LEAR mandates validated 13,000 n/aNumber of UTRO validations and ICM/Ex-post modifications 500 n/aNumber change requests or additional corrections 9,000 n/aTasks related to participant validation – SME validationNumber of SME validations performed 200 n/aTasks related to participant validation – financial capacity assessmentNumber of financial capacity assessments performed 6,000 n/aTasks related to the Research Enquiry Service (RES) back-officeNumber of answers given (directly by the RES team, the service provider (EDCC) and the local helpdesks) 8,000 n/a

Frequently Asked QuestionsNumber of questions approved and published 600 n/a

30

Expert management and supportREA coordinates and manages the call planning and publication process for a number of programmes, including Horizon 202044.Regarding evaluation support, REA manages the evaluation building in the Covent Garden complex (COVE), offering reception and support service to operational units and experts during on-site evaluation sessions. These evaluation support services are available for the H2020, EURATOM, COSME and RFCS programmes.In the course of 2018, ERCEA will transfer its evaluation premises to the seventh floor of COVE. This decision was the catalyst to re-consider how the remaining available space is used, in the light of the changing nature of on-site evaluations (with more consensus work taking place remotely). Work will be carried out in 2018 to create additional polyvalent meeting rooms with suitable audiovisual equipment/facilities, to compensate for the loss of the seventh floor, to increase the maximum capacity of the space managed by REA to 750 experts (from 580) – despite the withdrawal of the seventh floor – and to facilitate the remote participation of experts who cannot attend on-site evaluations. In the area of expert management, REA is in charge of contracting (including the verification and validation of experts' legal entities and bank accounts) and paying the expert evaluators for H2020 (except for European Research Council experts) as well as expert monitors ('reviewers') for FP7 and H2020 actions delegated to REA. The Agency is also responsible for checking the expert monitors' Legal Entity and Bank Accounts Files for H2020 actions which have not been delegated to REA. In addition, REA provides support to experts during the evaluations and throughout the contracting and payment workflow. This includes the management of expert queries, face-to-face customer service and follow-up. In 2018, the expert management and support services will face the following challenges:

On-time completion of the re-modelling exercise in the evaluation building to increase capacity from 580 to 750 experts;

Evaluation and expert management support for the EIC pilot; The development, testing and roll-out of the first phase for the pre-filling of

experts claims for reimbursement in order to streamline the payment process; Ensuring full implementation of the provisions of the expert Model Contract whilst

IT developments linked to Model Contracts are on-going, and the implementation of an electronic exchange platform to replace current email exchanges;

Manage the impact of possible revision of Commission Decision (2007)5858 on the reimbursement of experts, including communication to experts and implementation of change for the IT systems.

44 H2020, Euratom, COSME, RFCS, AGRIP, AMIF, CP, HERC, ISFB, ISFP, JUST, REC, UCPM, ESTAT.31

Relevant general objective:"A New Boost for Jobs, Growth and Investment" (no.1)

Parent DG: RTD



Main outputs in 2018:Description Estimated

NumberEstimated

budget (€m)Provision of administrative and logistical support servicesTasks related to contracting and payment of experts45

Number of expert contracts signed – expert evaluators 15,000 50.00 (single

budget line – expert

evaluators)+

3.61 (expert monitors)

=53.61 (total)

Number of expert contracts signed – expert monitors (only for actions managed by REA) 2,000

Number of payments 21,000Number of LE/BA validations for experts 8,500 of eachNumber of Pool approvals 350Tasks related to the evaluation supportNumber of calls finalised in CPS 160 n/aNumber of evaluations supported on-site 170 n/aNumber of expected proposals evaluated46 60,000 n/aNumber of expected expert weeks on-site47 12,000 n/a

In addition the agency also pays a particular attention to the following indicator:

Indicator Target Latest known result

Time-to-contract for experts

100% of experts’ Legal Entity Files validated within 25 working days (after approval of the pool of experts by the evaluating service)

95% (30/06/2017)

45 There is one single budget line for expert evaluator payments, whereas expert monitors are included in the individual budget lines for each activity.

46 Based on the estimation provided by the Call Coordinators.47 Based on the estimation provided by the Call Coordinators.

32

PART 4. Organisational managementThis part is structured around the strategic, long term objectives in the following areas:

human resource management; financial management, internal control and risk management; information management; external communication activities.

4.1 Relevant objectives and indicators

For each area, the challenges for the coming year are listed, followed by the long term objectives with their respective indicators and the list of specific outputs planned for 2018 that contribute to their achievement.

4.1.1. Human Resource Management

The table below recalls the corporate EC strategic objective for HR management, together with three mandatory corporate performance indicators and one specific for REA. These indicators are associated to medium to long term targets and help monitor REA's progress.Corporate Strategic Objective: The Agency deploys effectively its resources in support of the delivery of the Commission's priorities and core business, has a competent and engaged workforce, which is driven by an effective and gender-balanced management and which can deploy its full potential within supportive and healthy working conditions.Corporate Indicator 1: Percentage of female representation in middle managementSource of data: REA staff in place (Sysper)Baseline 2017:35%

REA monitors the percentage of female representation in middle management.However, the target of 40% female representation in middle management by 2019 (average target at European Commission level) is not in the remit of REA as the parent DGs are in charge of the selection of middle managers.

Corporate Indicator 2: Percentage of staff who feel that REA cares about their well-being48

Source of data: Commission staff survey 2016 (data provided by DG HR)Baseline 2016:49%

Target 2018: increase by 5 percentage points for the relevant survey question, compared to the 2016 survey.

Corporate Indicator 3: Staff engagement indexSource of data: Commission staff survey 2016 (data provided by DG HR)Baseline 2016:67%

Target 2018: 70%

REA Specific Indicator 4: Time to fill vacant postsSource of data: REA HRBaseline 2017: 6 months

Target 2018: within 5 months (Temporary Agents and Contract Agents)

48 This indicator may be replaced by a fit@work index on which DG HR is currently working.33

Main outputs in 2018:Output Indicator TargetOutput at Research and Innovation family level/ Output coordinated with parent DGsParticipation in seminars and training sessions by the parent DGs, in the context of their talent development programmes.

Number of events N/A (not in the remit of REA)

Outputs at REA levelREA will perform its yearly workload assessment exercise in view of rebalancing resources across units commensurate with their effective workload.

The REA Staff (re-)allocated to the different units in function of an assessment of the workload and the budget delegated to REA.

By November 2018

Temporary agents' selection for programme administration

Reserve list of 60 candidates Available by 31.12.2018

Monitoring of the job descriptions and the objective setting in the Agency

% of Agency staff having a job description according to the harmonised approach agreed in 2017.

100% by 30.04.2018

Monitoring of the financial job profiles, with an emphasis on the evolution and reorientation of financial and project assistant profiles.

Analysis of the financial job profiles and the possibilities-needs for a reorientation.

By 30.06.2018

From the Action plan following the Staff Survey 2016Job shadowing scheme between REA and other EAs

Analysis of the first experience Completed by 31.12.2018

Organising groups of newcomers in order to improve their integration in the Agency.

First initiatives with newcomers launched

By 31.03.2018

Peer learning activities for managers

Events organisedNumber of participants

4 events50 participants overall

From the Learning and Development Strategy 2018-2020REA L&D will organise sessions offered by DG HR and the Medical Service on prevention of Psychosocial Risks in the workplace

Number of sessionsNumber of participants

Target to be agreed with DG HR and the Medical Service

The overall objective of the management of human resource in REA is to recruit, train, assess, motivate and retain highly qualified staff with a view to ensure an effective and efficient operation of REA as well as to promote equal opportunities within the Agency.Concerning the progress with relation to the above-mentioned four main HR performance indicators, REA

aims to comply with the corporate targets on female representation in middle management but does not have control on the selection process of seconded middle managers, which is performed by the parent DGs;

observes a positive trend for the well-being of staff as declared in the 2014 and 2016 staff surveys. It therefore is working to confirm the upward trend;

aims to further improve the staff engagement; maintains its specific objective regarding the time to fill vacant posts (5 months

from the moment a post becomes vacant and the effective recruitment).

34

In support of these objectives, REA will undertake the following priority actions in 2018: REA will focus on the coordination and consolidation of the recruitment process. A selection for Temporary staff was launched in early 2018 to have a reserve list available at year-end.Gender equality is of great importance to the Agency. To this end, an indicator on the gender balance in middle management positions is included in the standard reporting of REA to the parent DGs.REA seeks to enhance staff engagement. To this end, the Agency will carry on focussing on the Competency Framework, the Learning and Development Framework and internal mobility to better match the competencies to the positions available. Following the staff survey carried out in 2016, various peer-learning activities for all managers were launched at the end of 2017. The purpose of these activities, to be implemented as from 2018, is to share good practices among managers, raise awareness concerning psychosocial risks at work, and assist REA HR in identifying needs for training related to staff management. The actions aim at all managers with special emphasis on the needs of the Heads of Sector.REA seeks to promote staff well-being through a better work/life balance and the promotion of a healthy work environment in line with the Commission's fit@work multi-annual health and well-being programme for the period 2015-2019. The Learning and Development Strategy, adopted in February 2018, puts a special emphasis on well-being: "Inspired by the EC strategy 2017-2020 on Health & Wellbeing, REA aims to provide staff with measures and actions to ensure their physical and mental health (personal). [… ] Corporate vitality actions will continue all along the two coming years and will cover all pillars of well-being."49

REA management will give full support to the activities of the REA Staff Committee and continue the social dialogue with the Committee. It will further implement the action plan defined following the 2016 staff satisfaction survey, with a particular focus on awarenes on psycho-social and physical well being and managerial peer learning and sharing best practice. REA will carefully analyse its job profiles in the context of the phasing out of FP7 projects and of the design of the new financial rules planned for FP9. A particular emphasis will be put on the evolution and reorientation of financial and project assistant profiles. A special attention will be given to the definition and deployment of the Competency framework, ensuring the buy-in of the staff by showing how they can benefit from it and by defining and implementing tailored learning tracks by job profile.The new General Implementing Provisions ('GIPs') governing the conditions of employment for contract agents were adopted by the Commission on 16 October 201750. These new rules have been adopted by analogy by REA, with entry into force as of 1 January 2018. The rules are expected to enhance the mobility of contract agents between the executive agencies and the Commission services. Besides, REA will further implement the inter-agency mobility for Temporary Staff 2f, in coordination with the other executive agencies.

49 REA Learning and Development Strategy 2018-2020, Ares(2018)642333 – 02.02.2018.50 Commission Decision of 16.10.2017, C(2017)6760.

35

4.1.2.Financial Management: Internal control and Risk Management

This section recalls the corporate overarching objective for financial management and internal control which covers three specific objectives, also shared with all the Commission services:

legality and the regularity of the operations, sound financial management, fraud prevention.

Their achievement is monitored by a series of corporate indicators. It should be noted that some of them are monitored without having set a specific target. Corporate Overarching objective: The Authorising Officer by Delegation should have reasonable assurance that resources have been used in accordance with the principles of sound financial management, and that the control procedures put in place give the necessary guarantees concerning the legality and regularity of the underlying transactions including prevention, detection, correction and follow-up of fraud and irregularities.

In 2018, as in previous years, the Agency will manage the risks inherent to the delegated parts of the Research Framework Programmes for which the Agency is in charge of the entire process including call management, evaluation and selection of proposals, grant agreement signature and project management.Regarding the different programmes, the smooth closure of the FP7 grants is one of the priorities for 2018. The activities related to H2020 are now including all stages from the programme management cycle, from the calls' implementation to the follow-up of ex-post audits. REA will put a special emphasis on implementing the H2020 ex-ante control guidance for interim and final payments, adopted end 2016 for the whole Research and Innovation family.With regard to ex-post controls, the implementation of the H2020 ex-post audit strategy is in the remit of the Common Audit Service (CAS). REA's managed participations are part of the population from which the random Common Representative Audit Sample (CRaS) is drawn. Moreover, all REA managed participations are subject to risk based targeted selections for ex-post audits.In addition to these selected ex-post controls across the framework programme, the CAS is also drawing specific random and based risk samples for the Marie Skłodowska-Curie Actions which are subject to a specific risk profile. The first results from these audits will become available in 2018 and will provide initial indications on error rates in the H2020 transactions.For FP7 activities, REA continues implementing the common ex-post audit strategy of the Research and Innovation family. According to the FP7 ex-post audit strategy, auditors assess the legality and regularity of financial transactions and provide the basis for corrective and recovery mechanisms, thereby feeding into the Annual Declaration of Assurance of the REA's Director. In accordance with the common strategy, REA will further implement its Ex-post Audit Approach and its Annual Audit Plan for FP7 activities. These documents provide additional guidance and include a detailed planning of the ex-post control activity of REA, focusing on audits in the identified areas of risk.For the FP7 collaborative research actions (Space and Security), REA relies on the Representative Error Rate calculated on the basis of the CRaS while for the MCA and SME actions, the REA calculates Detected Error Rates based on the audit of a non-biaised selection of participations.Besides a robust ex-post audit strategy, it is also important to have a comprehensive ex-ante control strategy. For this reason REA maintains an emphasis on the necessity for staff to follow the various trainings included in the Learning and Development Framework as compulsory for each REA staff involved in operational activities.

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Corporate Specific Objective 1: Effective and reliable internal control system giving the necessary guarantees concerning the legality and the regularity of the underlying transactionsCorporate Indicator 1: Estimated residual error rate51

Source of data: Audex (CAS, DG RTD) and REA FP7 audit planBaseline TargetAAR 2017:H2020:Estimated residual error rate:

2.24%

FP7:Residual error rates:

- CRAS – Space: 3.19%- CRAS – Security: 3.54%- SMEs: 5.79%- People: 1.55%

H2020:Overall target : as close as possible to 2% (within the range of 2-5%).Second layer of assurance for the MSCA: specific target for the MSCA subset: below 2%FP7:less than 2% of total budget (materiality threshold)

Corporate Indicator 2: Estimated overall amount at risk for the entire budget for the year under the EAs responsibility.Source of data: CAS (DG RTD); ABAC; BUDGBaseline TargetAAR 2017With an average weighted error rate of 2.4% the amount at risk has been estimated at €28.33 million at the end of 2017.

It is expected that the average weighted error rate will remain at a similar level. The amount at risk should also remain stable.

Indicator 3: Estimated future corrections Source of data: ABAC; BUDG; Audex (CAS, DG RTD)Baseline TargetAAR 2017The corrective capacity was estimated in 2017 at 0.39% of the payments made for the 2017 operational budget.52

none

51 For the definition, see annex 1 to the AAR instructions 2014 "Key definitions for determining amounts at risk" at https://myintracomm.ec.europa.eu/budgweb/EN/rep/aar/Documents/aar-standing-instructions.pdf.

52 As from 2017, the historic corrective capacity, reported by DG BUDG is adjusted based on the difference between the relevant Representative/Detected Error rate and the relevant Residual Error/specific residual error rate.

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https://myintracomm.ec.europa.eu/budgweb/EN/rep/aar/Documents/aar-standing-instructions.pdf

Main outputs in 2018:Output Indicator TargetOutputs in the remit of the Research and Innovation familyH2020 ex-post audits to be launched in 2018

Number of H2020 ex-post audits launched within:Layer 1 (Research Family) participations- Representative sample- Risk sampleLayer 2 (MSCA) participations- Representative sample- Risk sample

Except for the MSCA, there is no specific REA target for other actions.Layer 1 (Research Family)N/ALayer 2 (MSCA)- Representative sample: 130- Risk sample: 50

Output at REA levelFP7 ex-post audits launched in 2018

Number of FP7 ex-post audits launched

20 audits to be launched in 2018 (risk based selection only, no more randomly selected audits and no SME desk audits53)

FP7 ex-post audits closed in 2018

Number of FP7 ex-post audits closed

90 audits to be closed in 2018

Implementation of FP7 and H2020 audit findings

Cumulative implementation rate of audit results (FP7 and H2020 seperately)

80% by 31/12/2018

Implementation of FP7 and H2020 extension of audits findings

Cumulative implementation rate of extrapolations (FP7 and H2020 seperately)

80% by 31/12/2018

Corporate Specific Objective 2: Effective and reliable internal control system in line with sound financial management.Corporate Indicator 1:: Conclusion reached on cost effectiveness of controlsSource of data: ABAC; REA HRBaseline TargetAAR 2017: Yes YesIndicator 2: Cost of the evaluation and selection procedure (costs of evaluating and selecting the best proposals /amount committed)Source of data: REA HR; ABACBaseline Target0.36% (AAR 2017) Stay in the same rangeIndicator 3: Cost of monitoring the execution of the grant agreements and of the ex-post controls / amount paidSource of data:Baseline Target1.67% (AAR 2017) Stay in the same range

In 2018, REA will continue to monitor, in coordination with the other H2020 implementing services, the functioning of the programme's control system.Besides the monitoring of the cost effectiveness of the different control stages, REA will further develop its risk management to improve its sound financial management: the H2020 IT systems have been further developped to better support the specific risk asssessment to be performed during the grant finalisation or the payment stages. In 53 According to the FP7 Ex-post audit strategy and the REA Ex-post audit approach and plan for 2016.

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2018, REA will put emphasis on improving its procedures and training its staff in order to take full benefit of these new functionalities.

Main outputs in 2018:Output Indicator TargetOutputs in the remit of the Research and Innovation familyTraining on H2020 IT tools (organised by the CSC)

n/a (in the remit of the CSC)


Training on H2020 ex-ante controls (organised by the CSC)


Output at REA levelInformation session to REA newcomers for the positions of financial officers and project officers. Presentation of the basics of ex-ante controls

Number of information sessions organised by REA.

3

Training on H2020 IT tools (organised by the CSC) madecompulsory for REA staff occupying the function of project Officer, Financial Officer, Project Assistant or Financial Assistant

Project officers, financial officers (FOs), project assistants, financial assistants having followed the training in due time following their start date in the function. 54

100%

Training on H2020 ex-ante controls (organised by the CSC) made compulsory for REA staff occupying the function of project Officer, Financial Officer, Project Assistant or Financial Assistant.

Project officers, financial officers (FOs), project assistants, financial assistants having followed the training in due time following their start date in the function.54

100%

54 Based on the REA Learning and Development Framework for 2017 and REA Learning and Development Strategy as from 2018.

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Corporate Objective 3: Minimisation of the risk of fraud through application of effective anti-fraud measures, integrated in all activities of the EA, based on the EA's anti-fraud strategy (AFS) aimed at the prevention, detection and reparation of fraud.Corporate Specific Indicator 1: Updated the anti-fraud strategy of REA, elaborated on the basis of the methodology provided by OLAF55

Source of data: REA Anti-Fraud ApproachBaseline Interim Milestone Target2016: REA Anti-Fraud Approach for FP7 (revised in April 2016)

2018: Assessment of the common H2020 anti-fraud strategy to decide whether an update/tailoring for REA would be required

Update whenever the REA identifies gaps that are insufficiently covered by he corporate strategy.

REA Specific Indicator 2: Fraud awareness is increased for target population(s) as identified in the REA’s AFSSource of data: REA HR, EU-LearnBaseline 2016 Interim Milestone Target48% of REA staff followed an anti-fraud training.

68 % of staff employed in operational units trained in due time following their start date in the function by 31.12.2018.54

100% of staff employed in operational units trained in due time following their start date in the function by 2020.54

In 2018, fighting fraud will remain high on the agenda. With its anti-fraud team and the anti-fraud correspondents in every operational unit, REA is equiped to limit as much as possible its exposure to fraud and to signal entities to OLAF for suspicions or evidence of serious irregularities. While capitalising on this structure, REA will keep investing in the anti-fraud awareness of its staff. The anti-fraud training is compulsory for each staff member of an operational unit.In implementing its anti-fraud strategy, REA is careful in ensuring, to the greatest extent possible, consistency with the positions adopted by its parent DGs and other Commission services and Executive Agencies. This coordination is facilitated by the use of the Early Detection and Exclusion System (EDES), REA's active participation in the network of OLAF correspondents of the Research family (FAIR) and the Fraud Prevention and Detection Network (FPDNet) and close cooperation with the CSC.For Horizon 2020, the anti-fraud strategy is coordinated at the level of the Research and Innovation family. In addition to the common anti-fraud strategy, "Complementary actions of REA to the Common Anti-Fraud Strategy in the Research Innovation family" were issued in view of the activities delegated to REA. In 2018 REA will develop specific guidelines for the actions managed by it and will escalate any issue of common interest to the Research and Innovation family and to the Fraud and Irregularity Committee for Research.

55 The methodology can be found on the Commission’s anti-fraud website:https://myintracomm.ec.europa.eu/serv/en/fraud-prevention/ToolBox/Documents/201602%20-%20Updated%20guidelines%20AFS.pdf. In particular paragraph 3 of the methodology is relevant.

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https://myintracomm.ec.europa.eu/serv/en/fraud-prevention/ToolBox/Documents/201602%20-%20Updated%20guidelines%20AFS.pdf

https://myintracomm.ec.europa.eu/serv/en/fraud-prevention/ToolBox/Documents/201602%20-%20Updated%20guidelines%20AFS.pdf

Main outputs in 2018:Output Indicator Target 2018Output at REA levelAnti-fraud training sessions No. of sessions organised 3REA Quarterly Reports "State of play of cases under OLAF investigation for serious irregularities"

Regular monitoring and reporting on fraudulent cases to management

Number of internal reports per year: 4Number of external reports per year: 2

4.1.3. Information management

This section recalls the corporate EC strategic objective for information management, together with three mandatory corporate indicators. These indicators are associated to medium to long term targets, defined for the Commission services (executive agencies included) as a whole.Regarding the first corporate indicator for the non-filed registered documents, REA follows the general EC trend. The second corporate indicator regarding the files accessible by all REA units, access to the files relating to the validation of participants (PDM/ERIS files) and expert contracting and payments needs to be both restricted due to the protection of personal data. These represent a large majority of REA files (>99.7%). As such, in order to make the indicator meaningful, the relevant share of REA files accessible by all REA units needs to exclude validation- and expert-related files. Following this definition, the REA's target of more than 90% of shared files remains consistent with the overall corporate objective. A majority of the remaining files which have a "limited" access (5.9%) are files which have been protected for confidentiality reasons (i.e. HR, legal, anti-fraud or audit related).Similar remarks apply for the third corporate indicator regarding the files shared with all the Commission services. Obviously, the restrictions listed above apply equally for access to Commission services. Compared to a baseline 2015 of 33.25%, the indicator shows a strongly decreasing trend. Two changes explain this trend: the adaptations required by data protection rules and the increasing proportion of data covered by those rules.There are discussions ongoing with the Common Support Centre (CSC) to enable access to project files in the context of the HORUS-IRIS project aiming at offering powerful text mining and query tools. This may not lead to an opening of the files as such, but it would enable the Commission services, in line with the Commission strategy on Data, Information and Knowledge management, to exploit the relevant content of these files through a dedicated tool.

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Corporate Strategic Objective: Information and knowledge in your EA is shared and reusable by other DGs. Important documents are registered, filed and retrievableCorporate Indicator 1: Percentage of registered documents that are not filed56 (ratio)Source of data: Hermes-Ares-Nomcom (HAN)57 statisticsBaseline Target Latest known result2016: 0.03% < 0.1 % AAR 2017: 0.02%Corporate Indicator 2: Percentage of HAN files readable/accessible by all units in the EASource of data: HAN statisticsBaseline Target Latest known result2016: 7.41% N/A AAR 2017:

94.1% of files, if validation- and expert-related files are excluded3.68% of files, if validation- and expert-related files are included

Corporate Indicator 3: Percentage of HAN files shared with other Commission servicesSource of data: HAN statisticsBaseline Target Latest known result2016: 2.67%% N/A AAR 2017: 0.72%

A new Data, Information and Knowledge Management Strategy was adopted by the College in October 2016. It recognises that data, information and knowledge are strategic assets for the Commission and should be developed and managed accordingly. It seeks to help break the silos between DGs and services by promoting collaborative working and the sharing of data, information and knowledge as widely as possible within the Commission. The REA DMO Team assessed the REA filing plan in order to identify ARES files that could be made more widely accessible within REA. The analysis showed that there is very little margin with a view to further increasing the share of open files within REA. The files that are not accessible to the whole Agency (called “limited files” in ARES) have restricted access rights justified by the nature of the business. Overall, the REA DMO team continues to raise awareness among REA staff in order to reduce as much as possible unfiled documents in ARES and consequently facilitate information retrieval and sharing.

56 Each registered document must be filed in at least one official file of the Chef de file, as required by the e-Domec policy rules (and by ICS 11 requirements). The indicator is to be measured via reporting tools available in Ares.

57 Suite of tools designed to implement the e-Domec policy rules.42

https://myintracomm.ec.europa.eu/corp/sg/en/edomec/doc_management/Documents/recueil_dec_mda_en.pdf



Main outputs in 2018:Output Indicator TargetOutput at REA levelAccessiblity of information from project files to support effective feedback of project results for policy monitoring/making.

Share of project-related files that can be accessed through a dedicated IT tool for programme-implementation and policy-making

100% of project-related files to be accessed by a dedicated data-mining tool

4.1.4.External Communication

DGs and Executive Agencies share the goal of good and efficient communication on Horizon 2020 and work together to fully exploit the communication potential while keeping in mind their different roles.The Research and Innovation DGs, coordinated by the Communication Unit of DG RTD, are jointly responsible for Horizon 2020 policy communication to press and to general public, based on the Common Communication Strategy for Horizon 2020.The Agency’s communication activities focus on:

Communication to applicants and beneficiaries (incl. promotion of the calls and information days/coordinators' days);

Support to the parent DGs with regards to the communication on project results and impacts, e.g. through success stories or the organisation of events;

Communication to participants (regarding legal and financial validation) and experts, in coordination with the Common Support Centre when needed.

One of the objectives of the REA's external communication is to boost awareness on new funding opportunities and broadening the participants group, reaching and informing a larger pool of potential beneficiaries in relevant areas. Promotion of Horizon 2020 funding opportunities at REA is done via the following means:

Via the REA website on Europa: Project funding opportunities hosted under ‘Programmes’, linked to the ‘Participant Portal’, which is the one-stop-shop for finding funding opportunities. In 2018, it will be converted into a Corporate funding and tenders portal.

Via e-mail: Newsletter to REA stakeholders in collaboration with the operational units;

Via the Research Enquiry Service (RES), in response to pertinent enquiries; During missions: Project Officers promote calls whenever relevant; During Info Days: in collaboration with the pertinent parent DG.

REA communicates extensively with the scientific community via the REA website where the info days and other major events are announced. In addition, 'news alerts' are sent to around 3,000 stakeholders interested in REA's activities.

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Corporate Strategic Objective: Citizens perceive that the EU is working to improve their lives and engage with the EU. They feel that their concerns are taken into consideration in European decision making and they know about their rights in the EU.Corporate Indicator 1: Percentage of EU citizens having a positive image of the EUDefinition: Eurobarometer measures the state of public opinion in the EU Member States. This global indicator is influenced by many factors, including the work of other EU institutions and national governments, as well as political and economic factors, not just the communication actions of the Commission. It is relevant as a proxy for the overall perception of the EU citizens. Positive visibility for the EU is the desirable corporate outcome of Commission communication, even if individual DGs’ actions may only make a small contribution.Source of data: Standard Eurobarometer (DG COMM budget) [monitored by DG COMM here].

Baseline: November 2014 Target: 2020Total "Positive": 39%Neutral: 37%Total "Negative": 22%

Positive image of the EU ≥ 50%

REA Indicator 2: number of success stories communicated to the parent DGsSource of data: REA Communication sectorBaseline: Target:2015: 602016: 1152017: 234

2020: 2502018: 200 to be proposed to parent DGs

In 2018, REA will continue to support the parent DGs' communication activities. The information about the programmes provided to the stakeholders is coordinated and agreed with the parent DGs. REA supports the DGs' communication in providing examples of successful projects and their impact (i.e. success stories, organisation of events). The input provided by REA is used to support parent DGs' communication activities, such as in the "EU Empowers" Campaign of DG COMM, the MSCA Campaign of DG EAC, thematic months of DG RTD.The successful identification of success stories (or prospective ones) requires appropriate guidance and training to the REA's Project Officers. To ensure that, REA and the CSC organise regular training sessions for Project Officers on Communication, Dissemination and Exploitation aspects under Horizon 2020. Guidance on the above-mentioned aspects is also provided to Horizon 2020 coordinators (as part of Info-, Coordinators-Days) in order to help them link their projects to the Juncker Priorities and to design communication activities accordingly. Similar guidance is given to the NCPs.In 2018, REA will organise over 16 events for Horizon 2020 Stakeholders to inform about research EU-funding opportunities and Horizon 2020 programme rules. Moreover, REA will represent the MSCA Programme at the ZurichEduCaExpo 2018 (14-15 March 2018), Transport Research Arena (16-19 April 2018), AAAS 2018 (Austin, Texas, US, 15-19 February 2018), MIT European Career Fair (24/2/2018) as well as ESOF 2018 (Toulouse, 9-14 July 2018) to raise awareness about the programme, its results and opportunities Europe offers to researchers from all over the world.

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Main outputs in 2018:Output Indicator Target 2018Output at REA levelSuccess stories communicated to the parent DGs

Number of success stories communicated to the parent DGs

200

Events organised by REA Number of stakeholder events to ensure successful implementation of the programme and to promote Horizon 2020 funding opportunities

16 (mainly coordinators days and info days organised by REA)

Public events to which REA participates

Participation to events organised by the parent DGs, NCPs or Member States, as well as participation in international events to promote programmes managed by REA.

10 (including ZurichEduCaExpo 2018, TRA 2018, ESOF 2018, AAAS 2018, MIT)

Subscriptions to newsletter

Number of records in the stakeholder database as well as the number of news alerts sent to the subscribers

Expected number of records in the stakeholders database in 2018: 3000Number of news alerts sent to stakeholders in 2018: 12

REA projects featured in the Horizon Magazine

Number of REA projects featured in the Horizon Magazine

Number of REA projects featured in the Horizon magazine articles in 2018: 30

Annual communication spending:Baseline (2017) Estimated commitments (2018)EUR 243,783 EUR 203,550

4.1.5. Examples of specific efforts to improve economy and efficiency of financial and non-financial activities

According to the Financial Regulation (Article 30), the principle of economy requires that the resources used by the Agency in the pursuit of its activities shall be made available in due time, in appropriate quantity and quality and at the best price. The principle of efficiency concerns the best relationship between resources employed and results achieved.The respect of these principles is continuously pursued through the implementation of internal procedures and predefined practices. These procedures ensure that activities are executed in an efficient manner (e.g. the different workflows contribute to the efficient cooperation between staff, units) and according to the principle of economy. REA is continuously fine-tuning its internal arrangements in order to improve the efficiency and economy of its operations. In 2018, REA plans to further develop actions to boost the quality and efficiency of its policy feedback to the European Commission and to foster networking of project partners in view of more inclusive and diversified participatory patterns in H2020 initiatives. In terms of support services, significant quantitative and qualitative benefits are expected for the participant registration and validation process with the implementation of the SEDIA (Single Electronic Data Interchange Area) project. The main actions planned and their major advantages are introduced below.

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Implementation of SEDIA (Single Electronic Data Interchange Area) As of January 2018 the centralisation in REA of the legal validation and the preparation of financial capacity assessments of third parties participating in procurement and grant procedures in direct management (SEDIA) becomes a reality. For this purpose, the REA support units were reorganised and two extra sectors were created in 2017.The implementation of centralised validation services under SEDIA will bring a more efficient use of resources Commission-wide with net savings of approximately EUR 2.5 million per year (at cruising speed). This central validation service at REA will also ensure a streamlined and consistent management of the legal and financial validation of third parties which, together with the economies of scale, will result into efficiency gains in the legal and financial validation of third parties at Commission level. This centralisation will bring as well qualitative benefits as it will take advantage of the expertise acquired in REA in legal and financial validation. In addition, third parties will benefit from a harmonised approach for legal and financial validation. The implementation of SEDIA will offer participants a single entry point for registration and validation of their legal status and financial data that will reduce the administrative burden for entities participating in programmes/tenders managed by different EU bodies.The single electronic data interchange area will also become a step forward into the deployment of fully electronic processes for the legal and financial validation of entities, which will ease the interaction between third parties and the validation services, reduce the time to receive and validate supporting documents as well as streamline its management. Finally, the central validation service will complement the establishment of a single communication channel which will address any enquiry related to validations in SEDIA, by extending the mandate of the Research Enquiry Service.

Project cluster / review meetings for better policy feedback to the ECThe large majority of projects managed by REA have the contractual obligation to organise a mid-term ‘review / check meeting’, to review the progress of the action's implementation. Currently, most of these meetings are organised either in Brussels or at the premises of the coordinator/ beneficiary, attended by the REA Project Officer as well as by at least one external expert who assists the agency in the monitoring. During these meetings REA obtains interesting feedback which is often also very valuable to the parent DGs. However, a targeted policy feedback from REA to the EC services in a given topic/ scientific domain is difficult to provide based on individual project reports.Therefore, REA will explore for selected topics to move from individual project review/ check meetings, towards clustered monitoring meetings organised in Brussels, bringing together several projects from the same scientific domain. This approach could be applied for both, thematic actions as well as bottom-up programmes.The purpose of those meetings is twofold: first, to check/review the proper implementation of the contractual obligations of each action; second, to gather structured information from the various projects related to a specific topic/scientific field, to be used for a comprehensive policy feedback to the relevant parent DGs.This approach would allow REA to keep its high-quality project monitoring standards and to gather policy feedback in a more efficient and effective way, whilst making the process significantly more cost-efficient:

Each meeting organised in Brussels would bring together several projects from the same scientific domain. The external expert would not have to visit the projects individually, but rather come to Brussels. Consequently the number (and cost) of experts would be lower than in the case of individual monitoring missions. This organisation has also a positive impact on REA's operating costs (saving time and costs for missions for project officers accompanying the experts).

The experts’ reports will be complemented by synthetised information retrieved from individual projects, summarising the most relevant elements for a structured

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policy feedback.Furthermore such meetings will provide a platform for peer-to-peer learning, networking, exploring complementarities/ synergies, cross-fertilisation across a number of projects as well as sharing of good practices for the on-going initiatives and developing ideas for possible future collaborations.For the moment only projects from the same action are expected to be clustered. For the future, however, the grouping of projects from the same scientific domain but from different actions/ programmes will be considered, which may even further increase the quantitative and qualitative benefits of the clustering.

4.2 Operating budget, staff and operational appropriations

4.2.1. Operating budget

The 2018 administrative budget of REA was adopted by the Steering Committee on 15 December 2017. It amounts to EUR 69.58 million in total and is detailed as follows (including the contribution from the European Union for Horizon 2020 and for non-research activities in the context of SEDIA, as well as EFTA/EEA and third country contributions):

Budget title EU contribution(€ million)

EFTA/EEA contribution(€ million)

Third parties' contributions

(€ million)

Total appropriations

(€ million)Title 1 Staff

expenditure 49.27 1.13 1.81 52.21

Title 2 Infrastructure and operating expenditure

9.36 0.21 0.34 9.92

Title 3 Programme support expenditure

7.02 0.16 0.26 7.44

Total 65.66 1.50 2.42 69.58The share of the EFTA contribution is of 2.37% for FP7 appropriations and 2.33% for H2020 appropriations.

Since 2014, the structure of the REA administrative budget is in line with the model agreed among the six executive agencies. The budget under Titles 1 and 2 relates to salaries and overhead costs such as expenses on the Agency's building which can be apportioned by activity on the basis of the staff breakdown presented above. Title 3 includes, among other, the rent for the Covent Garden evaluation building (COVE) and the related expenditure for the management of the evaluation platform (e.g. logistics, furniture) on behalf of all Horizon 2020 managing services.The following table provides the breakdown of the REA's operating budget 2018 distributed by delegated programme, activity and DG with a clear split between the EU contribution, the contributions from EFTA/EEA and third country contributions (R0).All titles are allocated in function of staff, except for chapter 32 (Common Support Services expenditure, including SEDIA) and article 3121 (External Audit) which are allocated respectively to support services and FP7 legacy management.

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Activities

Title 1 (€ million) Title 2 (€ million) Title 3 (€ million)

Total %EU

BUDGET

EFTA/EEA RO

EU BUDGE

T

EFTA/EEA RO

EU BUDGE

T

EFTA/EEA RO

H2020 and FP7

H2020 Excellent Science

Marie Skłodowska-Curie actions – EAC 13.09 0.30 0.48 2.49 0.06 0.09 0.23 0.04 0.07 16.85 24.22%

Future and Emerging Technologies (FET Open) – CNECT 3.21 0.07 0.12 0.61 0.01 0.02 0.06 0.01 0.02 4.14 5.94%

FP7 People – Marie Curie Actions (legacy) – EAC 2.61 0.06 0.10 0.50 0.01 0.02 0.11 0.01 0.01 3.42 4.91%

Subtotal 18.91 0.43 0.70 3.59 0.08 0.13 0.40 0.06 0.10 24.40 35.08%

Industrial Leadership

Space Research – GROW 2.20 0.05 0.08 0.42 0.01 0.02 0.04 0.01 0.01 2.83 4.07%

FP7 Cooperation – Space Research (legacy) – GROW 0.24 0.01 0.01 0.05 0.00 0.00 0.07 0.00 0.00 0.38 0.54%

Subtotal 2.44 0.06 0.09 0.46 0.01 0.02 0.11 0.01 0.01 3.21 4.61%

Societal Challenges

Societal Challenge 2

Societal Challenge 2 – RTD 1.54 0.04 0.06 0.29 0.01 0.01 0.03 0.01 0.01 1.98 2.85%

Societal Challenge 2 – AGRI 2.13 0.05 0.08 0.41 0.01 0.01 0.04 0.01 0.01 2.75 3.95%


Societal Challenge 6 – RTD 1.69 0.04 0.06 0.32 0.01 0.01 0.03 0.01 0.01 2.17 3.12%

Societal Challenge 6 – CNECT 0.66 0.02 0.02 0.13 0.00 0.00 0.01 0.00 0.00 0.85 1.22%


Societal Challenge 7 – HOME 1.57 0.04 0.06 0.30 0.01 0.01 0.03 0.01 0.01 2.02 2.91%

Societal Challenge 7 – CNECT 0.62 0.01 0.02 0.12 0.00 0.00 0.01 0.00 0.00 0.80 1.15%

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FP7 Cooperation – Security Research (legacy) – HOME 0.68 0.02 0.03 0.13 0.00 0.00 0.08 0.00 0.00 0.94 1.35%

Subtotal 8.89 0.20 0.33 1.69 0.04 0.06 0.22 0.03 0.05 11.51 16.54%

H2020 Spreading Excellence, Widening Participation and Science with and for Society – RTD

SPO-SEWP -RTD 2.02 0.05 0.07 0.38 0.01 0.01 0.04 0.01 0.01 2.61 3.75%

SPO-SWaFS-RTD 1.14 0.03 0.04 0.22 0.00 0.01 0.02 0.00 0.01 1.46 2.10%

Subtotal 3.16 0.07 0.12 0.60 0.01 0.02 0.06 0.01 0.02 4.07 5.85%

FP7 Capacities – Research for the benefit of SMEs (legacy) – RTD 0.89 0.02 0.03 0.17 0.00 0.01 0.08 0.00 0.00 1.21 1.74%

Provision of administrative and logistical support services

Support Services 9.92 0.23 0.36 1.88 0.04 0.07 6.06 0.03 0.05 18.66 26.81%

Management and Administrative Support

Horizontal Activities 5.06 0.12 0.19 0.96 0.02 0.04 0.09 0.02 0.03 6.52 9.37%

MSCA (H2020 and Legacy) 1.80 0.04 0.07 0.34 0.01 0.01 0.03 0.01 0.01 2.31 3.33%

FET Open 0.37 0.01 0.01 0.07 0.00 0.00 0.01 0.00 0.00 0.47 0.68%

Industrial Leadership (H2020 and Legacy) 0.28 0.01 0.01 0.05 0.00 0.00 0.01 0.00 0.00 0.36 0.52%

Societal Challenge 2 0.42 0.01 0.02 0.08 0.00 0.00 0.01 0.00 0.00 0.54 0.78%

Societal Challenge 6 0.27 0.01 0.01 0.05 0.00 0.00 0.00 0.00 0.00 0.35 0.50%

Societal Challenge 7 (H2020 and Legacy) 0.33 0.01 0.01 0.06 0.00 0.00 0.01 0.00 0.00 0.42 0.61%

SEWP / SWaFS 0.36 0.01 0.01 0.07 0.00 0.00 0.01 0.00 0.00 0.47 0.67%

FP7 SME legacy 0.10 0.00 0.00 0.02 0.00 0.00 0.00 0.00 0.00 0.13 0.19%

Support Services 1.14 0.03 0.04 0.22 0.00 0.01 0.02 0.00 0.01 1.46 2.10%

Total 49.27 1.13 1.81 9.36 0.21 0.34 7.02 0.16 0.26 69.58 100%

The share of the EFTA contribution is of 2.37% for FP7 appropriations and 2.33% for H2020 appropriations.

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4.2.2. Human resources

The 2018 administrative budget of REA adopted by the Steering Committee on 15 December 2017 provides for an establishment plan of 179 temporary staff, of which 42 are seconded Commission officials, and a budget for 582 contract staff including 31 contract staff financed with R0 credits (third country contributions). As in previous years, there are no seconded national experts (SNEs) working in REA in 2018.In 2018, a call for expressions of interest for setting up reserve lists of Research Programme Administrators will be run. The resulting reserve lists, together with inter-agency mobility, will cover the recruitment needs of temporary agents as of 2019. The new 'GIPs' governing the conditions of employment for contract agents, issued by the Commission in October 201758, have been adopted by analogy by REA, with entry into force as of 1 January 2018. These rules are expected to enhance the interagency mobility of contract agents, as they introduce the possibility to publish vacancies on Intracomm. In parallel, the EPSO recruiter portal will continue to be used for screening staff for selection panels which will cover the four contract agent function groups in various profiles.By the end of 2018, the following staff allocation is envisaged (for each action/ programme delegated, the respective parent DG is indicated)59 whereby the staff has been allocated to actions and programmes.

58 Commission Decision of 16.10.2017, C(2017)6760.59 Based on the EU General Budget 2018 as adopted on 30 November 2017.

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Activities Total Staff Temporary Agents

Of Which seconded officials

Contract Agents %

H2020 and FP7

H2020 Excellent Science

Marie Skłodowska-Curie actions – EAC 202.13 49.70 5.00 152.43 26.56%

Future and Emerging Technologies (FET Open) – CNECT 49.62 13.47 4.00 36.15 6.52%

FP7 People – Marie Curie Actions (legacy) – EAC 40.26 10.00 0.00 30.25 5.29%

Subtotal 292.00 73.17 9.00 218.83 38.37%

Industrial Leadership

Space Research – GROW 33.95 10.89 2 23.06 4.46%

FP7 Cooperation – Space Research (legacy) – GROW 3.77 1.21 0 2.56 0.50%

Subtotal 37.72 12.10 2.00 25.62 4.96%

Societal Challenges


Societal Challenge 2 – RTD 23.77 6.14 3.00 17.63 3.12%

Societal Challenge 2 – AGRI 32.97 8.52 2.00 24.44 4.33%


Societal Challenge 6 – RTD 26.05 8.37 3.00 17.68 3.42%

Societal Challenge 6 – CNECT 10.17 3.27 2.00 6.90 1.34%


Societal Challenge 7 – HOME 24.27 7.27 2.00 17.00 3.19%

Societal Challenge 7 – CNECT 9.59 2.87 2.00 6.72 1.26%

FP7 Cooperation – Security Research (legacy) – HOME 10.51 3.15 0.00 7.36 1.38%

Subtotal 137.33 39.60 14.00 97.73 18.05%

H2020 Spreading Excellence, Widening Participation and Science with and for Society

SEWP – RTD 31.27 7.96 1.00 23.32 4.11%

SWAFS – RTD 17.54 4.46 1.00 13.08 2.31%

Subtotal 48.81 12.42 2.00 36.40 6.41%

FP7 Capacities – Research for the benefit of SMEs (legacy) – RTD 13.74 3.90 0.00 9.84 1.81%

Provision of administrative and logistical support services

Support Services 153.19 18.95 6.00 134.52 20.13%

Management and Administrative Support

Horizontal Activities 78.20 18.86 9.00 59.06 10.28%

Total 761.00 179.00 42.00 582.00 100.00%

Staff financed by contributions from EFTA and/or third country contributionsStaff allocated to operational activities 31Staff allocated to management and administration 0Total 31

4.2.3. Delegated operational appropriations

Following the Internal Rules for the implementation of the 2018 General Budget, REA manages operational appropriations on the following budget lines. They do not only relate

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to grant management activities, but also include appropriations for experts.Since 2016, REA uses a single budget line which simplifies the management of its activities for contracting and paying of expert evaluators, including for Horizon 2020 calls not delegated to REA60, while the expert reviewers / monitors remain, as previously, charged to the various budget lines for the delegated programmes.It should be noted that the figures in the table below come from the REA’s Individual Budgetary Financial Statement used for the establishment of the Draft Budget 2018 and may vary due to the following elements: the Work Programme 2018-2020 (for 2018) may provide for delegation of selected

calls / topics to REA different from what was planned at the time of establishing the Draft Budget 2018.

The voted General Budget 2018 (including the amending letters and amendments adopted by the Budgetary Authority) may be different from the Draft Budget 2018 and transfers of appropriations between the different co-delegated entities can occur.

The outcome of the evaluation of proposals for some 2018 calls for proposals may modify the repartition of responsibility among the managing services (e.g. projects involving the management of security sensitive information (EU confidential or higher classification to remain with DG HOME).

60 Except for the Joint Undertakings (JUs), for which REA uses the relevant JU's budget line.

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Budget linesCommitment appropriations Payment appropriations

EU Budget EFTA/EEA Total EU

Budget EFTA/EEA Total

H2020

H2020 –Excellent Science09 04 01 01 Strengthening research in future and emerging technologies 185.66 4.33 189.99 127.25 2.96 130.22

15 03 01 01 Marie Skłodowska-Curie actions – generating, developing and transferring new skills, knowledge and innovation 882.21 20.64 902.85 770.00 18.02 788.02

Subtotal Excellent Science 1,067.87 24.96 1,092.83 897.25 20.99 918.24H2020 – Industrial Leadership

02 04 02 01 Leadership in Space 138.88 3.24 142.12 91.61 2.13 93.75

H2020 – Societal Challenges

05 09 03 01 Securing sufficient supplies of safe, healthy and high quality food and other bio-based products (Societal Challenge 2) 201.15 4.69 205.84 145.00 3.38 148.38

08 02 03 02 Securing sufficient supplies of safe, healthy and high quality food and other bio-based products (Societal Challenge 2 ) 145.04 3.38 148.42 161.39 3.76 165.15

08 02 03 06 Fostering inclusive, innovative and reflective European societies (Societal Challenge 6) 86.40 2.01 88.41 83.52 1.95 85.4609 04 03 02 Fostering inclusive, innovative and reflective European societies (Societal Challenge 6) 33.73 0.79 34.51 34.25 0.80 35.0509 04 03 03 Fostering secure European societies (Societal Challenge 7) 49.02 1.14 50.16 43.99 1.02 45.0118 05 03 01 Fostering secure European societies (Societal Challenge 7) 124.04 2.89 126.93 103.70 2.42 106.12

Subtotal Societal Challenges 639.37 14.90 654.27 571.85 13.32 585.17H2020 – Specific Objectives08 02 04 Spreading excellence and widening participation 94.95 2.21 97.16 88.12 2.05 90.1708 02 06 Science with and for society 53.26 1.24 54.50 45.79 1.07 46.86

Subtotal Specific Objectives 148.21 3.45 151.67 133.91 3.12 137.04

FP7

02 04 51 Completion of previous research framework programmes – 7th Framework Programme (Cooperation – Space theme)

4.51 - 4.51

08 02 51 Completion of previous research framework programmes – 7th Framework Programme (SME Actions)

15 03 51 Completion of previous research framework programmes – 7th Framework Programme 55.00 1.30 56.30

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Budget linesCommitment appropriations Payment appropriations

EU Budget EFTA/EEA Total EU

Budget EFTA/EEA Total

(People Programme)

18 05 51 Completion of previous research framework programme – 7th Framework Programme (Cooperation – Security theme)

15.00 - 15.00

Subtotal Completion of FP7 0 0 0 74.51 1.30 75.82

Experts

08 02 05 Horizontal activities of Horizon 2020 55.00 1.28 56.28 56.40 1.31 57.7108 02 02 03 Expert reviewers for FP7-SME projects 0.15 - 0.15 0.15 - 0.15Various Expert evaluators of the Joint Undertakings - - - - - -

Subtotal experts 55.15 1.28 56.43 56.54 1.31 57.86

Total of the operational budget managed by the Executive Agency: 2,049.48 47.83 2,097.32 1,825.68 42.18 1,867.86

The share of the EFTA contribution is of 2.37% for FP7 appropriations and 2.33% for H2020 appropriations.

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In addition, appropriations accruing from contributions from other third parties will be managed by REA, although, their amounts will only be known in the course of the year (‘p.m.’). These appropriations come from the budget lines "Appropriations" accruing from contributions from (non-European Economic Area) third parties to research and technological development (2014-2020)" under various chapters as follows:

02 04 50 01: Horizon 2020 – Research related to enterprises; 05 09 50 01: Horizon 2020 – Research and innovation related to agriculture; 08 02 50 01: Horizon 2020 – Research; 09 04 50 01: Horizon 2020 – Communications networks, content and technology

policy area; 15 03 50 01: Horizon 2020 – Education and culture policy area; 18 05 50 01: Horizon 2020 – Research related to Security.

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